Board 23 September 2020 BCT Office, 17 Raby Cross, Byker, Newcastle upon Tyne

AGENDA 1. Reminder to switch off mobile phones 2. Apologies for absence 3. Declarations of Interest 4. Urgent Items which Board Members wish to raise, not elsewhere on the agenda 5. Health and Safety Update

Page: Presented by:

ITEMS FOR DECISION 6. To approve the Minutes of the meeting held 29 July and

Matters Arising

1 - 5 Chair

7. Appointment of Board and Committee Members

6 J Clifford

8. CE Monthly Progress Report

7 - 22 J Clifford

9. Bi annual update of Procurement Strategy including Procurement Rules

23 - 36

M Bell

ITEMS FOR INFORMATION

10. Self Assessment against the Housing Ombudsman Complaints Handling Code

37 - 35 P Pollard

11. AOB

CONFIDENTIAL ITEMS FOR DECISION 12. To approve the confidential Minutes of the meeting held 29

July, Minutes of the Special Board meeting held 2 September and Matters Arising

36 - 41 Chair

CONFIDENTIAL FOR INFORMATION

13. Audit and Risk Committee Minutes and Actions

J Clifford

14. Customer Scrutiny Committee Minutes and Actions

P Pollard

15. AOB

16. Date and time of the next Board 1 December 2020, 6pm – 8pm via Microsoft Teams

BCT OPERATIONS AND ENGAGEMENT FRAMEWORK TRAINING P Pollard

Minutes of Board 29 July 2020 6pm Via Conference Call Board Members Present: Geraldine Kay (Chair), Gordon Bell, Christine Stobbs (left early), Keith Tallintire, Nigel Emmerson, Victoria Beattie, Annette Patten, Caroline Prince, Nicola Snowdon, Anthony Itiat and Amanda Senior. BCT Officers Present: Jill Haley (CE), Philip Pollard (DoO), James Clifford (DoF), Michelle Bell (DoP) and Jaime Flinn (taking minutes) Observers: None

1. WELCOME

1.1 The Chair welcomed everyone to the meeting.

1.2 As the meeting was held virtually with no observers the confidential items for decision

were discussed first so that the Board prioritised their time on the key items for

discussion and decision.

2. APOLOGIES FOR ABSENCE

2.1 Apologies were received from Nick Kemp.

3. DECLARATIONS OF INTEREST

3.1

There were no new declarations of interest.

4. URGENT ITEMS WHICH BOARD MEMBERS WISH TO RAISE

4.1

There were no urgent items arising.

5. HEALTH AND SAFETY (H&S) VERBAL UPDATE

5.1 The Director of Property and Development (DoP) updated Board on H&S compliance and confirmed all areas of compliance have resumed from July. Compliance is up to date as at the end of June 2020, with the exception of the following:

Water hygiene tests - completed four of seven locations;

Gas inspections - two non-accesses, one tenant shielding from Covid-19, the other being progressed to legal to obtain access; and

EICR programme - completed 25 of the outstanding 69 properties.

5.2 There have been no RIDDOR related accidents since the last Board meeting on 13 May, there was an incident on 6 July where a large tree fell against an owner occupier’s property due to high winds. Damage to the properties roof has been repaired and the occupier is happy with the work carried out.

5.3 The DoP confirmed that 100% of gas pipework checks have been completed on the Estate, all live gas pipes will be tested annually until Northern Gas Networks confirm in writing properties have been disconnected.

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6. APPROVAL OF BOARD MINUTES AND MATTERS ARISING

6.1

The Minutes of the last Board meeting held on 13 May 2020 were agreed as a correct record.

7. ANNUAL REVIEW OF BCT COMMITTEES

7.1 The Director of Finance and Resources (DoF) presented the report and each Committee Chair provided an overview of the work of the Committee over the past 12 months.

7.2 Audit and Risk Committee (A&RC) The Chair of the Committee advised that it has been a busy year for A&RC with oversight of the second year of internal audits and review of the final draft statutory accounts. The committee received reports on the continually changing and challenging effects of Covid-19 and these have been modelled by the strict stress testing and the results fed back to the Board. The Chair of the Committee thanked the A&RC members and the DoF for their hard work and support. It was advised that Amanda Senior has stepped down from the Committee leaving a vacancy, should other Board members like to volunteer for the role.

7.3 Governance and Remuneration Committee The Chair of the Committee updated the Board on their work and thanked the G&RC members and the DoF for their hard work and support.

7.4 Customer Scrutiny Committee The Chair of the Committee updated the Board on the work undertaken including the review of the Complaints and Compliments process, the Family Fun day consultation, involvement in the Together with Tenants consultation and their contribution to achieving Customer Service Excellence. The Committee has grown in strength over the past year and plans to review the Repairs and Maintenance service. The Chair of the Committee thanked the CSC members, the Director of Operations (DoO) and the Community Engagement Officer for their hard work and support.

7.5 The Chair of the Board thanked all of the Committees for their contribution and stated that the work undertaken provides the Board with good assurance. The Board agreed all Committees are effectively discharging their Terms of Reference.

8. QUARTERLY STRATEGIC RISK REGISTER (SRR)

8.1 The DoF stated that the SRR was reviewed by the A&RC on 21 July 2020, it was advised that there has been one score change to SR13 – Litter, Waste Management and Fly Tipping, the score has been lowered from High to Medium following the improved performance under the new cleaning contract with Newcastle City Council (NCC).

8.2 The DoF updated the Board of the drop in income collection during the early weeks of the quarter which returned to normal by the end of June. The DoF advised further detail would be presented to Board through the Performance Scorecard report later in the agenda.

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8.3 The Committee also reviewed and discussed two other Risk Registers including the Covid-19 Risk Register and Partnership Project Risk Register.

9. REVIEW OF GOVERNANCE DOCUMENTS

9.1 The DoF presented the report and discussed the extension of Gordon Bell, Nick Kemp and Annette Pattens terms of office. The Board have previously discussed and approved extending this until the partnership has been completed, however, the Board is required to

Formally agree the changes to the Board member policy;

Formally agree that it is in the interest of BCT that no new Board member candidates will be accepted until after April 2021; and

Put forward one tenant and one independent Board Member (not listed above) for retirement and uncontested re-election at the AGM in September 2020.

9.2 The Board agreed the recommendations and other minor changes to the Board

governance documents.

10. BCT’S SELF-ASSESSMENT AGAINST THE REGULATORY STANDARDS

10.1 The DoO provided an overview to Board members of the Regulatory Standards and advised that the A&RC reviewed the Economic Standards on 21 July 2020. It was noted that within the Home Standard there are 11 properties who omitted from the Decent Homes Standards internal works that currently require the electrical rewire works to be completed, they are programmed to be undertaken this year, additionally as discussed in the Health and Safety update 25 of the 69 outstanding EICRs have been completed.

10.2 Board considered, noted and agreed the self-assessment against the Regulatory Standards and the National Housing Federation (NHF) Code of Governance.

11. ANNUAL ACCOUNTS INCLUDING VALUE FOR MONEY (VfM) METRICS

11.1 The DoF presented the report which was reviewed by A&RC on 21 July 2020. The DoF stated that he was pleased that it was a ‘clean’ audit this year, the accounts are showing a £2m profit, BCT have invested nearly £6m in properties and there has been no major impact to the figures due to Covid-19.

11.2 The A&RC discussed in detail how much information should be included regarding the Partnership Project and the balance between commercial confidentiality and providing sufficient information to the reader of the accounts, it was agreed by A&RC some further wording should be added to advise the reader that BCT had entered into formal negotiations, it was also agreed to delay signing the accounts until additional Board meetings had taken place and a formal decision has been made.

11.3 The Chair of the Board advised that the accounts were discussed and reviewed thoroughly at the A&RC and that she was one of the members who requested the additional text be included to ensure that the work undertaken by the Board over the past 12 months was reflected appropriately.

11.4 The Board agreed to;

Approve the 2019-20 Annual Accounts and agree for the Chair, Company Secretary and another Board Member to sign the accounts on the Board’s behalf;

Approve the Statement of Internal Control;

Approve the Letter of Representation;

Confirm the independence of the External Auditors; and

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Confirm that the Value for Money Statement in the Strategic Report meets the requirements of the VfM Standard.

12. CE MONTHLY PROGRESS REPORT

12.1 The Chief Executive (CE) presented the report, which provided an update on progress

since the last meeting, as well as any relevant, regional or national developments.

12.2 Amanda Senior updated Board on the outstanding action to get confirmation from Pat Ritchie (Chief Executive at NCC) that she had received the correspondence from the Chair regarding the potential partnership as well as the briefing note that Amanda had supplied. It was clarified that an updated briefing note was sent last week but no reply was yet received. The Chair of the Board thanked Amanda for chasing this and suggested she doesn’t follow this up any further as a formal letter will be sent to Pat Ritchie when BCT begin the communication strategy for the partnership.

12.3 Amanda also advised that Nick Brown MP had contacted her following his update from the CE, querying what NCC’s role would be following the partnership. The CE advised she had held a Zoom call with Nick Brown fully explaining the situation and had since responded to his assistant, informing him that further information would be sent to Nick once the business case for merger had been formally agreed by both Boards in early September. The CE confirmed that as part of the partnership communication strategy (included in todays agenda) all key stakeholders would be consulted, Amanda stated she would also respond to his enquiry to NCC.

12.4 The CE stated that a copy of the Board Effectiveness Survey report, Chairs Appraisal and Chair Summary of Board member appraisals were near finalisation and would be circulated to Board following the meeting.

12.5 The CE discussed the Government (mini) Budget and noted that there isn’t much included for the social housing sector, additionally any affordable homes grants made after April 2021 will include the right for tenants to take shared ownership in the property. This will make it more difficult for registered providers to understand the future cash flows for new properties, and therefore make informed decisions about new developments.

13. QUARTELRY PERFORMANCE UPDATE

13.1 The DoO delivered a presentation to Board summarising the operational and financial performance of BCT for quarter one of 2020/21. Board members were directed to the scorecard provided at Appendix A. Key points from the presentation were:

The DoO discussed the impact Covid-19 has had on performance including a drop in collection rate during Q1 to 93.61% (4.1% less than the previous year), an increase of £198k of arrears (121k relating to Universal Credit) and 19 evictions are pending where some tenants have stopped paying rent. The DoO advised that towards the end of Q1 figures were returning to a level of normality and would expect by year end the collection rate should increase to above 96% based on current figures;

739 tenants are currently in receipt of Universal Credit and only 107 tenants are still in receipt of full Housing Benefit;

The average cost per void spiked during June 2020 and the DoP clarified that the scorecard included two omits which totalled £20k and once complete and the costs capitalised, the average cost for void would be recalculated for Q2;

There were 25 terminations during Q1, reasons for people moving were medical and health as well as anti-social behaviour; and

An overview of complaints and compliments during Q1 were provided to the Board.

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13.2 The Board discussed the impact of Covid-19 on the business and suggested Q2 will provide a better insight into the effects of the pandemic.

13.3 It was queried if this would have an impact on the Karbon Solutions (KSL) SLA’s and the cost variations, the DoO stated that the figures are being monitored closely and the DoP advised that it had been agreed with KSL that BCT only pay for time that the Repairs Operatives are completing repairs on the Estate.

14. QUARTERLY INVESTMENT PROGRAMME UPDATE

14.1 The DoP presented the report which provided an update to Board on the delivery of BCT’s Investment Programme.

14.2 Key points from the discussion were;

Internal works have not resumed yet, however, Work Package 3 is due to start back on site on 10 August;

An intumescent paint treatment for balconies and external timberwork has been sourced to comply with the Governments latest safety guidance which will be applied to the Dunn Terrace External Upgrade. This product complies with the grade II* listing and has been approved by the Fire Risk Assessor and Building Control, the external painting programme will be reviewed to assess the financial impact this will have on communal buildings next painting cycle; and

Installation of fire doors on the Byker Wall has started.

14.3 The Chair queried the unadopted pathway that the council will not adopt and if this will cause an issue for future maintenance, the DoP advised that there are a number of unadopted pathways across the Estate which BCT already manages.

15. AOB

15.1 There were no other items of business.

…………………………. Chair of Byker Community Trust Board 23 September 2020

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Board 23 September 2020

Title: Appointment of Board and Committee Members Report By: James Clifford, Director of Finance & Resources FOR DECISION 1. Recommendations

1.1 The Board is recommended to approve the reappointment of the Chair and Committee

members. Volunteers are sought to fill the vacancies in the Committee membership.

2. Synopsis

2.1 This report seeks appointments to the Committees for the year.

3. Reappointment of Committee Members

3.1

Proposed membership: Governance and Remuneration Committee

Chair Committee Member

Gordon Bell Nigel Emmerson

Nick Kemp

Geraldine Kay

Keith Tallintire

3.2

Proposed membership: Audit and Risk Committee

Chair Committee Member

Christine Stobbs Gordon Bell

Keith Tallintire

Victoria Beattie

Vacancy

3.3

Proposed membership: Customer Scrutiny Committee (Tenant Board Members only).

Chair Committee Member

Annette Patten Anthony Itiat

Nicola Snowdon

Carline Prince

4. Contact Officer 4.1 If you have any questions about this report that you would like clarifying before the

meeting, you can contact James Clifford by telephone on 0800 5335 442 or email james.clifford@bykerct.co.uk

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Board 23 September 2020

Title: Chief Executive’s Progress Report

Report By: James Clifford, Director of Finance and Resources

FOR INFORMATION 1.

Recommendations

1.1

The Board is recommended to consider and note the contents of the report.

2. Synopsis

2.1 This report aims to bring Board members an update of information and progress since the last meeting, as well as any relevant, regional or national developments.

3. Actions from last Board meeting

3.1

All outstanding actions from the minutes of the meeting of 29 July and the Special Board meeting of 2 September were reported separately in an email to Board on16 September 2020. Any further progress in relation to ongoing actions will be reported at the meeting.

4. Delegated Decisions

4.1 There has been one delegated decision since the Board meeting on 29 July 2020, this is included at Appendix A.

5. Asset and Liability Register

5.1 The Regulator of Social Housing’s (RSH) Governance & Viability Standard stipulates that Registered Providers must maintain a thorough, accurate and up to date record of their assets and liabilities, particularly those liabilities that may have recourse to social housing assets.

5.2 BCT’s Asset and Liability Register (ALR) provides an index to our business and acts as a reference and signposting mechanism for users to identify where all relevant information can be found.

5.3 An annual review of the ALR has been completed by the Executive Team, to ensure all current assets and liabilities are referenced and a tracked changed copy is included in Appendix B which is also a shared document in Virtual Boardroom.

5.4 The asset and liability register is likely to be scrutinised as part of Karbon Homes’ due diligence on BCT and it will be a starting point for their advisors in getting to know BCT’s legal and financial position.

6.

Annual Report to Tenants 2020

6.1

Publishing an Annual Report to Tenants is a regulatory requirement. The purpose of the report is to show tenants how BCT is performing and how we comply with the Regulatory Standards.

6.2 The first draft of the 2020 BCT Annual Report to Tenants is under development and will be

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shared with the Board prior to the meeting. This initial draft will let Board see the wording proposed for the report. A more developed version including graphics and pictures will be printed and sent to tenants ahead of the official launch at the Tenants’ Conference on 28 October.

6.3 BCT staff will work with the Tenant Communications Group (TCG) to agree the style, layout and pictures used in the 2020 report.

6.4 Following feedback from BCT Board, the TCG will approve the final content and design of the report and it will then be issued to every BCT tenant, posted on the website, social media etc. during October.

7. Karbon Homes Partnership Update

7.1 A Special Board meeting was held on 2 September where the Outline Business Case (OBC) and revised Heads of Terms (HoT) for the partnership with Karbon Homes (KH) were considered and approved. The Board of KH met subsequently on 7 September 2020 and also approved both documents. This now concludes stage 1 of the process and both parties have sufficient comfort to proceed to the next stage of discussions. Both parties have acknowledged that there are no material concerns and that the strategic case for proceeding is sufficiently robust and mutually understood.

7.2 The partnership project has now entered stage 2 and the due diligence and consultation processes are now underway. DTP has been appointed to carry out BCT’s financial due diligence of KH. A tender exercise has commenced to appoint advisors to undertake BCT’s legal due diligence of KH, in accordance with the scope previously agreed by Board.

7.3 It is expected that legal advisors will be selected week commencing 21 September, with due diligence commencing immediately thereafter. A verbal update on the successful tenderer will be made at the Board meeting. Both financial and legal due diligence advisors will be expected to complete their final reports by 10 November, allowing adequate time for a BCT Audit and Risk Committee (ARC) on 24 November dedicated to scrutinising the final due diligence reports. ARC will make a recommendation to Board based on the due diligence findings to be considered at the 1 December meeting.

7.4 On 10 September, the Joint Executive Team carried out the first key actions of the Communications Plan previously shared with Board. A press release and stakeholder communications were issued, and briefings were held with BCT staff and Karbon Solutions staff led by Paul Fiddaman, KH CEO. Feedback from the staff who attended the briefings was very positive.

7.5

7.6

An update on the proposal to extend our partnership with KH has been published on the BCT website advising customers that the formal consultation period will begin on 14 September. A copy of the final customer consultation document was presented at the meeting of the Customer Scrutiny Committee and Shareholders.

The consultation document will now be printed and distributed to all BCT tenants who will be able to provide feedback by post, email, telephone or attend three drop in sessions being held at Byker Community Centre. There will also be a final opportunity for tenants to engage at the Tenants Conference scheduled for 28 October (subject to Government Covid-19 guidance).

7.7 An updated Project Plan and Risk Map will be considered at the next meeting of the Joint Advisory Committee which is scheduled for 18 September 2020.

8. Contact Officer - If you have any questions about this report that you would like clarifying before the meeting, you can contact Jill Haley by telephone on 0191 290 3910 or email james.clifford@bykerct.co.uk

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Asset and Liability Register

September 20192020

1. Overview

1.1 In response to the changing risks faced by Housing Associations, the Regulator of Social

Housing (RSH), through its Governance and Financial Viability Standard, requires Housing Associations to record a register of their assets and liabilities.

The primary purpose is to:

• Ensure that Registered Providers understand their assets and security position and have swift access to this information in decision making and risk management;

• Ensure information is readily available in the event of a potential or actual failure of the Housing Association;

• Ensure it contains sufficient information to enable a potential buyer to accurately price the value of the business and / or the value of the social housing assets in the event of distress.

1.2 The Byker Community Trust (BCT) Asset and Liability Register (ALR) was developed to

maintain a thorough, accurate and up to date record of assets and liabilities particularly those liabilities that may have recourse to social housing assets. It is: a. An ‘index’ to our business. b. It is not a single repository for everything but acts as a signposting mechanism for users

to identify where the relevant information can be found. c. It relies on data from a number of corporate and operational systems. d. Individual teams are responsible for collation of base data, populating and updating

relevant registers. e. Executive Team members hold single point accountability for their business function

and linkages with the relevant strategies. f. The register is not meant to be a stand-alone position at a fixed point in time. Its

ongoing review, reconciliation and maintenance will be undertaken by BCT Executive team on a quarterly basis.

1.3 The benefits of BCT implementing and maintaining an ALR allows BCT Board to

demonstrate: a. It understands the liabilities / obligations / commitments of the business. b. It understands the risk of these commitments to its going concern status. c. The business has the capacity / liquidity to maintain these commitments over time. d. The governance structure that is in place is relevant and proportionate to the scope,

scale and risk profile of the business. e. Resources are being invested appropriately in optimising the income generating

capacity of the property assets. f. Resources are being appropriately managed and deployed to provide a return on the

cumulative investment in the business. g. It is balancing the ambition to grow with the responsibility to protect the social housing

assets. h. It is compliant with regulatory requirements.

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2. Background to BCT

2.1 The BCT was formed to create a sustainable and self-financing future for the iconic Grade 2* listed Byker Estate. S:\Property Services\IMPORTANT DOCS\English Heritage Byker Listing

2.2 On the 5th July 2012 the stock transfer of the Byker Estate from Newcastle City Council (NCC) to the BCT was finalised.

This involved the transfer of all of the social housing stock, garages, hobby rooms and shops together with the land within the Byker Estate, the scope of the transfer was set out within the “Transfer Agreement”. S:\Property Services\IMPORTANT DOCS\Transfer Agreement 05-07-12

2.3 In forming BCT and transferring the Estate, the primary objectives was to ensure the Byker Estate received the level investment required to secure a sustainable future for this listed Estate (building and Estate environment) while retaining and improving the level of services required by the residents. The creation of the BCT has ensured that a focus is kept on the needs of the Estate and its residents while having the resources and flexibility to respond to emerging issues and opportunities

2.4 The initial investment priorities sought to complete the decent homes investment, partially delivered by the NCC but also had a broader range of objectives set out in the “Transfer Offer to the Tenants” S:\Property Services\IMPORTANT DOCS\Official Offer Document.pdf

2.5 As the Estate was built in the 1970’s there was a need for major investment to outworn parts of the building fabric and services. The Byker district heating system (DHS) that provides heat and hot water to most of the homes and buildings on the Estate was one area that required major investment. To reduce the risks to BCT, the district heating infrastructure has remained in the ownership of NCC until the upgrade works are completed and successfully commissioned. The details of these arrangements are set out in the suite of District Heating transfer documents that comprise;

1. “The Residential Heat Supply Agreement.”

S:\Property Services\IMPORTANT DOCS\DHS\DHS RESIDENTIAL SUPPLY AGREEMENT.pdf This agreement includes a detailed breakdown of all costs and income including RHI & FIT relating to the operation of the DHS. Details of cost apportionment between BCT and NCC are also included.

2. “DHS Development Agreement.”

S:\Property Services\IMPORTANT DOCS\DHS\DHS DEVELOPMENT AGREEMENT.pdf

3. “DHS Transfer Agreement.”

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S:\Property Services\IMPORTANT DOCS\DHS\DHS Business Transfer Agreement\DHS Business Transfer Agreement.pdf

4. “The Non-Residential Heat Supply Agreement.” S:\Property Services\IMPORTANT DOCS\DHS\DHS Non Residential Supply Agreement.pdf

2.6 From July 2012 to October 2016, the support services for the Estate were initially delivered by Your Homes Newcastle (YHN) and NCC for a period of four years via the YHN Management Agreement and NCC Service Contract. S:\Property Services\IMPORTANT DOCS\YHN Management Agreement S:\Property Services\IMPORTANT DOCS\Transfer Agreement 05-07-12 These contracts included a requirement for BCT to undertake a full review by year three, to look at costs, risks, quality, performance and any benefits of existing arrangements and to also look at those of alternative providers.

2.7 2.8

Following a BCT Board Away day “Visioning for 2020” on 22 November 2014, Board established a new Corporate Plan 2015-20 and new Vision, Mission, Values and Objectives. S:\9. Finance & Resources\4. BCT POLICIES\1. Policy Latest Versions\7) Strategies\Q Corporate Plan Action Plan\BCT-Corporate-Plan-2015-2020.pdf The CEO and BCT Board took considerable time working through a rigorous, professional and thorough process (commencing February 2014 with the contract review) leading to the decisions of the Board in 2015. The work included:

• Examining the service coverage of the current contracts and underlying costs put in

place at the time of stock transfer and lasting for a 4 year duration;

• Benchmarking across a range of comparator organisations (outcomes as well as costs);

• Consideration of value for money, efficiency and quality;

• Potential tax efficiency as a contribution to reducing costs through participation in a

Cost Sharing Vehicle (CSV).

In addition, BCT commissioned independent and professional due diligence work and took appropriate legal and other advice. BCT were clear on the objectives to be achieved by the service transition which were:

• Control over standards of service delivery with a focus on improvement in quality and

cost;

• Value for money including excellence in service to customers; and

• Completing the stock transfer promises to tenants, including those which highlighted

service delivery reviews.

The new contract arrangements are set out in Section 6 The Corporate Plan for 2020/21 has been formulated around delivering the main strategic themes agreed by Board. The strategic objectives for 2020 and beyond are:

• Making Byker an Estate of Choice;

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• Contributing to a Thriving Byker; and

• Ensuring that BCT's community ethos is sustained. S:\7. Governance\(a) BOARD\2020\e. 29 July 2020\17a. Appendix A CPAP 2020-21 Q1.pdf

3. Governance Arrangements

3.1 BCT is a Registered Provider of Social Housing, and a Cooperative and Community Benefits Society with Charitable Objectives. Board have adopted the National Housing Federation Excellence in Governance 2015 standards and also incorporate an ethos of a “Community Trust.” An external review of BCTs governance arrangements and documents was commissioned in October 2017 and in July 2018 a new governance structure and rules were adopted.

3.2 3.3

The Board is responsible for setting the overall strategic direction of the business and comprises 12 board members. The members include;

• 3 Tenant Board Members

• 5 Independent Board Members

• 2 Local Authority Board Members

• 2 Independent or Tenant Board Members

The current Board Members are; S:\7. Governance\(a) BOARD\Board Members List.doc BCT’s key governance documents include:

• BCT Rules

• Scheme of Delegations

• Board Standing Orders

• Board Member and Shareholder Policy

• Shareholder Register

• Terms of Reference for the Committees of Board They can be found here: S:\7. Governance\New Governance Documents from May 2018

3.4 The CEO is supported by an Executive Team who are responsible for the delivery of the day to day business operations of BCT and to drive forward the business to ensure it achieves its objectives and delivers a high quality service.

4. Property Register

4.1 The physical assets owned by BCT are all located within the boundary of the Byker Estate. The portfolio of BCT’s assets includes freehold properties for rent, garage blocks, hobby rooms, the freehold interest of leasehold properties other non-residential buildings such as shops and heat stations and all land within the Estates red-line boundary. BCTs Asset Register includes details of which assets are secured against our loan facility with Yorkshire Building Society (YBS). The asset register is reconciled to the statistical data return (SDR) each year. S:\Property Services\Asset and Liability\Asset Register.xlsx The financial asset register showing the historic cost of assets under BCT ownership is updated monthly and is found here:

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S:\9. Finance & Resources\Finance Documents\Management Accounts\2020-21\5. August 2021\WP003 Fixed Asset Depreciation Aug done JW.xlsx The table below highlights the remaining lease period for the 29 30 BCT private leaseholders as of September 20192020

BCT Leasehold Properties with 125 Lease

Between 90 and 100 Years Remaining 10

Between 101 and 110 Years Remaining 5

Between 111 and 120 Years Remaining 8

More than 120 Years Remaining 67

Total 2930

4.2

The majority of these assets were included in the initial Transfer Agreement. BCT has however taken a very proactive approach to developing and growing its asset base, since the stock transfer in July 2012. The Transfer Agreement allows for BCT to acquire from NCC any buildings in their ownership which are empty and surplus to requirements within the red line boundary of BCTs ownership, subject to viable business cases. The Asset Register confirms which properties are secured against the YBS loan facility. S:\Property Services\IMPORTANT DOCS\Transfer Agreement 05-07-12\Transfer

4.3 Transferring tenants retained their Right to Buy entitlement and new tenants have the Right to Acquire. Since the BCT was formed in 2012 there have been a number of completed Right to Buy applications. BCT receive 100% of any capital receipt from RTB and RTA sales and this funding is ring-fenced for property buy backs. S:\Property Services Confidential\Right to Buy + Buybacks The procedure for considering buyback opportunities is found here: S:\7. Governance\(a) BOARD\2019\a. 14 February 2019\9. Review of BuyBack Policy.docx S:\7. Governance\(a) BOARD\2019\a. 14 February 2019\9a. BCT Property Purchase Policy.docx

4.4 Since July 2013, BCT Board agreed for BCT to acquire properties that come on the market for sale where a payback period of 12 years or less can be achieved. A revised Buy Back Policy was approved in February 2019, requiring future purchases to achieve a positive return on investment over a 30 year net present value (NPV) calculation. BCT has successfully acquired a number of properties and subsequently refurbished them for rent. All details can be found in:

S:\Property Services Confidential\Right to Buy + Buybacks

4.5 As detailed within the transfer agreement, BCT has the option to acquire acquired land and buildings from NCC. , Chirton House, a vacant care home. This has been acquired and fully refurbished to provide 16 apartments for the over 50’s thereby adding to the property portfolio but also responding to demand for this type of specialist accommodation.

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S:\Property Services\Investment Programme\Chirton House

BCT has converted ten hobby rooms into new dwellings to add to its property portfolio. Two of these hobby rooms were acquired from NCC post transfer. In addition, 45-47 Brinkburn Street has been acquired from NCC and converted to provide an additional four new homes for affordable rent, now named 1-4 Ralph Erskine House. Comprehensive details relating to the development and delivery of the Hobby Rooms Phase 1 project can be found here: S:\Property Services\Hobby Rooms\HCA Compliance Audit - Final Info Comprehensive details relating to the acquisition, development and delivery of the 45-47 Brinkburn Street conversion can be found here: S:\Property Services\45-47 Brinkburn Street Comprehensive details relating to the acquisition of the former Hare and Hounds side can be found here: S:\Property Services\Land Development Sites\Hare & Hounds site transfer Comprehensive details relating to the disposal of the area of land in front of St Lawrence Primary School to the Diocese of Hexham and Newcastle can be found here: S:\Property Services\St Lawrence Primary land disposal

4.6 4.87 4.98

BCT has a lease arrangement with the Charity - Armed Forces and Veterans Launchpad Ltd for Avondale House and a number of supported tenancies leased to the Richmond Fellowship. The lease agreements in place are; S:\Property Services\Investment Programme\Avondale House S:\Property Services\IMPORTANT DOCS\Richmond Fellowship Leases BCT has a lease agreement in place with Foundation Futures for the occupation of The Chevron for office and community-based activities: S:\Property Services\IMPORTANT DOCS\Lease Agreements\The Chevron At transfer a VAT shelter was formed with the agreement of HMRC to allow for the recovery of VAT over a 15 year period within the scope of the Development Agreement 2012 (i.e. initial 15 year investment programme). S:\Property Services\IMPORTANT DOCS\Transfer Agreement 05-07-12\Transfer\Schedule 13 - Development Agreement.pdf

BCT also has agreed with HMRC a partial exemption calculation, details are here: S:\9. Finance & Resources\Finance Documents\VAT and Corporation Tax\VAT Shelter

4.99

BCT also has a “call-off” agreement with NCC for three sites adjoining the Estate. The terms of the agreement are set out in the transfer agreement with the sites defined on the plan. In 2018, BCT were advised that 2 of the 3 sites are designated as green open space and subject to planning restrictions. The call-off agreement enables BCT to develop the

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4.10 4.1110

sites within the constraints of the planning restrictions and when market conditions are favourable without the potential liabilities of owning the vacant sites in the interim. This call-off option is available until 2032. S:\Property Services\IMPORTANT DOCS\Transfer Agreement 05-07-12\Transfer\Schedule 15 - Option sites.pdf To provide cover for all of the assets as well as public and professional indemnity, BCT has a comprehensive insurance policy with Zurich Municipal:. S:\9. Finance & Resources\Finance Documents\INSURANCE\2020-21 document to July 2021 Professional property advice is obtained from Savills, who undertake an annual valuation of BCT assets for loan security purposes. A detailed property valuation supported by a 10% stock condition survey of the charged properties was completed by Savills in 2019: S:\9. Finance & Resources\Finance Documents\ASSETS, NPVs, VALUATION\Valuation\2020\Submission S:\Property Services\Stock Condition Validation\BCT SCS Savills Report.pdf

5. Financial Liabilities Register

5.1 A loan facility agreement with YBS was put in place at the point of transfer in July 2012. S:\Property Services\IMPORTANT DOCS\Funding Agreement (SCND Doc)

5.2 This initial agreement offered a loan of up to £12m over a five year period to help fund the 2012-17 Investment Programme developed to deliver the transfer offer promises. S:\7. Governance\(a) BOARD\2012\(i) 25th July 2012\Item 9 - Exec Summary - Early Years Investment Programme.doc S:\Property Services\IMPORTANT DOCS\Official Offer Document.pdf

5.3 To take advantage of improved financial market conditions BCT refinanced with YBS in January 2015. This amended facility agreement provides a loan of up to £26m over a ten year period at a lower rate of interest. The terms of the facility and revised covenants are detailed in the agreement and variation letter. S:\Property Services\IMPORTANT DOCS\Funding Agreement (SCND Doc)\Facility Agreement Variation Letter 09-01-15.pdf

5.4 To secure further cost certainty and align the drawdown requirements with the investment programme a series of fixings have been put in place. S:\9. Finance & Resources\Finance Documents\LOANS AND TREASURY\Loan\Revised Facility Agreement Dec

5.5

Other than the main YBS loan facility the only other loan agreement incorporated within the business plan is a future Prudential Borrowing facility set up by NCC to fund the purchase price of the District Heating Infrastructure when ownership of the upgrade system transfers to BCT. The terms and conditions of this agreement as set out as the District Heating Transfer Agreement.

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5.6

S:\Property Services\IMPORTANT DOCS\DHS\DHS Business Transfer Agreement In 2019 negotiations between BCT and NCC commenced to agree new funding and transfer arrangements for the DHS. As part of this process, Savills have beenwere instructed to complete a valuation of the DHS infrastructure and plant, in order for BCT and NCC to agree Heads of Terms for a new funding agreement.

S:\Property Services\IMPORTANT DOCS\DHS\Current district heating documents\Savills report & valuation January 2020.pdf

5.7 The loan facilities and projected costs are incorporated within the BCT Business Plan and the overall financial performance of the business set out in the Management Accounts. S:\9. Finance & Resources\Finance Documents\BUSINESS PLAN\01) Business Plan\2020-21\FFR 30.09.20 documents S:\9. Finance & Resources\Finance Documents\Management Accounts\2020-21

5.8 BCT’s staffing structure has been reviewed and amended to respond to business requirements. With the review of housing and environment service delivery in 2015/16 this has led to the expansion of the team as more services are delivered in house to achieve better value for money. Current staff members are:

S:\9. Finance & Resources\OFFICE MANAGEMENT\Staff\BCT Staff Contact List Sep 2020.docx

5.9 5.10

When the Executive Team was first set up in 2012, BCT joined the Tyne and Wear Local Government Pension Scheme and currently 4 staff members are within this pension scheme. S:\10. Finance & Resources - Confidential\Pension Pension Performance Bond. BCT has placed £172,000 on deposit with NCC. This sum is available to NCC to fund any costs they incur in respect of their role as guarantor for the BCT membership of Tyne & Wear Pension Fund. S:\10. Finance & Resources - Confidential\Pension\TWPF The pension arrangements have subsequently been reviewed in order to minimise pension liability risks and as a consequences new members of staff are incorporated into the SHPS ‘defined contribution scheme’ scheme. The following staff members are within this pension scheme. S:\10. Finance & Resources - Confidential\Pension\SHPS BCT has lease and tenancy arrangements in place to occupy premises owned by NCC. This applies to BCT Office at 17 Raby Cross and Unit 2 Ayton workshops which is used by Karbon Solutions Ltd (KSL) operatives for services across our Estate. S:\Property Services\BCT Office\Raby cross 15, 17 & 23_BCT Ltd_Lease_20151030.pdf S:\Property Services\Investment Programme\BCT Office at 17 Raby Cross\Lease and Tenancy - BCT Office at 17 Raby Cross.pdf S:\Property Services\Ayton Street Workshop\Finance

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5.11 Current Assets and Liabilities

1. BCT Creditors - recorded in the Open Accounts system and include amounts owing on BCT company credit card.

2. Cash at bank - Bank statements records held by Finance & Resources Team detail

balances on the individual BCT accounts:

• Lloyds Bank Current Account

• Lloyds Bank Instant Access Deposit Account

• Lloyds Bank 32 Day Notice Bank Account

• Nationwide Building Society Instant Access Savings Account

• Nationwide 125 day notice account

• Santander account (in application).

• BCT Petty Cash Float

3. BCT debtors. Recorded in the Open Accounts system.

6. Corporate Liabilities Register

6.1 BCT is a partner within a Cost Sharing Group with Karbon Homes and Castles and Coast Housing Association, named Karbon Solutions Ltd for 5 years from 1st July 2016.This arrangement allows BCT to access and deliver a range of services with reduced overhead costs and provide greater value for money. S:\9. Finance & Resources\10. ISOS COMPLETE SUPPORT\CSV Members Agreement - Signed.pdf

6.2 From 1st July 2016 the delivery of the grounds maintenance and environmental response service transferred to KSL to deliver as set out within the current Service Agreement for Grounds Maintenance and Environmental Response Services. This Service Agreement has been revised in 2020 to ensure service descriptions were updated to reflect any changes in operational functions, and to include agreed key performance indicators and budgets for 2020/21:: S:\9. Finance & Resources\10. KARBON SOLUTIONS LTD\SERVICE LEVEL AGREEMENTS\SLAs 2020-21\BCTKSL signed SLAs 2020-21\Grounds Maint SLA 2020-21.pdf

6.3 From 3rd October 2016 a number of services have been delivered by KSL to support BCT to efficiently and effectively undertake its business operations. The Service Level Agreements have been refreshed in 2019. These Service Agreements have been revised in 2020 to ensure service descriptions were updated to reflect any changes in operational functions, and to include agreed key performance indicators and budgets for 2020/21. Details of the service terms currently in operation are set out in the specific service agreements: ICT Services - S:\9. Finance & Resources\10. KARBON SOLUTIONS LTD\SERVICE LEVEL AGREEMENTS\SLAs 2020-21\BCTKSL signed SLAs 2020-21\ICT SLA 2020-21.pdf Income Management –S:\9. Finance & Resources\10. KARBON SOLUTIONS LTD\SERVICE LEVEL AGREEMENTS\SLAs 2020-21\BCTKSL signed SLAs 2020-21\Income Management SLA 2020-21.pdf

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Finance –S:\9. Finance & Resources\10. KARBON SOLUTIONS LTD\SERVICE LEVEL AGREEMENTS\SLAs 2020-21\BCTKSL signed SLAs 2020-21\Finance SLA 2020-21.pdf Property Services –S:\9. Finance & Resources\10. KARBON SOLUTIONS LTD\SERVICE LEVEL AGREEMENTS\SLAs 2020-21\BCTKSL signed SLAs 2020-21\Property Services SLA 2020-21.pdf Sheltered Housing Services –S:\9. Finance & Resources\10. KARBON SOLUTIONS LTD\SERVICE LEVEL AGREEMENTS\SLAs 2020-21\BCTKSL signed SLAs 2020-21\Sheltered Housing SLA 2020 - 21.pdf General Services - S:\9. Finance & Resources\10. KARBON SOLUTIONS LTD\SERVICE LEVEL AGREEMENTS\SLAs 2020-21\BCTKSL signed SLAs 2020-21\Additional Business SLA 2020-21.pdf Details of any potential TUPE implications are set out in the respective service agreements.

6.4 From 1 April 2019, new contractual arrangements have been put in place for security/enquiry services and cleaning services for a 3 year period. Details of the service terms are set out in the following contracts: Kingdom Services Group Ltd – agreement for provision of cleaning services - S:\9. Finance & Resources\Finance Documents\Procurement Decisions\Contracts\Cleaning Contract\BCT Cleaning Contract - Final Agreed Form- NCC signed 110620(70730963_1).DOCX G & A Security NE Ltd – agreement for the provision of security and enquiry services - S:\9. Finance & Resources\Tendering\BCT007 - Concierge Review\Cleaning and Security Contracts\G&A Security Contract signed 29 May 2019.pdf

6.5 6.6

From 1 April 2020, new contractual arrangements have bene put in place for cleaning service for a 1 year period, with the option to extend for 1 year subject to satisfactory performance. Details of the service terms are set out in the following contract: Newcastle City Council – agreement for provision of cleaning services - S:\9. Finance & Resources\Finance Documents\Procurement Decisions\Contracts\Cleaning Contract\BCT Cleaning Contract - Final Agreed Form- NCC signed 110620(70730963_1).DOCX To support BCT a range of Professional Support Services are in place. They include external and internal audit arrangements, business planning software, valuation services, security trustee and annual pension disclosure statement. External Audit – Tait Walker S:\9. Finance & Resources\Tendering\BCT015 - External Audit\Letter of Appointment Tait Walker.docx Internal Audit – TIAA S:\9. Finance & Resources\Tendering\BCT016 - Internal Audit\Letter of Appointment TIAA.docx Valuation Services - Savills S:\9. Finance & Resources\Finance Documents\ASSETS, NPVs, VALUATION\Valuation\2020 Security Trustees – Prudential Trustees

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S:\9. Finance & Resources\Finance Documents\Delegated Decision Forms\Appendix 4 Forms Pensions – Pension Actuary S:\10. Finance & Resources - Confidential\Pension\Actuary

6.67 6.78 6.89 6.10

BCT has developed its own procurement strategy for the procurement of services and capital works. S:\7. Governance\(a) BOARD\2020\g. 23 September 2020 - AGM BCT has developed a contract register which provides details of all current contractual agreements including details of suppliers, contract type, cost and duration. This can be located at: S:\9. Finance & Resources\Finance Documents\Procurement Decisions\Contracts\Contract Log.xlsx BCT has in place a Business Continuity and Disaster Recovery Plan which will ensure the continuation of business critical services in the event of an emergency and/or a significant disruption, by minimising the impact of any damage to staff, premises, equipment or records. The purpose of this document is to ensure that there are clear plans in place to maintain critical services whilst also protecting the reputation of the organisation and facilitating the recovery of business critical services and processes within agreed time frames. It provides information, guidance and assistance to managers and members of staff on the course of action to take and sets out clear lines of responsibility. S:\9. Finance & Resources\Risk Register\Business Continuity Plan In March 2020, BCT implemented its Business Continuity and Disaster Recovery Plan following the outbreak of the Covid-19 global pandemic. BCT has continued to monitor Government and Public Health England advice throughout this pandemic, making changes to the way it has delivered it business critical services. As restrictions have eased BCT has carried out robust risk assessments and BCT office has been reopened on a phased approach. Information relating to the office risk assessment and current approach to service delivery can be located in: S:\9. Finance & Resources\OFFICE MANAGEMENT\COVID-19 Return to Office

7. Property Investment Liabilities Register

7.1 BCT developed its own asset register following the stock condition surveys (SCS) completed in 2016 and 2019. This SCS information was validated by Savills in June 2019. A copy of their validation report is located in: S:\Property Services\Stock Condition Validation\BCT SCS Savills Report.pdf . The SCS stock condition information including component replacement years and lifecycles and replacement costs is now held in the OT1S Planned Management Module and is used to inform investment planning. The report listing all properties, blocks, garages and link bridges is held in the folder: S:\Property Services\Stephen\Planned Maintenance and Stock Condition

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7.2 A number of work contracts have been completed via the BCT Investment Programme. These include:-

• Avondale House Refurbishment

• Chirton House Redevelopment

• Modern Homes Omits Programme Phase 1

• Refurbishment of the Byker Wall

• Byker Wall Concierge Upgrade and Communal Digital Aerial Installation

• Hobby Rooms Refurbishment Phase 1

• Byker Wall Link Bridge Improvements

• Modern Homes Omits Programme Phase 2

• Byker Wall High Security Lock Upgrades

• Communal and Emergency Lighting Upgrades

• Communal doors replacements at The Brow, The Chevron, Headlam Green and Thornborough House

• 21 Benson Place structural works

• Tom Collins House and Mount Pleasant External and Communal Upgrade

• Conversion of Ralph Erskine House Recently completed contracts that are still within the defect liability period include:-

• 1-4 Ralph Erskine House conversion

• Tom Collins House and Mount Pleasant External and Communal Upgrade

• Communal doors replacements at The Brow, The Chevron, Headlam Green and Thornborough House

Ongoing contracts include:

• District Heating Internal Upgrade

• Disabled Adaptations Programme

• Passesnger Lift Replacement Programme

• Byker Re-roofing Programme

• Dunn Terrace External Upgrade

• Fire Risk Assessment Works (FRA) Communal Door Replacements from Bamburgh Terrace to Salisbury House

• FRA Fire Compartmentalisation Works Current investment projects under development are:

• Comprehensive Environmental Upgrade of the Estate Phase 1 H&S works

• Replacement programme of 272 kitchens and 354 bathrooms

• Replacement programme of 110 doors

• Conversion of 3 commercial units into 4 new homes

• Dunn Terrace External Upgrade

• Fire Risk Assessment Works (FRA) Communal Door Replacements from Bamburgh Terrace to Salisbury House

• FRA Fire Compartmentalisation Works

Details of all scheme development information can be found in BCT’s Property Team confidential storage room at BCT Office. Information is also held in: S:\Property Services 188 tenants chose to omit from the internal decent homes upgrade in Byker completed by NCC. These properties are being upgraded internally through the voids process or opted in

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through the modern homes phase 1 and 2 omit programme and one-off procurements. The outstanding modern homes internal omits are: S:\Property Services\Omits

7.3 To support the BCT Investment Programme grant funding has been secured where possible and grant agreements include:- Avondale House - Ministry of Defence funding Chirton House – NCC funding Hobby Room Refurbishment Phase 1 – Homes England funding 45-47 Brinkburn Street Conversion – Homes England funding Conversion of 3 commercial units into 4 new homes – Homes England funding The financial position of the grants including any accumulated amortisation is updated monthly. The latest information is here: S:\9. Finance & Resources\Finance Documents\Management Accounts\2020-21\5. August 2021\WP015 Grants Aug done JW\WP015 Grants Aug 2020.xlsx Spirit Partnership Deed of Adherence: S:\Property Services\Hobby Rooms\HCA Compliance Audit - Final Info\Final Information for Compliance Audit\Item 1B - Deed of Adherence to Empty Homes Empty Homes Grant Agreement: S:\Property Services\Hobby Rooms\HCA Compliance Audit - Final Info\Final Information for Compliance Audit\Item 1A Empty Homes Consortium Agreement\Item 1A - Empty Homes Consortium Agreement 2015-18 allocation (mixed led consortium) - dated 24-11-2015.pdf

Shared Ownership & Affordable Homes Programme 2016-21 S:\Property Services\Hobby Rooms\HCA\Shared Ownership & Affordable Homes Programme 2016-21.pdf

7.4 BCT has a transfer agreement in place to transfer the upgraded district heating infrastructure from NCC once the improvements included in work package 1 and work package 2 are complete and a transfer date agreed in partnership with NCC. The agreement sets out the terms and conditions of the transfer including the purchase price and prudential borrowing arrangement to potentially fund the purchase. Further details are included in 5.6 above. S:\Property Services\IMPORTANT DOCS\DHS\DHS Business Transfer Agreement

7.5 BCT are included in a framework agreement for all of its internal and external cyclical painting programme contracts in place with Bell Group for a 4 year period from January 2016. S:\Property Services\IMPORTANT DOCS\Bell Group Framework

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8. Other Assets

8.1 To support the delivery of BCTs business, we own a number of fixed assets which includes:-

• ICT hardware (e.g. IGELS, Screens, Office Furniture & Equipment, telephones, ICT networking installation, mobile phones, laptops, ipads and software licences);

• Leased equipment (e.g.: vehicles, photocopies);

• Grounds maintenance and environmental response team equipment;

• Disabled adapted stairlifts and shower cubicles. A comprehensive list of these assets including make, model and serial numbers where available is located:- S:\9. Finance & Resources\OFFICE MANAGEMENT\Maintenance\Equipment Inventory BCT.xlsx Latest financial details are here: S:\9. Finance & Resources\Finance Documents\Management Accounts\2020-21\5. August 2021\WP003a NON_HOUSING Fixed Asset Depreciaton Aug done JW.xlsx

References:-

National Housing Federation ‘Managing the Assets’ a guide for Housing Associations 2nd

Edition.

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Board 23 September 2020

Title: Biannual update of Procurement Strategy and Procurement Rules

Report By: Michelle Bell, Director of Property and Development

FOR DECISION

Business Implications

Risk The procurement strategy and rules set out how procurements will be managed at BCT.

Financial and Value for Money A strong procurement strategy and clear rules enable BCT to meet its financial and value for money (VFM) obligations.

People/Consultation The procurement process involves Board members, employees, stakeholders and customers where possible.

Equality and Diversity This is a stand-alone strategy however the procurement process will ensure no one is discriminated against and we provide equality of opportunity.

Environment Implications The environment is considered as part of the procurement process and BCT will seek to minimise any impact.

Contractor Implications Following the processes within the strategy will ensure only contractors who share our values and meet our requirements will be appointed.

1.

Recommendations

1.1 The Board are recommended to consider and approve BCT’s updated Procurement Strategy contained in Appendix A and updated Procurement Rules in Appendix B.

2. Synopsis

2.1 A key objective of BCT’s Corporate Plan is to secure outcomes which balance efficiency, economy and effectiveness in all we do, and procurement plays a key role in achieving this.

3. Background Information

3.1

Board approved BCT’s Procurement Strategy in September 2018 which sets out our strategic approach to procurement, promotes value for money (VFM) in delivering our objectives and demonstrates this VFM to our stakeholders. This is a key requirement of the Regulator of Social Housing’s (RSH) VFM Standard.

3.2

The Procurement Rules table forms part of BCT’s Financial Regulations. The table sets out the rules governing procurement within BCT.

4. Updated Procurement Strategy and Procurement Rules

4.1

During the biannual review of BCT’s Procurement Strategy and Procurement Rules, consideration has been given to the impact on procurement following the UK leaving the European Union (EU). During the Brexit transition period i.e. from 31 January 2020 to 31 December 2020, public procurements continue to be bound by the same UK and EU rules as they are now.

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4.2 From 1 January 2021, the Public Procurement Amendment Regulations 2019 will come into force. Largely the regulations remain unchanged with the exception that a new e-notification service called ‘Find a Tender’ will be used to post and view public sector procurement notices and will go live on 1 January 2021. It will replace the requirement to publish notices in the Official Journal of the European Union (OJEU) where applicable.

4.3 BCT will register with ‘Find a Tender’ once the portal opens on the Government website.

4.4 The updated Procurement Strategy, contained in Appendix A, has been track changed with minor amendments. Its primary purpose is to ensure BCT’s procurement is consistent and carried out to the highest standards.

4.5 4.6

The Procurement Rules, contained in Appendix B, have been updated and set out the procurement route that will be adopted, depending on the value of the services or works. The limits have been simplified and brought in line with the Scheme of Delegations approved by the Board. The updated rules are more clear on when the Board should approve procurements, simply be informed.

5.

Contact Officer

5.1 If you have any questions about this report that you would like clarifying before the meeting, you can contact Michelle Bell by telephone on 0800 5335 442 or email michelle.bell@bykerct.co.uk

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Procurement Strategy 202018 - 220

Version: 21 September 202018

Policy Details

Policy Name Procurement Strategy

This policy is applicable to BCT Staff

Author name Michelle Bell

Author job title Director of Property and Development

Authorised by Board

Date Authorised September 2020

Version Number 2

Frequency of review Biannual

Date of next review September 2022

Responsible Officer(s) for implementation Director of Property and Development

Key related documents Financial Regulations (procurement rules)

Document change history

Version Date Changed sections

1 (original) September 2018 n/a

2 September 2020 Refresh: OJEU ending, new corp objectives

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Contents

1 – Introduction 2 – Background to Byker Community Trust (BCT) 3 – Procurement Vision 4 – Procurement Objectives

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1. Introduction 1.1 Procurement Definition

Procurement is the process of obtaining works, goods and services in the delivery of day to day activities. Procurement is more than purchasing items; it considers the whole process from identifying a requirement, building a specification to the assessment of solutions and contract management. Procurement applies to a wide range of categories, from everyday items such as stationery to large maintenance contracts such as replacing roofs. There are multiple procurement models that can be adopted with a view to delivering fit for purpose solutions which give value to BCT.

1.2 Effective Procurement Importance

As a Registered Provider (RP) of Social Housing, regulated by the Regulator of Social Housing (RSH), BCT is committed to delivering high quality services to its customers, and has a duty to ensure that all works, goods and services that are procured deliver Value for Money (VFM). Taking the right approach for BCT’s procurement needs, will ensure that the works, goods and services purchased are fit for purpose and provide the very best VFM. Procurement is a vehicle for identifying, achieving and reporting VFM. VFM is described by the three ‘E’s of economy, efficiency, effectiveness.

Economy Turns money spent into inputs

Buy in goods and services at the best price.

Efficiency Turns inputs into outputs

Review internal processes to be lean and remove waste.

Effectiveness Turns outputs into outcomes.

Direct resources where they will have the biggest impact towards delivering BCTs VisionStrategic Objectives. Recognise that BCT shouldn’t try to do everything and work with partners where they can provide a more effective service than BCT.

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Good procurement is vital to achieving Economy, Efficiency and Effectiveness. Procurement has been highlighted as an important consideration by a number of national and sector-specific organisations. BCT is bound by a number of procurement guidelines as set out by:

• UK Law

• EU Law (until 31 December 2020)

• Regulator of Social Housing 1.3 Procurement Governance

BCT Financial Regulations provide clear guidelines for the appropriate actions required when procuring works, goods and services.

1.4 Document Purpose

The purpose of the BCT Procurement Strategy is to set out the vision and procurement objectives which guide all procurement activities in the organisation. This document will set out the processes to deliver the strategy and will demonstrate BCT’s approach to ensure that all of procurement is consistent and conducted to the highest quality standards, utilising economies of scale where possible.

2. Background to the Byker Community Trust Limited 2.1 On 5 July 2012, BCT became the owner of 1,805 homes, land and other non-residential

buildings across the Byker Estate following a stock transfer from Newcastle City Council. The Byker Estate is Grade II* listed and its heritage is of importance both locally and nationally.

2.2 As a society registered under the Co-operative and Community Benefit Societies Act 2014,

BCT complies with requirements of the Financial Conduct Authority (FCA). 2.3 RP’s are subject to the Public Contracts Regulations 2015, which will be superseded from 1

January 2021 with the Public Procurement Amendment Regulations 2019. BCT and must adhere to the principles of fairness, proportionality and transparency detailed therein. BCT’s Financial Regulations provide the framework for the financial administration of the organisation with a view to ensuring that financial affairs are conducted in a sound and proper manner, and that BCT achieve VFM in all business activities.

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2.4 Vision

BCT Vision for 2020 is an independent Byker Community Trust where; we have delivered on the major stock transfer promises; we ensure tenants have a key voice and role in decision making and we maximise access for local people into employment, training, health and educational opportunities.

BCT’s strategy for 2025 is: • Making Byker an Estate of Choice; • Contributing to a thriving Byker; and • Ensuring that BCT’s community ethos is sustained. Mission

“We work for people who have a voice and influence in our business; we celebrate our diverse neighbourhood; we provide quality homes, environment and services.”

Values

The organisational values are set around doing the best for Byker by being:

• Ambitious for people and the community.

• Energetic in our work with and for our diverse neighbourhoods.

• Innovative in providing excellent services.

• Open and transparent in the conduct of our business.

• Unrelenting in our focus on positive change.

3. Procurement Vision 3.1 BCT will aim to ensure that its procurement activity:

• Is recognised as being highly competent, professional and a leading example in the sector;

• Is fair, transparent, maximises social and economic benefits, sustainable and where practicable uses local suppliers and contractors;

• Involves customers wherever possible;

• Is flexible, innovative, and helps to deliver the very best services to customers whilst delivering exceptional VFM;

• Meets the aspirations of maximising social value and employment and training opportunities through the delivery of the capital investment programme, as outlined in the Capital Investment Strategic Brief.

3.2 Capital Investment Strategic Brief

BCT’s Capital Investment Strategic Brief outlines its procurement aspirations for partnership working in the delivery its capital investment programme. It provides an insight into the vision, values and ambition of the BCT and the intention to work closely with partners to deliver a

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high quality investment programme that offers high quality improvements whilst maximising the social and economic benefits to the Byker Estate and its residents. Whilst this is not an easy challenge, by working in partnership with common values, objectives and real passion for Byker we know we will make a difference, a positive difference to our community together. Whilst the Strategic Brief will provide this insight, all tender evaluation expectations and weighting against cost and quality will be explicit within each tender documentation.

4. Procurement Objectives 4.1 Overview of Objectives

There are a number of strategic objectives which will help BCT achieve its Procurement Vision. The objectives set out below will be managed and achieved through the delivery of all procurement activity. These objectives have been linked to the procurement vision:

Procurement Vision Point Objective

Highly Competent and Professional

• Strategic Procurement

• Continuous Improvement

Transparent

• Tendering Approach

• Straightforward & Transparent

Accessible

• Guidance & Support

• Contract Management

Customer Focused

• Customer & Community Involvement

Partner of Choice • Electronic Transaction

• Fair and Honest Partner

4.2 Highly Competent and Professional 4.2.1 Strategic Procurement

All procurement activity will be well thought through, and all relevant factors and stakeholders considered before proceeding. Pre-procurement strategic planning will ensure delivery of effective solutions that will integrate with the Business Plan and day-to-day activities.

Pre-procurement strategic planning will encompass:

Project Scoping – collaborative working with budget holders & relevant stakeholders to identify requirements and plan the best commercial solution.

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Project & Supply Chain Positioning – analysing the specific market conditions and potential providers, understanding their impact, and conducting procurement appropriately.

Procurement Lifecycle Consideration – understanding the long-term aims of a given procurement, and where possible anticipating future requirements.

Key Stakeholder Consultation – adapting specifications and approaches to meet the outcome of consultations where required.

VFM & Efficiency – analysis of procurement requirements to identify changes in approach and delivery that could increase efficiency and VFM. Whole life cycle costs will be considered when assessing bids.

Corporate Social Responsibility related factors such as the Environment, Social Value and Equality & Diversity will be considered when planning procurement approach & activity.

In addition to the pre-procurement approach, BCT will report to Board on all major procurement activity outlining how procurements were scoped and conducted. This will also demonstrate BCT’s VFM achievements.

Procurement compliance will be monitored together with spending patterns to identify where procurement can add value to BCT’s day-to-day activities and ensure that procurement conforms to the regulations BCT are bound by.

4.2.2 Continuous Improvement

The aim is to strive for procurement excellence and improve year on year to deliver best value for customers.

Measurable targets for procurement activity will be set which outline procurement performance and demonstrate effectiveness.

Targets will include:

VFM – savings against budgets, avoided costs and increased efficiencies.

Contracted Spend – value of purchases which are made within procured contracts.

Delegated Framework Conformance – the number of procurements which adhere to the rules set out by the Financial Regulations. Major Procurements - Maintain and make available a register of BCT’s VFM achievements for all completed major procurements.

4.3 Transparent 4.3.1 Tendering Approach

Adopt a standard approach to tendering which promotes equal opportunities, is fair, transparent, and easy to understand. This approach is outlined in the Capital Investment Strategic Brief and will ensure best practice within the supply chain and that selected partners meet the minimum requirements. Where appropriate BCT will support the use of local business and SMEs (Small/Medium Enterprises).

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For all major contracts the Director of Finance and Resources will carry out financial checks on tenderers to ensure they are financially robust.

Tenders will be assessed on a best value basis, ensuring that both commercial and quality factors are assessed. Tenders will be constructed commercially to give maximum price certainty and operational flexibility and will assess quality factors by asking intelligent and focused questions.

Specifications will be output led where possible to maximise value from the supply chain.

At all times tenders will be focused on delivering excellent VFM.

4.3.2 Straightforward & Transparent

All procurement activity and supporting documentation will be simple to understand, uncomplicated and focused on delivering excellent solutions.

Guides, tender documents and contracts will be straightforward and clear, and will set out BCTs intentions so that all stakeholders, including suppliers and contractors are able to understand their role.

A transparent approach will promote competition, responsible behaviour with bidders offering constructive feedback to unsuccessful bidders.

4.4 Accessible 4.4.1 Guidance & Support

Procurement for the organisation must be accessible, simple to understand and add value.

Maintain and make available a register of current contracts together with current and planned procurement projects, which will encourage dialogue with stakeholders for any future projects which may provide mutually beneficial outcomes.

4.4.2 Contract Management

Effective contract management is essential in ensuring that procured goods and services continue to be effective and deliver VFM.

For consistency, a suite of standard terms and contracts for goods, services and works will be used, tailored for specific spend categories.

Effective contract and performance management tools and techniques will be integrated within BCT specifications and contract terms in order to monitor and manage delivery throughout the life of the contract.

At all times BCT will construct tenders and contracts to extract added value from suppliers and contractors.

4.5 Customer Focused 4.5.1 Customer & Community Involvement

Procurement activity is focused on delivering high quality services to customers which represent excellent VFM.

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Procurement methods, specifications and contracts will be focused on meeting customers’ needs, and representative of the organisation’s values and objectives.

Added value initiatives will be delivered via the supply chain, and will where appropriate, select suppliers and contractors that have demonstrated experience and skills in the sector.

Potential suppliers and contractors will be evaluated on their ability to deliver customer service to BCT standards.

Customer feedback will inform how services are delivered and involvement panels will be involved in major procurements where appropriate.

Where practicable, customer panels will be consulted prior to the drafting of specifications to ensure that suppliers and contractors deliver contracts in line with customer’s expectations.

Major procurements will conform to requirements of the Social Value Act (2012) and will consider the impact of service delivery on the community. Where possible, community involvement initiatives will be explored through the procurement process and supply chain.

4.6 Partner of Choice 4.6.1 Electronic Transaction

To promote simple and accessible tendering, all major procurements will be managed electronically.

4.6.2 Fair & Honest Partner

Through the procurement approach and activity, BCT will aim to be a preferred employer from the suppliers’ and contractors’ point of view.

All procurement activity will be conducted in a fair, open and transparent way which promotes healthy competition and allows bidders to present their expertise and offers clearly.

Open and constructive feedback will be offered to unsuccessful bidders and support efforts to improve tendering skills.

Standard contracts and terms will be balanced, fair and easy to understand to promote collaborative working.

Payment terms will not be restrictive and will pay suppliers and contractors on time for delivered goods, services and works.

At all times BCT will endeavour to work in partnership with the supply chain to realise mutual benefits and deliver added value to BCT customers.

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Appendix B

Financial Regulations – Procurement Rules

Contract Value Procurement Method Evidence Required

up to £5,000

Obtain comparative quotations from at least 2 suitably experienced suppliers.

Specification/detail of works provided, and assessment of tender submissions based on price and minimum quality assessment.

Quotations received (in writing or by email). Budget / Business Plan provision available.

£5,000 to £50,000

(Where there is specific budget

approved.)

Seek comparative quotations from a minimum 3 suitably experienced suppliers.

Formal specification provided to all tenderers and assessment of tender submissions based on price and quality.

Quotations received (in writing or by email). Direct Budget / Business Plan provision approved by Board. Procurement decision reported at the next meeting of the Board. Works commissioned under the approved investment programme will be notified only if over £20k.

£50,000 and

over

The Scheme of Delegations defines a major decision as a new cost or undertaking over £50,000.

Major procurement decisions require Board approval.

Seek competitive quotations from a minimum of 4 suitably experienced suppliers or obtain prior Board approval to negotiate costs with preferred supplier where VFM can be evidenced.

Formal specification provided to all tenderers and assessment of tender submissions based on a price and quality ratio.

Board member included in the tender evaluation panel.

Detailed tender based cost and quality. Budget / Business Plan provision approved. Procurement decision reported at the next meeting of the Board.

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Appendix B

Financial Regulations – Procurement Rules

Contract Value Procurement Method Evidence Required

Up to £50,000

Negotiated Tender

(Where there is specific budget

approved.)

This procurement route to be avoided where possible. Only to be used where there is a very specialist supplier or a strong VFM basis for negotiating direct with a single supplier.

Directly negotiate works with a specialist consultant or contractor if required.

All instances require CEO approval and reported to Board.

Quotations received (in writing or by email). Budget / Business Plan provision approved. Procurement decision reported at the next meeting of the Board. Detailed evidence recorded as to why directly negotiated works are required.

Note: OJEU thresholds

Procurement must follow the OJEU mandatory steps and timescales for tendering and awarding contracts.

The 2020 thresholds for OJEU compliant tenders are: o Supply, service and design contract threshold £189,330 o Works contract threshold £4,733,252

Note that OJEU thresholds apply to the total cost of the awarded contract.

Detailed tender based on cost and quality. Budget/ Business Plan provision approved. Evidence to Board that procurement process has been OJEU compliant.

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Board 23 September 2020

Title: BCT Self-assessment against the Housing Ombudsman Service Complaint Handling Code

Report By: Philip Pollard, Director of Operations

FOR INFORMATION

Business Implications

Risk The purpose of the self-assessment is to ensure that BCT have a relevant policy and procedures in place to effectively deal with complaints, compliments, feedback and suggestions. Performance reporting linked to the policy allows Board to evaluate any potential risks to the business.

Financial and Value for Money BCT policies are established to maximise income and ensure that cost, quality and customer satisfaction targets are achieved so that BCT continue to achieve Value for Money (VFM).

People/Consultation BCT have an established Tenant Engagement Framework that maintains open communication channels. All policies are made accessible for tenants.

Equality and Diversity Byker has a very diverse community and by engaging with all residents through various methods we are able to reach people whose characteristics are detailed in the Equality Act. The policy has been subject to Equality Impact Assessments.

Environment Implications Failure of having an effective policy in place could impact adversely upon the Estate environment in various ways.

Contractor Implications The performance of contractors in the delivery of BCT policies is closely monitored through SLAs by the Senior Management Team to ensure that performance and satisfaction levels are achieved.

1.

Recommendations

1.1

BCT Board is recommended to note the self-assessment of the BCT Complaints, Compliments, Suggestions and Feedback Policy and Procedure against the Housing Ombudsman’s Complaint Handling Code.

2. Synopsis

2.1

Board previously approved BCT’s Complaints, Compliments and Suggestions Policy in November 2019.

2.2 The Customer Scrutiny Committee (CSC) undertook a scrutiny review of BCT’s Complaints, Compliments and Suggestions Policy, with feedback and recommendations being incorporated into a new policy and procedure implemented from January 2020.

2.3 The Housing Ombudsman Service expects landlords to carry out regular self-assessments against its Complaints Handling Code and to take appropriate action to ensure compliance.

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3. Self-assessment against the Housing Ombudsman Service Complaints Handling Code

3.1

In July the Housing Ombudsman Service published a new complaint handling code for housing organisations. A copy of the Code was provided to Board Members at the July meeting.

3.2 The purpose of the Code is to enable landlords to resolve complaints raised by their residents quickly and to use the learning from complaints to drive service improvements. Every landlord must self-assess against the Code on a comply and explain basis. Non-compliance could result in the Ombudsman issuing complaint handling failure orders. Separate guidance on these orders has also been published by the Ombudsman.

3.3 The Code acts as a clear guide for residents, setting out what they can expect from their landlord when they complain. The requirements in the Code also provide residents with information about how to make a complaint and how to progress it through the landlord’s internal complaints procedure. The Code supports the RSH guidance ensuring that a landlord’s approach to complaints is clear, simple and accessible, and it ensures that complaints are resolved promptly, politely and fairly.

3.4 The Ombudsman expects landlords to carry out regular self-assessments against the Code and to take appropriate action to ensure all complaint handling is in line with it. The first self-assessment must be completed by 31 December 2020, reported to Board Members and published. The Ombudsman may request sight of the assessment and evidence which supports it.

3.5 BCT have completed the self-assessment (attached at Appendix A) as part of the CSC’s annual review of their recently introduced ‘Complaints and Compliments Policy and Procedure’. The results of the self-assessment as well as the learning from the review will be published on the BCT website and in BCT’s Annual Report to Tenants in the Autumn.

4. Next Steps

4.1 Board and CSC will continue to receive quarterly performance reports that detail BCT’s performance in the key areas of complaints, compliments, feedback and suggestions.

5. Contact Officer

5.1 If you have any questions about this report that you would like clarifying before the meeting, you can contact Philip Pollard by telephone on 0800 5335 442 or email philip.pollard@bykerct.co.uk

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Housing Ombudsman Complaint Handling Code:

Self-assessment form

Compliance with the Complaint Handling Code

1 Definition of a complaint Yes No

Does the complaints process use the following definition of a complaint? An expression of dissatisfaction, however made, about the standard of service, actions or lack of action by the organisation, its own staff, or those acting on its behalf, affecting an individual resident or group of residents. The above definition is included in section 2.1 of the BCT Complaints, Compliments and Suggestions Procedure and section 3.0 of the BCT Complaints, Compliments and Suggestions Policy will be updated to reflect this.

X

Does the policy have exclusions where a complaint will not be considered? The BCT Complaints, Compliments and Suggestions policy defines exclusions in Section 7.0 “Complaints we will not investigate”.

X

Are these exclusions reasonable and fair to residents? Evidence relied upon The exclusions were developed and agreed with the BCT Customer Scrutiny Committee during their review of the Complaints, Compliments and Suggestions Policy and Procedure, which were subsequently approved by the BCT Board.

X

2 Accessibility

Are multiple accessibility routes available for residents to make a complaint?

X

Is the complaints policy and procedure available online? X

Do we have a reasonable adjustments policy? X

Do we regularly advise residents about our complaints process?

X

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3 Complaints team and process

Is there a complaint officer or equivalent in post? All complaints are registered by the Office Manager who will then delegate to the appropriate Manager or Director who will oversee the investigation, depending upon the stage of the complaint.

Does the complaint officer have autonomy to resolve complaints? X

Does the complaint officer have authority to compel engagement from other departments to resolve disputes?

X

If there is a third stage to the complaints procedure are residents involved in the decision making?

X

Is any third stage optional for residents? Following stage 2 of the complaints process, complaints can be reviewed locally by a ‘designated person’ or the Housing Ombudsman. A designated person can be an MP or a local Councillor. The designated person may help resolve the complaint directly, may refer the complaint to the Housing Ombudsman, or may decline doing either. In the latter case, the complainant may approach the Housing Ombudsman for their consideration of the complaint.

X

Does the final stage response set out residents’ right to refer the matter to the Housing Ombudsman Service?

X

Do we keep a record of complaint correspondence including correspondence from the resident?

X

At what stage are most complaints resolved? Since the introduction of the BCT Complaints, Compliments and Suggestions Policy in January 2020, 63% of complaints have been resolved at the Informal Stage. The remaining 37% of complaints were resolved at stage one of the process.

X

4 Communication

Are residents kept informed and updated during the complaints process?

X

Are residents informed of the landlord’s position and given a chance to respond and challenge any area of dispute before the final decision?

X

Are all complaints acknowledged and logged within five days? X

Are residents advised of how to escalate at the end of each stage?

X

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What proportion of complaints are resolved at stage one? Since the introduction of the BCT Complaints, Compliments and Suggestions Policy in January 2020, 100% of complaints have been resolved at the conclusion of stage one. 63% informal 37% stage one.

What proportion of complaints are resolved at stage two? n/a

What proportion of complaint responses are sent within Code timescales? Performance since January 2020:

Stage one – 97% Stage one (with extension) – 3%

Stage two – n/a Stage two (with extension) – n/a

X

Where timescales have been extended did we have good reason? Since January 2020, one complaint has been extended beyond Code timescales. This was due to a delay with a supplier providing information however the customer was kept informed of progress throughout.

X

Where timescales have been extended did we keep the resident informed? In the one case that has been extended beyond Code guidelines, the customer was kept fully up to date.

X

What proportion of complaints do we resolve to residents’ satisfaction? Since January 2020, 100% of complaints have been resolved to customers’ satisfaction.

X

5 Cooperation with Housing Ombudsman Service

Were all requests for evidence responded to within 15 days? BCT have not received any requests from the Housing Ombudsman Service.

n/a

Where the timescale was extended did we keep the Ombudsman informed? N/A

n/a

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6 Fairness in complaint handling

Are residents able to complain via a representative throughout? X

If advice was given, was this accurate and easy to understand? X

How many cases did we refuse to escalate? Zero What was the reason for the refusal? N/A

X

Did we explain our decision to the resident? X

7 Outcomes and remedies

Where something has gone wrong are we taking appropriate steps to put things right?

X

8 Continuous learning and improvement

What improvements have we made as a result of learning from complaints?

How do we share these lessons with:

a) residents? Performance and learning from complaints is published in the BCT reception and performance reports are presented to the Customer Scrutiny Committee on a quarterly basis.

b) the board/governing body? Performance reports from complaints are presented to the BCT Board and Customer Scrutiny Committee on a quarterly basis.

c) In the Annual Report? A performance section is

included in the Annual Report.

Has the Code made a difference to how we respond to complaints? BCT have been able to use the Code to engage with customers in order to ensure that their views were incorporated into the development of the BCT Complaints, Compliments and Suggestions Policy and Procedure.

X

What changes have we made? BCT have updated the Complaints, Compliments and Suggestions Policy, Procedure and working practises. A digital process has also been introduced to provide ease of access for customers.

X

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