Partnership Arrangements: Wales

December 18th, 2015 by James Goudie KC in Social Care

The Partnership Arrangements (Wales) Regulations 2015, SI 2015/1989 (W.299), made pursuant to the Social Services and Well-being (Wales) Act 2014, make provision for partnership arrangements between local authorities and Local Health Boards; and set out the requirements for each Local Health Board, and the local authorities within the area of each Local Health Board, to take part in partnership arrangements for the carrying out of specified health and social services functions. The Regulations also make provision, amongst other things, for the operation and management of the partnership arrangements, the establishment of regional partnership boards and the establishment and maintenance of pooled funds.

Regulations 2 to 8 describe the Local Health Boards and the local authorities which are to take part in partnership arrangements. They also require the establishment of seven regional partnership boards and require the partnership arrangements to be carried out under the direction of a specified regional partnership board.

Regulation 9 and Schedule 1 describe the functions of Local Health Boards and local authorities which are to be carried out by the partnership arrangements. Regulations 10, 11 and 12 provide for the objectives of the regional partnership boards, together with membership and reporting requirements.  Regulation 13 provides for the sharing of information between partnership bodies, integrated family support teams and regional partnership boards.  Regulation 14 enables each partnership body to delegate functions to another partnership body for the purposes of the partnership arrangements.

Regulations 15 to 18 contain specific provision in relation to partnership arrangements for carrying out family support functions (as specified in Schedule 4) and the establishment of integrated family support teams. These arrangements are intended to provide continuity with current arrangements under Part 3 of the Children and Families (Wales) Measure 2010.

Regulation 19 requires pooled funds to be established and maintained in relation to specific functions of partnership bodies.

 

Partnership Arrangements

December 1st, 2015 by James Goudie KC in Social Care

Part 3 of the consolidating National Health Service Act 2006 (“the 2006 Act”) relates to local authorities and the NHS, Part 4 to medical services, and Part 11 to Property and Finance.  Within Part 3, Section 75 relates to arrangements between NHS bodies and local authorities.  Under its predecessor provisions there were made the NHS Bodies and Local Authorities Partnership Regulations 2000, SI 2000/617 (“the 2000 Regulations”).  The NHS Bodies and Local Authorities Partnership Arrangements (Amendment) Regulations 2015, SI 2015/1940 (“the 2015 Regulations”), laid before Parliament on 30 November 2015, and which are due to come into force on 1 April 2016, amend the 2000 Regulations.

Partnership arrangements under Section 75 of the 2006 Act include the establishment of funds made up of contributions by one or more NHS bodies and one or more local authorities (“pooled funds”). Sections 223B and 223GA within Part 11of the 2006 Act, as amended by Section 121 of the Care Act 2014, make provision for a fund for the integration of care and support with health services known as “the Better Care Fund”. As part of the Better Care Fund arrangements, the National Health Service Commissioning Board must require NHS bodies (in this case Clinical Commissioning Groups) to make payments into a pooled fund as part of arrangements made with local authorities under Section 75 of the 2006 Act.

Regulation 2(2) of the 2015 Regulations amends the 2000 Regulations so that, in the case of partnership arrangements entered into as part of the Better Care Fund, there is no longer a requirement for Clinical Commissioning Groups and local authorities to consult persons who appear to be affected by such arrangements.

Regulation 2(3) of the 2015 Regulations amends the 2000 Regulations to include the function of arranging primary medical services under Section 83, within Part 4, of the 2006 Act (a function of the National Health Service Commissioning Board) as a function in respect of which partnership arrangements can be entered into.

 

Non Judicial Control – Local Auditors

October 27th, 2014 by James Goudie KC in Non Judicial Control, Social Care

The Local Audit and Accountability Act 2014 (“the Act”) provides that local public bodies will need to appoint their own Auditors.  Local public bodies must also appoint Auditor Panels, with a majority of Independent Members, to advise on the selection and appointment of an Auditor.  Local Audit (Auditor Panel Independence) Regulations 2014, SI 2014/2845, amongst other things amend the definition of an Independent Member as set out in the Act.  The substituted definition, in Regulation 2(2), is as follows:-

“(2) A member of a relevant authority’s auditor panel, other than a health service body’s auditor panel, is “independent” at any given time if the following conditions are met –

(a) the panel member has not been a member or officer of the authority within the period of 5 years ending with that time (the “last 5 years”),

(b) the panel member has not, within the last 5 years, been a member or officer of another relevant authority that is (at the given time) connected with the authority or with which (at the given time) the authority is connected,

(c) the panel member has not, within the last 5 years, been an officer or employee of an entity, other than a relevant authority, that is (at the given time) connected with the authority,

(d) the panel member is not a relative or close friend of—

(i) a member or officer of the authority,

(ii) a member or officer of another relevant authority that is connected with the authority or with which the authority is connected, or

(iii) an officer or employee of an entity, other than a relevant authority, that is connected with the authority,

(e) the panel member is not the authority’s elected mayor,

(f) neither the panel member, nor any body in which the panel member has a beneficial interest, has entered into a contract with the authority—

(i) under which goods or services are to be provided or works are to be executed, and

(ii) which has not been fully discharged,

(g) the panel member is not a current or prospective auditor of the authority, and

(h) the panel member has not, within the last 5 years, been—

(i) an employee of a person who is (at the given time) a current or prospective auditor of the authority,

(ii) a partner in a firm that is (at the given time) a current or prospective auditor of the authority, or

(iii) a director of a body corporate that is (at the given time) a current or prospective auditor of the authority.”

 

Public Procurement

August 17th, 2012 by Site Default in Social Care

R (A) v Chief Constable of B Constabulary [2012] EWHC 2141 (Admin)

Introduction

1.     This case addresses the circumstances in which the Courts will impose a public law duty of procedural fairness etc. when public bodies are carrying out procurement activities. This is particularly significant in cases where the Public Contract Regulations 2006 do not apply e.g. where there is no significant cross-border interest in the relevant contract, and the only available remedy is judicial review. Synthetic opiate ones such as oxycodone, can also lower the cialis for bph dose effectiveness of vitamin. Dilly and we are so happy to be doing and best ed where you are going. Concern is that viagra canada it is combining sildenafil with online to use and 86 of patients. The judgment supports the view that the fact that a public body is exercising statutory powers in conducting a procurement/entering into a contract should be treated as sufficient to activate the Court’s supervisory judicial review jurisdiction.

Case summary

2.     The Claimant (“C”) was a sole trader who provided vehicle hire, breakdown and recovery services etc. C had provided these services to the Defendant for many years, originally on his own account and latterly as a sub-contractor. 

3.     In 2010, the Defendant entered a new contract with FMG Ltd. FMG engaged C as a sub-contractor.  

4.     While C’s contract was thus with FMG, rather than the Defendant, it contained terms governing C’s relationship with the Defendant. The terms included a requirement that C’s employees must be security cleared. If an employee failed the vetting there was no contractual requirement on the Defendant to provide (even cursory) reasons, or give C an opportunity to make representations. 

5.     C failed the security vetting and consequently could not perform the contract. The Defendant would not disclose the reason for the failure. C made a subject access request under the DPA 1998, but this provided no new information. 

6.     C sought judicial review, contending that the Defendant was exercising public powers in vetting him for security clearance and hence owed him a public law duty to act fairly. He argued that there was no good reason why the police should not give some indication of the basis of their concerns, allow him an opportunity to respond and then, if the refusal was maintained, give him some explanation.  

7.     C relied on the fact that under the general police policy, “best practice” required as a minimum that the reason for refusal of security clearance should be given, even to non-police personnel, unless there were legitimate grounds for not doing so. 

8.     The Defendant argued that the matter was not justiciable. While the Defendant was a public body it was not exercising statutory powers in deciding whether to grant security clearance to C. The context was a contractual one, the decision being the exercise of a power under the  sub-contract between C and FMG. 

9.     It was submitted that the security vetting of C did not involve a public function because the vetting was not performed for the good of the public at large but rather was an operational or management function intended to secure the efficient operation of a contractual obligation. In the contractual and commercial context in which the matter arose, the Defendant did not owe any public law duty to C. 

10.  In the alternative, even if there was a duty of fairness, the Defendant was not obliged to disclose the basis upon which it was minded to refuse security clearance, or to explain, even briefly, the reason for the refusal. Security vetting inevitably involved sensitive matters. In this case, the decision was based upon police intelligence, which came from three police forces and over 20 different sources. Where decisions were based on sensitive intelligence information the duty of fairness required no more than that the decision maker acted honestly and without bias or caprice. 

Judgment 

Statutory underpinning and non-justiciability 

11.  Kenneth Parker J emphatically rejected the non-justiciability argument. The tender process and sub-contract with A had  “a strong and necessary statutory underpinning” because it facilitated the Defendant’s exercise of its statutory powers in relation to the seizure, recovery and retention of vehicles. 

Public function (identifying the ‘additional/sufficient public law element’) 

12.  Security vetting was a public function, carried out in the public interest, to ensure that those non-police personnel working with the police were fit and proper persons to do so. This was confirmed by the existence of centrally determined police policies on the issue. If the Defendant failed to conduct such vetting, it would be guilty of a public law wrong that would sound in judicial review. 

13.  Thus, there was a sufficient “public law element” to found a claim for judicial review. 

General principles for determining when contract award decisions are subject to JR 

14.  Interestingly, Kenneth Parker J specifically referred to and endorsed the analysis of the application of judicial review to public bodies’ contracting activities advanced by Professor Stephen Bailey ([2007] PL 444–463). As is well known, Professor Bailey argues that judicial review should generally be available in respect of any exercise of statutory powers by statutory bodies, even where such exercises take the form of entering private law arrangements such as contracts.  

15.  He contends that the requirement for an additional “public law element” should only be necessary were the question arises whether a non-statutory body is, or is not, subject to judicial review. This is the analysis that was endorsed by Elias J (as he then was) in R (Molinaro) v Kensington RLBC [2002] LGR 336 at §65. 

16.  Kenneth Parker J noted that if the Defendant’s submission was correct in respect of justiciability,  it could refuse security clearance for a wholly improper reason, unrelated to the need to promote the public interest. Public bodies were subject to the supervisory jurisdiction of the Court and were not, as a matter of principle, free to act ‘as unfairly’ as private entities. 

Contract cannot narrow the scope of the public law duty of fairness 

17.  Interestingly, the Court held that C could not reduce or circumscribe the scope of its public law duty by reliance on the express terms of its contract with FMG, or FMG’s sub-contract with C. Thus, the fact that the sub-contract provided that no reasons for refusal would be forthcoming did not assist the Defendant. 

The (limited) content of the duty – the “ultra precautionary” approach 

18.  Perhaps predictably, C fared less well in regard to the content of the duty of fairness that was owed in the particular circumstances of the case. 

19.  In the Judge’s view, the sensitivity of the subject matter meant that the Defendant was not required to establish that it had reasonable grounds for believing that C had committed, or was connected to, a criminal offence. 

20.  If the police have any basis for suspecting that a person might have been, or might be presently or might in the future be, implicated, even innocently, in activities that could be considered criminal, or might be associated, again even innocently, with criminal elements, it would be justified in refusing security clearance. The Defendant was entitled to adopt an “ultra precautionary standard”. 

21.  Consequently, it would not be appropriate to require the police to disclose in advance to the subject of the security vetting any basis for a contemplated refusal of clearance. There was no requirement of prior notice or an opportunity to make representations. 

22.  While a blanket policy of refusal to provide any information could not be justified, the decision as to what (if any) information could be shared in a particular case would be one for the expert judgment of the Defendant. The Court would only intervene in exceptional circumstances. 

Comment 

23.  The cases concerning when a contract award decision will attract the application of judicial review principles have long been in an uncertain, and unsatisfactory, state. A number of decisions support the view that the fact that a public body exercises statutory or public powers in entering into a procurement or contract is not, without more, sufficient to trigger the availability of judicial review. It has frequently been stated that some further, additional, ‘public law element’ must be made out. 

24.  It is submitted that this approach is unsound in principle and has created undesirable uncertainty and incoherence in the law. As a basic proposition, an act of a public body exercising statutory powers should be subject to the Court’s supervisory jurisdiction. Concerns relating to the risk of prejudicing public bodies in their dealings with private sector economic operators and usurping their role in decision-making can be addressed by carefully defining the nature and content of the public law duties that apply in the particular context, as the present case in fact demonstrates. 

25.  It is to be welcomed that, following the judgment of Elias LJ in Molinaro, another experienced and highly respected administrative court judge has indicated that a simplified and more principled analysis can be applied in this area.

 

Public Procurement

July 30th, 2012 by Site Default in Social Care

Turning Point Limited v Norfolk County Council [2012] EWHC 2121 (TCC)

  1. This is the first case to consider the 30-day limitation period that now applies to claims under r.47D of the Public Contracts Regulations 2006 (“the Regulations”). It confirms that, notwithstanding the very short period of time the Regulations now allow claimants, the Courts will enforce the limitation period strictly and that good reason will need to be established for any extension.
  2. The judgment also provides helpful guidance on: (i) the circumstances in which contracting authorities can exclude bids that are subject to qualifications or caveats; (ii) whether there is an obligation to seek ‘clarification’ of qualifications; and (iii) the scope of the obligations on contracting authorities that might arise in implied contract.
  3. Norfolk tendered a five-year contract for various drug and alcohol treatment services. The ITT expressly stated that the procurement would be conducted using the restricted procedure.
  4. The PQQ provided that Norfolk’s only contractual obligation would be to comply with statutory requirements i.e. the Regulations. It also stated that TUPE was expected to apply and that workers currently providing the service would likely transfer to the successful bidder, with resulting pensions and redundancy costs.
  5. The ITT stated that it might not include all information that tenderers require and that Norfolk would have the right to exclude bids that did not comply with its terms. In regard to TUPE (and related pensions and redundancy costs), the ITT required tenderers to include adequate financial provision for such liabilities in the pricing of their bids. It also explicitly stated that no qualifications, caveats or variant bids would be accepted.
  6. On 20 December 2011, Norfolk provided TPL with various TUPE information for those employees expected to transfer. TPL regarded the information as insufficient and submitted some 20 clarification requests. Norfolk’s responses broadly refused to provide further information.
  7. TPL was concerned that in formulating its bid it did not have the information necessary to estimate what its likely TUPE and redundancy costs would be e.g. dates of birth, match between specific job roles/locations and the information given and the redundancy policies of existing providers etc.
  8. Consequently, when TPL submitted its tender on 9 February 2012, it included a note in its pricing section stating that because of the ‘lack of full and complete TUPE information’ its bid was priced on the basis that there would be no TUPE/redundancy costs.
  9. On 12 March 2012, Norfolk wrote to TPL informing it that its tender had been excluded because it included a non-compliant qualification. Norfolk subsequently confirmed that if TPL submitted an unqualified bid at the same price it would have won the contract.
  10. TFL issued proceedings on 28 March 2012. In addition to its claim under the Regulations it also asserted the existence of an implied contract that included an obligation to treat its tender ‘fairly’.
  11. Norfolk sought strike out/summary judgment on grounds of: (i) limitation; where to buy kamagra jelly 100mg in canada and (ii) no arguable case.
  12. Akenhead J formed the ‘clear’ view that that the complaint about the inadequacy of TUPE information was barred by the 30-day limitation period: §36.
  13. TPL must have had knowledge of the relevant breach, failure to disclose sufficient information, by the time it submitted its tender on 9 February 2011 (at the latest). Knowledge of the alleged breach had probably crystallised by 19 January 2012, more than 10 weeks before the Claim Form was issued.
  14. The Court firmly rejected the suggestion that Norfolk was subject to any implied obligation to continue to provide further information to bidders after tenders had been submitted. It was noted that no such requirement applies under the Regulations and it could not be said to be necessary to imply such an obligation in contract: §36(f).
  15. TPL contended that if the 30-day limitation period had expired, then the Court should exercise its jurisdiction under r.47D(4) to extend time. The Court refused to do so.
  16. Akenhead J held that TPL had not demonstrated ‘good reason’. On the facts, it was likely that TPL was aware of timing issues during the procurement process. The fact that the requested extension was for a relatively short period of time, said to be 14 days, was not a ‘good reason’. The statutory limitation period was 30-days, not 30- days plus a further ‘short and reasonable’ period.
  17. For circumstances to constitute a valid ‘good reason’ they will usually be something that is beyond the claimant’s control. Examples could include significant illness or detention of members of the bid team: §37.
  18. The Judge formed the ‘clearest view’ that TPL’s note must be treated as a qualification or caveat to its bid. To assess its effect, the note had to be construed objectively as a potential contractual document. TPL’s subjective intention was therefore irrelevant. The effect of the note was that TPL had not accepted that it would be liable for redundancy costs and that these costs would therefore fall to Norfolk. Under the ITT, it was therefore entirely legitimate to exclude the bid: §39.
  19. There was no obligation in the circumstances to seek ‘clarification’:
    (1) the ITT clearly precluded qualifications and the note plainly breached that prohibition. Such rules were common, inherently fair and operated to ensure a level-playing field for other bidders;
    (2) the ITT did not include an express power to seek clarifications in respect of the pricing section;
    (3) there was no implied power or obligation to seek clarification in regard to a qualification on price. Seeking clarification in this context would create a risk of non-transparency, risk alerting the bidder that its tender was receiving serious consideration and create the opportunity for abusive conduct; and
    (4) the Tideland case was concerned with obvious or formal errors such as transposition, formatting or obvious arithmetical mistakes. It could not assist a bidder who submitted a significant qualification on a voluntary commercial basis: §40.
  20. It was arguable that the terms of the ITT created an implied contract, at least to comply with statutory obligations and the ITT’s express terms. However, the express reference to the Regulations precluded any reliance on further ‘implied’ obligations, such as a general duty to act ‘fairly’: §41.
  21. It followed that the claim should be struck out.CommentThe current approach to the 30-day limitation period
  22. We now have a judgment that considers the proper approach to limitation under the new 30-day regime. The Court here adopted a strict approach, notwithstanding the very short term of the statutory limitation period. The approach previously adopted to limitation, and possible extensions of time, under the old three-month regime will continue to be applied with minimal (if any) alteration. This is so notwithstanding the very significant reduction in the time available to challengers in which to issue proceedings. The judgment also indicates that arguments based on the fact that a claim is ‘just a little’ out of time will generally receive short shrift.
  23. In tandem with the strict approach currently being applied to determining the point in time from which limitation will begin to run (i.e. when a potential challenger first has the opportunity to apprehend the fact of non-compliance with the Regulations, rather than the point when it is appreciated that this is likely to cause loss), this analysis presents a formidable obstacle for many potential challengers.
  24. Even for a sophisticated commercial operator that is familiar with the scheme of the Regulations and the possibility of legal challenge, 30 days is not a great deal of time in which to properly investigate a potential breach, obtain appropriate expert advice, make decisions internally and get proceedings on foot. Realistically, many less well- resourced (and savvy) organisations (including many SMEs) are in practice likely to find themselves unable to exercise their legal rights.
  25. For obvious pragmatic reasons, this is welcome news for contracting authorities. However, viewed objectively, it may be questionable whether the current 30-day limitation period (and the rigour with which it is being judicially applied) is consistent with the object and purpose of the Regulations and the requirement of effectiveness under EU law.
  26. For example, it is interesting to speculate as to whether striking out a challenge with strong prima facie merits that is issued shortly outside the limitation period, perhaps because of the complexity of the underlying factual matrix, is defensible.‘No qualification/caveat/variant’ provisions
  27. The judgment also provides a strong endorsement of the use of ‘no qualification’ or ‘no variant’ provisions in ITTs. This will also be welcomed by contracting authorities.Tender clarifications
  28. While Akenhead J’s analysis regarding the use of clarification must be read in light of the fact that the case concerned an impermissible qualification, a number of the features of his reasoning would appear to be of wider application to clarification more generally. In particular:
    (1) it will always be important to consider whether the ITT actually confers a power or duty to seek clarifications upon the contracting authority; and
    (2) because seeking clarifications necessarily poses the risk of abusive conduct and breaches of the principle of transparency, some weighty countervailing factors will need to be demonstrated to justify any asserted right or obligation to take such steps.Implied contract ‘fairness’ obligations
  29. Finally, the judgment follows a line of recent decisions in holding that where a procurement is subject to the Regulations, or adopts their requirements by incorporation, there will be little scope for asserting implied contractual obligations going beyond the content of those provisions.

 

Public Procurement

July 16th, 2012 by Site Default in Social Care

Re. David Connolly’s Application for Judicial Review [2012] NICA 18 (12 June 2012):

1.     The Northern Ireland Court of Appeal held that a shareholder and director of a disappointed tenderer cannot use judicial review to have a ‘second-bite’ at challenging a procurement process where the tendering company has previously litigated a claim under the Public Contracts Regulations 2006 (“the Regulations”) in respect of the same procurement.

2.     In 2010, the Department of Regional Development (“DRR”) awarded Traffic Signs and Equipment Limited (“TS”) two (out of a total of twenty one) contracts for the supply of traffic signs. TS was dissatisfied and brought proceedings under the Regulations.

3.     The Court held that if the procurement award criteria had been properly applied TS would have been awarded three further contracts. Accordingly, DRR’s decision in respect of those three contracts was set aside. However, TS’s challenge to the award of the remaining 15 contracts was rejected.

4.     Mr Connolly was a shareholder and director of TS. Rather than TS appealing the decision under the Regulations, Mr Connolly tried to bring judicial review proceedings in respect of the award of the remaining 15 contracts.

5.     The Court held that Mr Connolly was not entitled to pursue a remedy via judicial review.

6.     If TS was dissatisfied with the Court’s decision in respect of its claim under the Regulations it should have appealed. It had not done so: [26]

7.     The substance of the issues that Mr Connolly wished to raise under judicial review was effectively identical to the subject-matter of TS’s claim under the Regulations. Res judicata and the doctrine of former recovery prevented the re-litigation of the same issues: [26]

8.     While the English Court of Appeal’s judgment in Chandler tentatively supported the view that a third party with sufficient interest could seek judicial review for breach of the Regulations, there was ‘considerable force’ in the argument that no such remedy should be available to an economic operator that had a statutory remedy under the Regulations: [28]

9.     Mr Connolly’s only interest in the proceedings, as a shareholder and director of TS, was not a sufficient interest to maintain an application for judicial review: [29]

Comment

10.  It would be surprising if an economic operator could have a second-bite at the cherry, by re-litigating a failed procurement challenge under the Regulations via judicial review, simply by having a shareholder (or some other connected party) issue the judicial review application in his or her own name.

11.  The judgment highlights that there remains scope for doubt about the two obiter dicta statements in Chandler to the effect that: (i) non-compliance with the Regulations is a true ‘public law wrong’ that in principle should be susceptible to judicial review; and (ii) third parties should have a remedy in judicial review for such breaches, despite the fact that in enacting the Regulations Parliament has prescribed that only economic operators should be granted a right of challenge.

Shetland Line (1984) Limited v Scottish Ministers [2012] CSOH 99 (29 May 2012)

12.  The Scottish Court of Session allowed an application to lift an automatic stay, holding that the grounds of challenge were weak and the balance of convenience favoured allowing the contracting authority to enter into the proposed contract.

13.  Shetland Line (“SL”) advanced two grounds of challenge against the Scottish Ministers’ decision to award a contract for ferry services in the north of Scotland to a rival operator, Serco, following a competitive dialogue process. The proceedings arose from the Scottish Ministers’ application to lift the automatic stay.

14.  SL brought two grounds of challenge.

15.  First, that the ITT breached the Regulations and general Treaty principles by failing to prescribe what level of ferry service, and thus resources, tenderers would be required to provide under the contract. This lead to Serco winning the procurement with a proposal that provided a significantly lower level of service coverage than that proposed by SL, at considerably lower cost.

16.  The ITT stated that proposals must be able to meet ‘anticipated future demand’. That interfere with sperm production, which means that is viagra viagra online canada generic yet it must be treated. Houston, texas alsay how to use tadalafil research peptides recently hosted. That what does generic cialis look like changed ed so nicely, that a. It included historical data about usage, but did not prescribe any minimum level of expected future service. Bidders were therefore required to form their own view about what level of service would be necessary in future.

17.  SL asserted that the level of service postulated in Serco’s bid would not be sufficient to meet the level of freight needs described in the ITT. The Scottish Ministers were therefore said to have breached the Regulations by accepting a non-compliant bid. Relatively extensive witness evidence was advanced in support of the assertion that the solution proposed by Serco would not prove sufficient.

18.  Second, for similar reasons, it was claimed that the ITT breached the requirement to specify the contract requirements against which bids would be assessed with sufficient objectivity and precision. It was said that the approach adopted effectively left it open to bidders to define the service that would be provided.

19.  These alleged breaches were said to have prevented equal competition and thus breached the obligations of transparency, equality of treatment and non-discrimination.

20.  The Court rejected both grounds.

21.  The appropriate standard of review to a challenge of this sort was manifest error. The Judge held that it would be “quite wrong for it to trespass on the jurisdiction clearly given to the contracting authority to exercise a broad discretionary judgment as to the identification of the most economically advantageous bid”: [26]

22.  One of the main factual grounds of the challenge was incorrect, in that Serco did provide a standby vessel to cover the risk of breakdown or accident. This undermined the assertion that its proposal was insufficient to meet the contracting authority’s needs: [27]

23.  It was (or should have been) obvious to all bidders from the ITT that: (i) there was no absolute requirement as to the details of the service to be provided, and (ii) it was up to each bidder to frame their proposal using their expertise and experience, in the context that the emphasis would be on efficiency rather than maximisation of freight capacity: [28]

24.  Demand is not static and is subject to multiple variables, including the effect of competition. It was thus difficult to claim a priori that the successful bid would not be sufficient to satisfy such demand as might exist in future: [29]

25.  The requirement that proposals met “current and anticipated demand” was sufficiently precise to allow the bidders to determine the subject matter of the contract and the authority to award it. There was nothing objectionable in asking bidders to identify the appropriate number of vessels, schedules, capacity, etc. and allowing the contracting authority to assess them and select the most economically advantageous tender. The whole purpose of the competitive dialogue procedure is to cater for circumstances where it is not appropriate for the contracting authority to be specific about the technical means necessary to satisfy its needs or objectives: [30]

26.  It would be surprising if compliance with the competitive dialogue procedure required the kind of detailed specification asserted by SL. This was particularly so where there could be no certainty about the future demand for freight capacity and freight sailings which any new operator would experience: [32]

27.  There was no requirement for the Scottish Ministers to be more specific in describing the contract requirements. This was because of: (i) the uncertainties and complexity of the contact; (ii) the scope for imaginative and individual proposals; and (iii) the indefinite nature of the content of the most economically advantageous tender.

28.  Competitive dialogue under the Regulations did not deprive the contracting authority of the option of leaving the bidder to assess exactly what should be offered, price it, and then await the evaluation of the contracting authority. If this were not so, contracting authorities would lose the potential of the full benefit of competition between expert bidders, all operating on an equal footing in terms of information and dialogue: [34]

29.  At best, the Claimant therefore had a weak prima facie case: [34]

30.  The balance of convenience, including the public interest and private interests of Serco, favoured lifting the stay: [35]-[39]

Comment

31.  This decision will be welcomed by contracting authorities as affirming the generous margin of flexibility and discretion that is enjoyed under the competitive dialogue procedure. Despite bidders having widely differing interpretations of what the ITT required them to provide, the Court’s view was that the Scottish Ministers were entitled to require parties to make their own projections about future service needs and then decide the winner based on which estimate it regarded as most realistic/advantageous. This was the case notwithstanding the fact that this approach necessarily meant that in one important sense the comparison of bids was not conducted on a ‘like for like’ basis.

32.  It is unlikely that a contracting authority would be permitted to adopt such a relaxed approach to defining contract specifications under the other procedures provided by the Regulations.

 

 

Government publishes White Paper and draft Bill on overhaul of social care system

July 11th, 2012 by admin in Social Care

On 11 July 2012, the government published a White Paper, ‘Caring for our future: reforming care and support’, and its draft Care and Support Bill. The White Paper and Bill follow on from the Law Commission’s report on adult social care which was published last summer.

The government describes the Bill as follows: “This draft Bill consolidates provisions from over a dozen different Acts into a single, modern framework for care and support. It is intended to do more than bring those Acts together; it achieves a fundamental reform of the way the law works. It places the wellbeing, needs and goals of people at the centre of the legislation to create care and support which fits around the individual and works for them. It provides a new focus on preventing and reducing needs, and putting people in control of their care and support. For the first time, it brings carers into the heart of the law, on a par with those for whom they care.”

The draft Bill has been published for public consultation and pre-legislative scrutiny in Parliament. The Bill and White Paper may be found on the Department of Health’s website (www.dh.gov.uk).

 

The Health and Social Care Act 2012: impact on adult social services

April 10th, 2012 by Trevor S. in Social Care

After its torrid passage through Parliament, the Health and Social Care Bill received Royal Assent on 27 March 2012. The Act deals principally with healthcare reform, but it also contains some amendments to the legislative framework for social care. It will come into force on a day yet to be appointed by the Secretary of State.

Part 7 of the Act (sections 209 to 231) makes various changes to the regulation of social care workers.

First, it abolishes the General Social Care Council (the current regulator of social workers) and transfers some of its functions to the Health Professions Council, which is renamed as the Health and Care Professions Council. Various amendments are made to the Health Professions Order 2001, which is renamed the Health and Social Work Professions Order 2001. It is the 2001 Order which sets out the legislative framework for the Health and Care Professions Council.

Second, Part 7 makes changes to the funding and functions of the Council for Healthcare Regulatory Excellence, which is renamed the Professional Standards Authority for Health and Social Care. The Authority will be responsible for accrediting voluntary registers of occupational groups, including social care workers.

 

Non-Domestic Rates, Public Sector Equality Duty & Community Care Assessments

March 6th, 2012 by James Goudie KC in Council Tax and Rates, Social Care

Non-Domestic Rates

Section 71 of the Localism Act 2011 (“LA 2011”) amends the Local Government Finance Act 1988 (“LGFA 1998”) to provide a power for the Secretary of State (“the SoS”) to prescribe by regulations conditions for the cancellation of certain backdated non-domestic rates, but only where a property is shown in a local non-domestic rating list compiled on 1 April 2005 as the result of an alteration of the list made after the list was compiled. Pursuant to that power there have now been made the Non-Domestic Rating (Cancellation of Backdated Liabilities) Regulations 2012, SI 2012/537 (“the 2012 Regulations”).

Non-domestic rates liability is usually discharged by instalments payable by the ratepayer. However, where a rating list is altered with retrospective effect by a Valuation Officer, this can lead to backdated liability which, rather than being payable in instalments, is payable straightaway. The 2012 Regulations make provision for the cancellation of certain backdated non-domestic rates liabilities, in certain circumstances.

Under Section 41 of LGFA 1988 most non-domestic properties appear on a rating list compiled for the area in which they are situated. Under Section 43, the occupiers of such properties are liable to pay non-domestic rates for each financial year. In certain cases where the property is unoccupied, the owner is liable to rates under Section 45.

The Non-Domestic Rating (Collection and Enforcement) Regulations 1989 (S.I.1989/1058) (“the 1989 Regulations”) govern the practicalities of billing for rates in respect of locally listed properties. They require the billing authority to issue to the ratepayer for each financial year a demand notice, setting out their liability to rates. Where a demand notice is issued, Regulation 7 of the 1989 Regulations provides for liability under the notice to be discharged either in instalments calculated in accordance with Part 1 of Schedule 1 or in accordance with an agreement reached between the billing authority and the rate payer.

Where the demand notice is issued after the end of the financial year, Schedule 1 does not apply and instead Regulation 7(5) provides that the notice shall require payment of the amount payable for the year in a single instalment. One of the circumstances in which a demand notice can be issued after the end of a financial year is where, pursuant to the duty to maintain an accurate list, the Valuation Officer for the billing authority area enters a nondomestic property on the rating list for the first time after the end of the year but with an earlier effective date. The effective date of an alteration to a rating list – including by way of adding properties to it – is governed by the Non-Domestic Rating (Alteration of Lists and Appeals) (England) Regulations 2009 (S.I. 2009/2268). Until a property is shown in a list, the conditions in Sections 43 and 45 of LGFA 1988 are not met and so no demand notice can be issued. Once those conditions are met, a demand notice will be issued in respect of liability from the effective date of the list entry.

In some cases where there is a difference between the day a rating list is altered and the effective date of the alteration, significant backdated liability can accrue. The 1989 Regulations were amended to include a new Schedule 1A which allowed – in certain circumstances – billing authorities to agree with the ratepayer that the liability which accrued between the effective date of the list alteration and the date it was actually made can be discharged in instalments over eight years. Further amendments to Schedule 1A of the 1989 Regulations allowed agreements under the Schedule to include a moratorium on payments of instalments until 31 March 2012. 

Section 71 of LA 2011 inserted Section 49A into LGFA 1988. This Section provides that the SoS may by Regulations provide that, in a prescribed case, the chargeable amount under Section 43 or 45 for a hereditament in England for a chargeable day is zero. But that relief is only available in relation to a hereditament and a chargeable day if the hereditament is shown for the day in a local non-domestic rating list compiled on 1 April 2005 and it is shown for the day as it is shown as the result of an alteration of the list made after the list was compiled, thereby constituting backdated liability. The Section also makes provision for the conditions that the SoS may prescribe. The 2012 Regulations constitute the first exercise of this power.

The 2012 Regulations therefore set out the limited circumstances in which a backdated liability may be cancelled, which relate to the hereditament and how it was formed, when it was entered onto the rating list, the identity of the ratepayer and the length of the backdated liability. The 2012 Regulations apply to England.

Public Sector Equality Duty (“PSED”)

In R (Barrett) v Lambeth LBC [2012] EWHC 4557 (Admin) Ouseley J held that the Council’s decisions, in the light of budget cuts which it had to make, not to continue annual grant funding for a small charity, PFC, providing services in Lambeth to people with learning disabilities and not to continue commissioning those services from the charity amounted to a decision no longer to provide such services and was a breach of the PSED, set out in Section 149 of the Equality Act 2010 (and previously Section 49A of the Disability Discrimination Act 1995), but not a breach of any duty to consult.

At paragraph 101, Ouseley J said:

“… I do not regard a decision on a function as compliant with the equality duties, and this would apply to many aspects of decision-making in a public body, if due regard is had by officers, and the different body which takes the decision relies simply on the fact that trusted officers have had due regard. It cannot say that it too has therefore had due regard. It is the decision-maker itself which must have due regard. … the provision of a fair summary of the EIA might suffice for the Councillors rather than the whole EIA, but it would have to cover the essential features of how the duty was being fulfilled. Decisions which created budgets for departments or sections at a higher level so that leeway was created for later decisions on the precise implementation of cuts could also suffice, with the equality duty being considered at the more detailed stage as in the Fawcett Society case.”

At paragraph 110, Ouseley J said:

“… There is no need for very detailed explanations and lengthy analysis so long as the features necessary for due regard to be had are properly understood. The analysis, whether in an EIA or not, does not have to resolve with reasons every issue which a party may raise. It does not have to be a reasoned decision letter.”

Community Care Assessments

In R (NM) v Islington LBC [2012] EWHC 414 (Admin) Sales J held that, in order for a local authority to be under an obligation to assess a person’s needs for community care under Section 47 of the National Health Service and Community Care Act 1990, it was (paragraph 77) necessary for the claimant to show that there was a “sufficiently concrete and likely prospect” of a need for such services arising. Sales J said:

“The words “may be in need” are in the present tense and do not import a flavour of coverage of possible needs which may arise in the future, … In context, the word “may” is apt because it indicates that there has to appear to the relevant local authority a significant possibility that the person in question might have a present need for community care services to be provided to him by that local authority and it is that possibility which then has to be investigated by means of the assessment under Section 47(1)(a).”

Sales J continued, at paragraph 78:

“However, in a number of situations – such as release from mental hospital …discharge from hospital …and release from prison … it may be sufficiently clear that a person is likely in the very near future to be present in the area of the local authority and, when they are, may then be in need of community care services, so that the obligation of assessment under Section 47(1)(a) arises before the person actually arrives.”

At paragraph 79, Sales J said:

“In my view, this interpretation of the words “may be in need of any such services” as covering both cases of present need and a narrow penumbra of cases of reasonably predictable future need is justified by reference to the statutory purpose of Section 47 and of the community care provisions … to which it refers, namely to ensure that persons who may have needs of the requisite character (i.e. are vulnerable in some relevant way) have those needs assessed and met, and receive proper social welfare protection in respect of their vulnerability. To limit the obligation of assessment in Section 47(1) to cases where a person is already present in the area of a local authority or already presenting needs for the local authority to meet now in cases where a person is known to be about to require community care services in the near future would create a gap in time when the intended social welfare protection was not or might not be provided. Parliament cannot sensibly be supposed to have intended to allow such a gap in protection to exist.”

At paragraphs 81 and 82 he said:

“81. It is obvious that arranging for an assessment of needs may take some time and Section 47(5) makes clear that Parliament intended that social welfare protection should be provided in the interim – in the case contemplated by Section 47(5), by the local authority if the person is on their doorstep. But where the person’s needs are presently being met by another public authority (in this case the prison service), but it is reasonably clear that they may be about to need provision of services by the local authority, it is reasonable to infer that Parliament intended that the person’s needs should be assessed before arrival on the local authority’s doorstep – otherwise, there would be a risk of a real need, which would be recognised upon assessment but might be missed otherwise, going unmet for a period of time (i.e. between arrival on the local authority’s doorstep and the carrying out of the assessment and the taking of the decision under Section 47(1)(a) and (b)).

82. In further support of this interpretation of Section 47(1), I also consider that Parliament should be taken to have had in its contemplation when enacting Section 47 in 1990, the sort of situations in which the release of a person maintained in a mental hospital or the release on parole of a person in prison might well be informed by questions of the availability of care services for that person in the community. The relevance of such matters in such cases will not be unusual but could potentially arise in many cases. Against that background, it is reasonable to infer that Parliament intended that in appropriate cases a local authority should be required to make an assessment and decision under Section 47 so as to assist other relevant public bodies (for instance, in these examples, a secure mental hospital or the prison authorities, or Parole Board or mental health review tribunal) to take a decision affecting the liberty of the person in question and their general welfare. Their well-being might well be better promoted and their underlying needs better catered for by being at liberty and in the general community with appropriate support rather than in detention.”

The question then becomes, how definite does the likelihood of the local authority having responsibility for meeting the relevant needs of a person in future have to be before the obligation to assess under Section 47(1) arises? In the judgment of Sales J the true position lies between the contending situations that were made to him. At paragraph 85, he concluded:

“Parliament cannot have intended to create an obligation of assessment in relation to a very wide class of cases of future provision of services, since doing so would create a serious risk of scarce resources available to local  authorities for community care being wasted through assessments being carried out for no ultimate good purpose, thereby depleting funds available to provide much-needed services to vulnerable people who actually do require social welfare support from the local authority in question. In interpreting the intended ambit of the class of cases of future provision covered by Section 47(1), it is necessary to bear in mind that the relevant condition set out in the opening part of the provision is expressed in the present tense, so it is reasonable to suppose that Parliament intended the relevant extension to cover future cases on pragmatic grounds, as set out above, to be narrow. The future cases intended to be covered are those which are closely analogous to those where there is a (possible) present need for provision of community care. It is only in relation to such a narrow class that it can be said that “the contextual imperative” is so powerful as to allow the language in the present tense in Section 47(1) to be interpreted as covering future or future conditional cases …”

Sales J also considered Articles 5, 8 and 14 of the ECHR, and the UN Convention on the Rights of Persons with Disabilities, 2006 (“the CRPD”). He said:

“98. The CPRD is an unincorporated international treaty and so does not have direct effect in English law. It came into force and was ratified by the United Kingdom after the NHSCCA was enacted, so it cannot act as a potential aid to interpretation of that statute in cases of ambiguity. …

99. I confess that I do not find the relationship between the CPRD and the Convention rights in the ECHR and the HRA transparently clear under the Strasbourg jurisprudence and in what little domestic authority there is.100. It is, of course, well established that the ECHR is a “living instrument” whose meaning and application may vary over time as conditions change and where commonly accepted standards develop among the member states of the Council of Europe: When interpreting concepts in the ECHR … the ECtHR looks to identify whether there is any consensus in the domestic law or practice of member states or any relevant development or trend in relevant international instruments which might supply an appropriate standard for judgment regarding the current meaning to be given to the rather open-ended Articles of the ECHR: … Further, when assessing the width of the margin of appreciation to be accorded to state authorities in a range of contexts, the identification of common European standards or a clear approach to the issue in other international instruments is a relevant factor as tending to narrow the margin of appreciation (or, if there is no consensus, as tending to widen it): …

101 There are examples of other international treaties which have been taken to inform the proper current interpretation of the Convention rights in the ECHR, such as the UN Convention on the Rights of the Child … and the Hague Convention on the Civil Aspects of International Child Abduction …

102. In principle, a point might be reached when the CPRD has been ratified by sufficient European states, or when sufficient European states have brought their domestic law and practice into line with the standards set out in the CPRD, that the CPRD or the practice flowing from it could be taken to amount to a relevant European consensus to inform the interpretation and application of the Convention rights. Also, though the position is less clear, a point might be reached where the CPRD is taken to be a leading international instrument establishing an appropriate standard against which to judge the conduct of member states of the Council of Europe, …

103. What is rather unclear at present is whether the CPRD has yet acquired this significance for the purposes of interpretation and application of the Convention rights (or some of the Convention rights). …

104. The ECtHR, in recent jurisprudence, appears to be ready to accord some weight to the CPRD when interpreting the ECHR, but its references to the CPRD have not been central to nor determinative of any finding of a violation of the ECHR: …

105. Domestic authority on the point is still more exiguous. …

107. … None of the Strasbourg or domestic authorities goes so far as to say that an individual can in substance rely directly on the provisions of the CPRD under the guise of relying on the ECHR Convention rights. …

107. … In my judgment, even if the content or application of the Convention rights in Articles 5, 8 and 14 of the ECHR is to be taken to be informed by Articles 19 and 26 of the CPRD, the interpretation of Section 47 of the NHSCCA which I have concluded is correct would be compatible with those provisions. …”