Meeting documents

SIC

No.

Issue

Action as recorded in Statement

Action Owner

Overall Opinion on Action Status

Current Position

1.

Corporate Governance

Member involvement concerning governance is limited to the role of its statutory Standards Committee whose primary focus is on matters of ethical governance and member/officer conduct.

The Council adopted a Code of Corporate Governance in January 2003, however a Member body was not put in place charged with responsibility for governance issues including:

a) Promotion of good governance arrangements;

b) Evaluation of internal and external assurance in terms of the Council's system of internal control.

c) Considering significant internal or external audit matters;

d) Being the custodian of the Council's anti-fraud and corruption strategy;

e) Reviewing the Risk Management strategy and its supporting arrangements.

i) Establish a committee of the Council which will have responsibility for key financial and corporate governance issues including internal and external audit.

ii) Ensure its terms of reference are comprehensive, meet best practice and the workings of the committee are reviewed on a regular basis.

i) Jean Hinks

Director of Resources

ii) Jean Hinks Director of Resources

Green

Corporate Audit Committee approved by Council 12^th May 2005

First meeting 21^st July 2005. The Committee meets quarterly

Terms of Reference were agreed by Council on 12th May 2005. At the Committee meeting on the 25^th January 2006 it was resolved that the present Terms of Reference more than adequately reflected the CIPFA "Practical Guidance for Local Authorities".

2.

Council's Policies and Procedures

The Council is updating policies and procedures on a regular basis. However the dissemination and embedding of these could be improved to ensure that officers and members are able to keep up-to-date and use them beneficially.

Detailed Update & Awareness

i) Regular (at least annual) update sessions must be devised for key Officers requiring a detailed understanding of specific procedures, e.g. Contract Standing Orders.

Culture

ii) The Culture Development Programme will introduce competencies for staff. Knowledge of policies and procedures should be included as key competency.

General Awareness

iii) Well-developed current communication processes such as Team Briefing and Inside Out should periodically include a latest update position so that all staff are made aware of the latest policies and procedures.

iv) The new Internal CIS has a `Policies' Site Feature Link on the home page providing access to all Council policies and procedures. This should include a central register of all Council Policies and procedures and be regularly monitored and updated so that any changes are included in the `Latest News' front page.

v) To avoid reliance on the Intranet and consider equalities issues, alternative mediums should be considered to ensure policies and procedures are accessible to all staff.

vi) Induction Training must include a session on Policies and how to access them.

W.Harding

Head of Human Resources

Amber

In the short term the nominated Lead Officer for each Policy / Procedure will be required to provide targeted training and information on updates to relevant managers and staff.

Lead Officers have been reminded by e-mail communication that all management / staff policies and procedures be made accessible through the Internal Electronic Council Information Service. To simplify access they have been advised that `links' should be inserted into the `Policies' Site Feature Link on the Intranet home page. The home page `Policies' Site Feature Link only currently includes links to the Information Compliance & Security Policies / Procedures.

Communications and Marketing has with the assistance of Lead Officers produced an A-Z of Staff Policies and Procedures which records the policy heading, a brief description of the policy / procedure and electronic links for more detail.

The Corporate Induction Session includes reference to the A-Z document.

The Council's Draft Competencies Framework includes references to rules, regulations, policies and procedures.

3.

Risk Management

Culture -

Whilst a risk management framework and process exists there is a need to embed risk management more explicitly into the culture of the Council.

i) Service Risk Registers already established must be subject to independent review.

ii) Section Risk Registers must start to be developed which feed into the service register.

iii) Training and support must be provided to services to facilitate improved risk management practices.

iv) Role of the Risk Scrutiny Panel must be reviewed.

Andy Cox

Risk Manager

Green

i) An officer group, `Risk Management Support Group' has been set up to review risk management processes adopted by Services (including consideration of `significant' risks recorded in the Service Risk Registers).

Service Risk Management Reviews to be carried out by Audit & Risk Management will commence in 2006.

ii) This will be promoted by the Risk Manager and the Risk Management Support Group. Risk Manager has already worked with a number of services to produce Section Risk Registers (e.g. Commercial Services) this will assist in promoting the practice to other Heads of Service.

iii) Guidance to services is accessible through the intranet. Training is provided in the form of facilitated workshops designed for individual services.

iv) Role of the group reviewed and now replaced by the Risk Management Support Group.

Risk Management

v) Corporate Risk Register must be reviewed and reported on regularly to Directors Group.

vi) Risk & Opportunity Management Strategy must be reviewed.

vii) Members must receive an annual report on risk management arrangements.

Andy Cox

Risk Manager

v) Corporate Risk Register is being reviewed and will be subject to Member and Director Group scrutiny during Spring / Summer 2006.

vi) A revised Risk & Opportunity Management Strategy will be produced for adoption during Spring / Summer 2006.

vii) Report presented to Corporate Audit Committee on 25^th October 2005. An update was provided at meeting on 27^th April 2006.

Disaster Recovery & Business Continuity -

All Council Services must have up to date documented Business Continuity Plans, which have been adequately tested and are accessible to staff pre-designated as `Key' for the purposes of ensuring continuity of service provision.

a) A responsible officer or service must be identified to provide a lead on business continuity.

b) This officer / service must then review the robustness of Service Continuity Plans and work with Heads of Service to ensure plans are documented, accessible, and tested.

c) They will report to the Resources Director and members on the state of Business Continuity.

Jean Hinks

Director of Support Services (previously Director of Resources)

Amber

The planned restructuring of Council Services will include decisions being made around responsibility for business continuity.

4.

Capital Funding & Major Projects

A review of the Capital Programme during 2004 identified that a substantial increase in capital risk contingency was required.

This review and that of the External Auditors on Major Capital Projects commented on the significant implications of these major projects on the Council's financial resources.

The Bath Spa Project has attracted significant public interest during 2004/5.

i) The latest risk contingency position was reported to the Executive and must continue to be monitored at regular intervals.

ii) The new reporting regime for Major Projects must be reviewed to ensure it provides assurance to Members, Project Boards and the Projects Programme Board about the capital programme and its impact on the achievement of stated Council priorities.

iii) Now that direct control has been taken back by the Council over the Bath Spa Project and new Project Managers are constructing a programme to complete the project the Spa Project Board should report any deviance from these plans at the earliest stage to the Projects Programme Board.

Jean Hinks

Director of Support Services (previously Director of Resources)

John Betty

Major Projects Director

John Betty

Major Projects Director

Amber

(Capital Funding)

See Appendix 3 Issue 2.

The new reporting regime is now embedded. It is being reviewed to incorporate the whole capital programme. This should be completed in June / July and implemented by September 2006.

Reporting regime introduced with robust project management. The Spa has now reached practical completion.

5.

Payroll

Payroll expenditure needs to be accurately monitored by managers if miscoding and under and overpayments are to be avoided.

A new Payroll system is now in place and action must now be taken to improve the information being provided to responsible managers to ensure payments to staff and Members are accurate.

This will include periodic reports to managers on -

D8 Payroll costs being allocated to their cost centre

D8 Details of all starters and leavers

D8 Details of honorarium payments

D8 Details of any other time limited allowances or frozen or protective pay.

William Harding

Head of Human Resources

Red

It has been agreed between the Head of Human Resources and the Financial Control & Development Manager that monitoring of Payroll expenditure will be developed through the Payroll and Agresso Systems. The Financial Standards currently being developed will clarify the responsibility of Cost Centre Managers to verify the accuracy of payroll expenditure using reports from the Financial System. Payroll system reporting will be developed and this is being considered by the current Internal Audit review of the Payroll System.

6.

Criminal Records Bureau

The Bichard Report was published in 2004. This report recommended in relation to vetting, an Enhanced Disclosure regime for all posts that involve contact with children and vulnerable adults. Other recommendations for schools included a requirement that training is provided for those conducting interviews and that this would be subjected to inspection.

1) Human Resources should maintain a Policy on staff recruitment to ensure the protection of children and vulnerable adults. This Policy should record all staff classifications that require criminal record checks or `disclosures' to be obtained and reviewed before they have access to children or vulnerable adults.

2) Corporate guidance, in relation to staff recruitment, must be distributed to all schools and any other service areas where individuals work in positions which provide privileged access to children or vulnerable adults.

3) The Council will obtain assurance that self governing bodies such as schools comply with Council Policies in relation to the protection of children and vulnerable adults.

William Harding

Head of Human Resources

Amber

1) Human Resources are continuing a review of Policy documents. This includes examination of two documents entitled `Safer Recruitment Protecting Children' and `Employing People with Convictions' (approved 26^th March 2002).

2) Human Resources have agreed to provide guidance to all services including all schools following the review of policy documents.

3) Following the review of policy documents, Audit & Risk Management Service will co-ordinate with Human Resources and the Education Service to agree a process so assurance is obtained from self governing bodies regarding compliance with policy.