Meeting documents

No.

Issue

Action

Position Statement

1

Human Resources Policies & Procedures

A central list of all Human Resource related Policies detailing the approving body and approval date is not maintained. An exercise carried out by Human Resources, following a request for information, revealed that evidence of approval was held for only 20 of 38 Policies identified.

An explanation was provided that the remaining 18 policies were approved prior to October 1998 and the details of when and how approval was obtained may be held in the archives.

Human Resources will maintain a comprehensive record of Policies detailing the date of approval and which body approved the Policy.

RED

Still Not finalised despite agreed implementation date of March 2006.

2

Human Resources Policies & Procedures

The Employee Code of Conduct requires employees to declare interests to their Director/CX. However, the Code does not clearly record the procedure to be followed to ensure the employee's interests are formally recorded.

The Code of Conduct will be amended to clearly document the procedure to be followed by the employee to record an interest. It will also detail who is responsible for reviewing declarations and deciding on who should be advised of any interests declared.

RED

Still Not finalised despite agreed implementation date of December 2005

3

Compliance with Statutory Functions

A central record / register of all statutory obligations is not maintained to provide assurance that the Council is complying with its statutory responsibilities.

The Council's Solicitor will compile a central record / register of all statutory obligations. This will record the relevant legislation, the statutory function, the `Responsible' Officer and the Lead Officer.

A documented procedure to maintain the register will be compiled.

GREEN

Agreement that a comprehensive register would be impractical. However, currently discussing practicality of maintaining a register for all new `corporate' related legislation. Other controls in place should ensure new legislation is complied with.

4

Confidential Reporting Policy

The Confidential Reporting Policy was approved on the 8^th October 2003. The review identified that the use and effectiveness of the Confidential Reporting procedures were not being monitored. For example, reports on incidence of usage could not be located.

The use and effectiveness of the Confidential Reporting Policy procedures will be monitored and any matters of interest will be reported to the newly formed Corporate Audit Committee being the custodian of the Council's Anti-Fraud and Corruption Strategy.

RED

Currently being reviewed.

5

Corporate Health & Safety Policy

The approved Corporate Health & Safety Policy enables all legislative updates to be approved by the Chief Executive.

All e-mail approvals requested and granted have not been retained.

The Corporate Health & Safety Officer has confirmed that in future all e-mail approvals from the Chief Executive will be retained in electronic format.

Amendments to the Corporate Health & Safety Wellbeing Policy were approved by the Chief Executive in an e-mail dated 27^th May 2005.

GREEN

Actioned.

6

Investigation of Complaints

Information was obtained during the review which indicated that reporting on the progress of complaints was limited because a single Officer has not been given the responsibility of collating and reporting the data recorded by Services.

The Complaints Policy states that each Complaints Officer will be responsible for managing and maintaining the register for the service areas they cover. It continues to state that at minimum, these records will supply the information required for periodic reports to the Directors Group, elected members and the Solicitor to the Council.

A revised procedure is being devised by J.Fieldhouse to allocate responsibility to a single officer who will collate all complaint information for monitoring / reporting purposes.

AMBER

A draft revised procedure is currently being discussed

7

Internal Audit Reports

The review identified that the Internal Audit Service do not have a formally agreed procedure to escalate the implementation of key controls if it is identified that management either disagree with controls being recommended or the time taken to implement agreed controls is considered excessive.

The Chief Audit, Risk & Information Manager will devise a formal escalation procedure considering the role of the newly formed Corporate Audit Committee.

RED

Not Actioned

8

Internal Audit Reports

An examination of the Internal Audit Reports issued during 2004/5 identified in excess of 150 high risk exposure weaknesses.

(Note: Have deleted the list of high risk exposure weaknesses which were recorded but were not considered significant for inclusion in the Statement.)

GREEN

All weaknesses discussed with appropriate management

9

Risk & Opportunity Management

1) Members have not been involved in the identification of corporate risks. Directors Group has taken the lead in generating a Corporate Risk Register.

2) The minutes of the April 2004 meeting of Directors Group record that all 'Service' risk registers would be reviewed as part of a quarterly review process by the relevant Director. The intention being to improve the 'quality' of risk registers and this would include ensuring all 'Intolerable' and 'Undesirable' risks recorded a justified financial exposure figure. In addition, Heads of Service were to be encouraged to involve staff from all levels in identifying and evaluating risks. The first review was to have been carried out by end of June 2004.

Evidence is not held that this agreed procedure is operating effectively.

1) The Risk Manager in consultation with the Director of Resources will involve Members in the identification and assessment of corporate risks.

2) a) The Risk Manager will obtain confirmation from Directors that the agreed review process is operating effectively.

2) b) The role of the Risk Scrutiny Panel in relation to promoting Service Risk Management will be examined.

AMBER

Executive will be commenting on the Corporate Risk Register during May 2006.

Directors Group & Executive will receive quarterly reports from Summer 2006.

Risk Management Support Group now in operation.

10

Risk Scrutiny Panel

The Risk Scrutiny Panel Project Risk Assessments for the period 2004/05 were reviewed. This identified the following red traffic light issues :

1) Env. Park - (Financial Exposure issue)

2) Peoplelink - (Limited Sponsor involvement. Project Board not reviewing Risk Register. Risk Register not updated with earlier comments from Risk Manager)

3) Customer Access Programme - RSP recommended CAP integrated into Change Management Programme and Work Practices / Accommodation.

1) RSP will continue to scrutinise these projects and monitor issues previously identified.

2) The Risk Manager will ensure that assessments are reported to Project Sponsor, Project Board and Project Manager.

3) The Risk Manager will monitor `red' traffic light issues.

AMBER

Risk Scrutiny Panel role was reviewed during 2005/6. The Major Projects reporting regime meant that the role of the Risk Panel could be realigned which resulted in the creation of the Risk Management Support Group.

Audit & Risk Management will be involved with the monitoring of the Service based projects.

11

Code of Corporate Governance

The Council's Code of Corporate Governance is not easily accessible and its adoption was not widely reported throughout the Council.

Bath & North East Somerset Council approved and adopted a Code of Corporate Governance on the 23^rd January 2003. This was consistent with the principles and reflects the requirements of the CIPFA/SOLACE Framework `Corporate Governance in Local Government: A Keystone for Community Governance'.

1) The Council's Code of Corporate Governance will be made accessible through Council's website.

2) See Statement of Internal Control - Action Plan Item 2.

GREEN

Available through CIS A-Z.

12

Head of Service Assurance Questionnaire

A large number of issues were raised by Heads of Service and these were examined individually. Some of these issues are covered in the SIC.

(Note: Have deleted the list of related issues which were recorded but were not considered significant for inclusion in the Statement.)

Head of Service Assurance Questionnaires returned during Feb. / March 2006 to assist 2005/6 review.

13

External Review

Audit & Risk Management do not currently receive copies of all external audit reports. Reliance is therefore placed on Heads of Service & Directors to ensure all reported risks are fed into the risk management process.

The Council's external auditors, Price Waterhouse Coopers, agreed to provide reports and ensure a circulation list is prepared to ensure copies of all reports are received by Audit & Risk Management.

RED

Still issue about timely provision of reports.

14

Employee Job Evaluation Scheme

The process of the Job evaluation scheme is perceived by managers as a barrier to efficient and effective recruitment and retention of staff.

This has impacted in certain service areas leading to a diminution in service performance.

The effectiveness of the current job evaluation scheme will be reviewed.

AMBER

Process has been reviewed. Action plan for implementation in place. Consultation in progress.

15

Partnerships

The number of partnerships and other means by which services are and will be delivered has been developing rapidly. Alongside the new Community Strategy this places effective partnership working high on the agenda.

The annual review of Corporate Governance identified that there have been developments in monitoring Local Strategic Partnerships such as the proposal to use a Key Partnership Effectiveness Questionnaire.

The SIC Process (Corporate Management) adopted for 2004/5 had not reviewed the control issues in relation to partnerships.

i) The SIC Process (Corporate Management) 2005/6 will be amended to ensure that the internal control issues in relation to Partnerships are reviewed.

GREEN

Review of Governance Arrangements in Partnerships issued by Audit & Risk Management Service.