AUDIT & ACCOUNTS COMMITTEE - Newark and Sherwood · AUDIT & ACCOUNTS COMMITTEE Date of Meeting: Thursday 29th November, 2012 Time: 10am Venue: Cedar Room, Kelham Hall Kelham Hall

AUDIT & ACCOUNTS COMMITTEE Date of Meeting: Thursday 29th November, 2012 Time: 10am Venue: Cedar Room, Kelham Hall

Kelham Hall Newark Nottinghamshire NG23 5QX Tel: 01636 655475 Email: [email protected] Website: www.newark-sherwooddc.gov.uk

20th November 2012 To: All Members of the Audit & Accounts Committee You are hereby requested to attend the above Meeting to be held at the time/place and on the date mentioned above for the purpose of transacting the business on the Agenda as under.

A W Muter Chief Executive

AGENDA Page Nos. 1. Apologies for Absence 2. Declarations of Interest by Members and Officers and as to the Party Whip 3. Minutes of the meeting held on 27th September 2012 3-8

9-12 emmargorP kroW .4 5. Treasury Management 2012/13, Treasury Monitoring Report April

2102 rebotcO -

21-44 tropeR ssergorP tiduA lanretnI .6 7. Implementation of Recommendati 45-84 stroper pU wolloF – sno Planning Applications and Enforcement Partnerships Procurement Kelham Hall Security 8. Report on the A 85-114 muroF eettimmoC tidu 9. Date of next meeting- Thursday 14th February 2013

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Distribution Councillors: S. Crawford Mrs R. Crowe (C) Mrs M. Dobson P. Handley Mrs S.M. Michael D. Staples Officers: D. Dickinson N. Lovely B. Hill N. Pickavance A. Wasilewski A. Hunt L. Lancaster R. Bates Helen Bayne (x2)

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NEWARK AND SHERWOOD DISTRICT COUNCIL Minutes of the meeting of the AUDIT & ACCOUNTS COMMITTEE held in the Billiard Room, Kelham Hall on Wednesday, 27th September 2012 at 10am. PRESENT: Councillor Mrs. R. Crowe (Chairman)

Councillors: D. Staples and P. Handley

Officers in attendance: Lucy Pledge- Audit Lincolnshire John Scott- Audit Lincolnshire Nicola Lovely- Business Manager- Financial Services Bill Hill- Senior Accountant (Technical) 18. APOLOGIES FOR ABSENCE

Apologies for absence were submitted by Councillors Mrs M. Dobson, S. Crawford and Mrs S. Michael.

19. DECLARATIONS OF INTERESTS BY MEMBERS AND OFFICERS AND AS TO THE PARTY WHIP

NOTED Member Councillor Handley

Agenda Item No. Item 4- Disclosable Non-Pecuniary Interest- Member of Southwell Town Council and Southwell Leisure Centre Trustee

20. MINUTES OF THE MEETING HELD ON 5TH SEPTEMBER 2012 Councillor Staples queried, with regard to the amendment proposed to minute 9 regarding the Statement of Accounts for the Gilstrap and W.E Knight Trusts, whether this amendment had been made and forwarded to the Trustees, for their information. The Business Unit Manager- Financial Services informed the Committee that this information would be brought to the attention of the Trustees at their next meeting.

AGREED that subject to the above amendments, the Minutes of the meeting held on 5th September 2012 be approved as a correct record and signed by the Chairman.

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TREASURY MANAGEMENT 2012/13, TREASURY MONITORING REPORT APRIL-AUGUST 2012 The Committee considered the report of the Director- Resources in relation to the Councils Treasury activity and position as at 31st August 2012, based on the Capital Programme which was approved by Council on 8th March 2012. The report outlined the economic background, interest rates and both the short term and long term position of

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the Council’s loans and investments. Members considered the report, noting that for long term LOBO loans, that whilst the bank would review the interest rate every five years, the Council would at that point have the option of repaying the loan without penalty. Members also commented that where Newark, Southwell and Ollerton and Boughton Town Councils, as well as Southwell Leisure Centre Trust all held short term temporary loans from Newark and Sherwood District Council, these may have received a more beneficial interest rate if held with a bank. The Senior Accountant confirmed that this may be the case, and clarified that it was the respective town council precepts that the Council held, and the Town Councils withdrew funds at need. However, the precept could be paid to the Town Councils in full if required.

AGREED that the Treasury Management position be noted.

22. INTERNAL AUDIT PROGRESS REPORT

The Committee considered the report of the Director- Resources in relation to the internal audit progress report covering the period 1st July to 31st August 2012. Three reports with Limited Assurance had been issued on audits to the Dukeries Leisure Centre, Grove Leisure Centre and for Staff Absence. The audit of Blidworth Leisure Centre had received a Substantial Assurance report and for Budgetary Control Full Assurance had been issued. Details of audits that were on-going, and recommendations implemented were also noted. Members raised concerns regarding the number of outstanding recommendations that had not yet been implemented, and where managers had not stated a proposed implementation date, or reasons for not implementing the recommendation. They agreed to request that the Managers for the following areas: Partnerships, Planning, Building Security and Procurement; present a report, and possibly attend the next meeting of the Committee where there were issues raised, or it was not proposed to implement the recommendation. Members also considered that production of a Forward Plan for the work of the Committee would ensure that they could keep track of any recommendations that were outstanding. Lucy Pledge also invited Members of the Committee to attend the first Lincolnshire Audit Committee Forum on 3rd October. KPMG, the Council’s new external auditor would be in attendance, and Members would have the opportunity to network, and discuss the new audit arrangements. Members were also briefed on the Draft Local Audit Bill and the CIPFA/SOLACE consultation on Good Governance in Local Government.

AGREED that the Internal Audit Progress report be noted. that the Business Managers for Partnerships, Planning, Building Security and Procurement be asked to present reports to the next meeting of the Committee to explain the status of recommendations not yet

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implemented, together with dates by which all outstanding recommendations would be put in place.

23 ANNUAL INTERNAL AUDIT PLAN AND STRATEGY

The Committee considered the report of the Director- Resources, introducing the proposed Internal Audit Plan for the second six months of 2012/13. Following placing the contract with Audit Lincolnshire from April 2012, the initial Internal Audit Plan only covered the first six months of the financial year. Members considered the plan, noting the areas that were proposed to be audited. Members heard that the Internal Audit team have consulted with Business Managers to create an Assurance Model, to list all areas where assurance was provided. This will enable the audit function to avoid duplication of work and it would help to direct the annual audit plan. Members highlighted a number of issues for potential inclusion within the Internal Audit Plan, including the Growth Investment Fund. Clarification was provided as to the role for internal audit in ensuring that decisions made by the Council were made with appropriate information and that impact analysis, business projections and risk assessments were undertaken.

AGREED that the Internal Audit Plan and Strategy be approved.

24 VALUE FOR MONEY INDICATORS The Committee considered the report of the Director- Resources in relation to possible alternative value for money indicators for the Audit Service. Lucy Pledge explained that specifying monetary savings was not the main focus of internal audit, although by protecting the business and highlighting efficiencies, money could be saved indirectly. A CIPFA benchmarking group is available to give the audit cost per million pound turnover, which may be a useful indicator, however, she explained that it was sometimes difficult to compare between authorities due to the differences in their audit processes and different areas that were audited.

AGREED that the Audit Committee noted the report.

25 NEW EXTERNAL AUDIT ARRANGEMENTS The Committee considered the report of the Director- Resources detailing the new external audit arrangements that would be in place from 1st October 2012. The Committee were already aware that KPMG had been appointed by the Government to undertake the external audit functions for authorities in the East Midlands, and details of the arrangements had been received by the Council. The Lead Officer would be John Cornett, and the proposed fees for 2012/13 would be £76,138, a reduction of approximately 36% of the expected 2011/12 fee.

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The Business Unit Manager- Financial Services explained that the fee incorporated two elements - £63,538 for the audit of the financial statements, and £12,600 for certification of grant claims. The fee excluded any additional work that KPMG may undertake, at the Council’s request, but this was limited, to ensure that KPMG retained their ‘independent’ status.

AGREED that the arrangements and proposed fees be noted.

26 DATE OF NEXT MEETING The next meeting of the Committee will be Thursday 29th November 2012, at 10am.

The meeting closed at 11:41am Chairman

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AUDIT & ACCOUNTS COMMITTEE 29TH NOVEMBER 2012 BRIEFING NOTE: OUTSTANDING INVOICES ON LEISURE CENTRES’ TOREX SYSTEM (in response to a query raised at the meeting held on 27th September 2012) At the last meeting the Committee queried whether the large outstanding debt figure shown in the Leisure Centres’ report was due to a system error. Invoice Procedure On receipt of a room booking form from the customer (usually a club) it is entered onto the computer system used by Leisure Services called Torex. The system allocates this slot on the room diary and automatically creates an invoice for the customer. The invoice is sent out to the customer if they have not already paid on booking. The customer receives the invoice and is able to pay it in several ways, via the leisure centre reception, post, BACS etc. Payments received at a leisure centre either in person or by post it is entered onto the Torex system and the system automatically reduces the outstanding balance. If payment is made directly to the bank account via BACS the Torex system is currently not able to adjust the outstanding balance as there is no interface with e-financials which will log the BACS transactions. There is also currently no mechanism on Torex to log BACS payments. This means that the balance remains on the system. A manual system is now in use at all leisure centres where booking forms for each customer are kept together and a sheet attached to the front detailing all invoices raised and paid by the customer. Where payments are identified either from the Torex system or e-financials they are entered onto the sheet together with the date, method and receipt number if applicable. Within Torex there is currently no easy way of ascertaining what is actual outstanding debt and what has been paid but not shown as paid. Manual records would need to be examined to ascertain this. The system is being upgraded in approx February 2013 to include the facility to manually record internal transfers when they are identified which will allow BACs payments to be recorded against the relevant invoices. This will mean that the outstanding invoices report will only show the invoices actually outstanding. Monitoring The outstanding debt reports are produced monthly and each leisure centre goes through them and looks at the outstanding debt and raises reminders where necessary.

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Reminders are issued after 30 days, 60 days and 90 days. If no payment is made after the third reminder then a decision is made on what further action to take depending on the circumstances of the debtor i.e. they may be aware of a legitimate reason preventing payment. The majority of customers are long standing clubs which have booked the facilities for many years so reasons for non-payment are often known / advised. If there is no apparent reason for non-payment then they are referred to the debtors section to carry out recovery action via debt collectors etc. This avenue would also be followed if the customer no longer had bookings with the centre. Staff were not aware of any reaching this stage. A monthly budget meeting takes place between the Business Manager, Accountant and the Facilities Managers to go through various aspects of performance. During this meeting the income targets are looked at to ensure that they are on profile. Where there are differences these have to be explained. Possible Further Action Weaknesses in the current system were identified as part of the recent audit of the Leisure Centres and recommendations have been made to improve the processes. Management have recognised the limitations of the system and have made enquiries to improve it as much as they are able and have made progress on implementing the remaining recommendations. The explanations provided concerning the revisions which are due to be made to the system appear to improve the situation and could potentially negate the need to maintain duplicate manual records. However it may be beneficial for a full review of the processes around bookings and payments to be undertaken again once the system has been upgraded to ensure that the weaknesses are addressed and any unnecessary duplication is ceased.

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AUDIT AND ACCOUNTS COMMITTEE AGENDA ITEM NO 5

29TH NOVEMBER 2012

TREASURY MANAGEMENT – 2012-13 TREASURY MONITORING REPORT APRIL TO OCTOBER 2012

REPORT PRESENTED BY: BILL HILL SENIOR ACCOUNTANT (TECHNICAL)

1 Introduction

1.1 This report provides an update on the Council’s treasury activity and prudential indicators for 2012/13 – 2014/15. It is based on the latest capital programme approved by Council on the 8th March 2012 with its resulting implications on the current year’s treasury strategy.

2 Summary of Key Changes

2.1 The Treasury Strategy and the Prudential Indicators for 2012/13 were approved by Council on the 8th March 2012. It was necessary to update certain parts of the Strategy as a result of the financial year end decisions on the financing of capital spend for 2011/12 and the changes were reported to Cabinet on 28th June. The latest capital expenditure projection was approved by Cabinet on 6th September.

3 Economic Background

3.1 Since the last monitoring report the Office for National Statistics (ONS) has released the first estimate of Quarter 3 GDP which showed the UK emerging from recession, with the economy growing by an estimated 1.0% over the quarter and 0.0% over the year. These figures were much stronger than forecast with the market consensus for growth in the quarter being 0.6%. This was the strongest quarterly growth since 1.2% seen between Quarter 2 and Quarter 3 2007.

3.2 The largest contribution to this increase came from the services sector, where output was estimated to have risen by 1.3% in Quarter 3. There was also an increase in activity in the production sector of 1.1% but activity in the construction sector fell by 2.5%.

3.3 It cannot be over-emphasised however that this is the first estimate of GDP based on preliminary information for the quarter. Although based on a significant number of returns from businesses there is still al lot of information to come in, particularly for the third month. The amount of data available at this stage is about 45% of the total data that will be available in one year’s time.

4 Labour Market

4.1 The latest labour market statistics released by the ONS show the UK labour market performing strongly and once again beating expectations, continuing the ‘productivity puzzle’ (strong labour market data yet weak output data).

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4.2 The employment rate is at its highest since the three months to April 2009. The number of people in employment has not been higher since comparable records began in 1971 but the employment rate of 71.3% is lower than the pre-recession peak of 73.0% recorded for March to May 2008. Within the headline figures, the number of people in full-time employment was 21.6 million, up 88,000 on the quarter. The number of people in part-time employment was 8.13 million, up 125,000 on the quarter.

4.3 There were 2.53 million unemployed people, down 50,000 on the quarter and from a year earlier. Long term unemployment rose; the number of people unemployed for over two years was 444,000 in the three months to August 2012, up 1,000 from the three months to May. There were 2.71 million 16 to 24 year olds in employment, up 51,000 on the quarter and the unemployment rate for the same group was 20.5%, down 1.3% from the three months to May.

5 Inflation

5.1 Consumer Price Inflation (CPI) decreased to 2.2% year-on-year to September 2012, from 2.5% a month earlier in line with forecasts. By far the most significant downward contribution to the change between August and September came from housing, water, electricity, gas and other fuels where prices overall rose by 0.1% between August and September compared with a rise of 3.5% between the same two months a year earlier.

5.2 The most significant upward contribution came from transport, particularly from petrol and diesel price rises. Upward pressure also came from recreation and culture where prices rose by a greater amount this year than last and were not offset by large price falls such as those for digital cameras in 2011 which were not repeated. Finally miscellaneous goods and services made an upwards contribution where the largest upward pressure came from banking services.

6 Interest Rates

6.1 The Council’s Treasury Advisors have issued a new set of interest rate forecasts and do not now expect to see a rise in Bank Rate until 2016. The table below shows the effect of this projection on other linked interest rates. The government has announced that with effect from November 2012 those Authorities who agree to provide information about their future borrowing plans will receive a 0.2% reduction in PWLB borrowing rates. Since this information is already published as part of the capital programme this Council has provided this information and will therefore qualify for the discount on future borrowing.

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Interest Rate Estimates (before discount)

Bank Rate Money Rates PWLB Borrowing Rates 3 month 1 year 5 year 20 year 50 year

2012 Dec 0.50 0.55 1.10 1.80 3.75 4.25 2013 Mar 0.50 0.55 1.10 1.80 3.80 4.30 Jun 0.50 0.60 1.25 1.90 3.80 4.30 Sep 0.50 0.60 1.25 1.90 3.80 4.30 Dec 0.50 0.60 1.25 1.90 3.80 4.40 2014 Mar 0.50 0.70 1.40 2.00 3.90 4.40 Jun 0.50 0.70 1.40 2.00 3.90 4.40 Sep 0.50 0.70 1.40 2.00 3.90 4.50 Dec 0.50 0.75 1.40 2.00 3.90 4.50 2015 Mar 0.50 0.75 1.40 2.10 4.00 4.50 Jun 0.50 0.75 1.40 2.10 4.00 4.50 Sep 0.50 0.75 1.40 2.10 4.00 4.60 Dec 0.50 0.75 1.40 2.20 4.00 4.60

7 Cashflow

7.1 Cash Flow to the end of October was broadly in line with expectations. The current treasury position for the Council is shown at Appendix A.

RECOMMENDATION

That the Treasury Management position be considered

For further information please contact Bill Hill, Senior Accountant.

D. Dickinson

Director of Resources

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Appendix A

Position as at 31st October 2012

1 Short Term Position (due to mature within less than 365 days)

Temporary Loans

Temporary borrowing stands at £3.9m. This reflects withdrawals and deposits by the various Town Councils, who manage their own cash flows plus Newark and Sherwood Homes whose cash flow is managed by the Council’s treasury team in accordance with a service level agreement. Although outside the period under review, Southwell Town Council withdrew their deposit in full on 6th November and are now managing their balances themselves to improve returns.

Temporary Investments

Temporary investments stand at £12.5m split between fixed term deposits and instant access accounts.

The net investment position is £8.6m.

2 Long Term Position (maturities 1 year and greater)

Long Term Loans

Long term borrowing stands at £97.8m as forecast. A PWLB HRA loan of £0.5m which was due to mature on 20th September was repaid and not refinanced in line with the HRA business plan.

Long Term Investments

The Council has no long-term investments at this time.

3 Overall Net Indebtedness

This reflects the net indebtedness of the authority if it were to use all of its investments to repay debt. As at the month end this stood at £89.1m.

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Treasury Management Report as at 31st August 2012

Appendix A

A. Short Term Position Temporary Loans

Lender

Interest paid gross of fee

Type Date

Borrowed

To be Repaid

Period end

Balance

Newark & Sherwood Homes 0.42% Call n/a n/a 2,440,000

Newark Town Council 0.42% 7 day notice n/a n/a 970,297

Ollerton & Boughton Town Council 0.42% 7 day notice n/a n/a 177,519

Southwell Town Council 0.42% 7 day notice n/a n/a 151,223

Southwell LC Trust 0.42% 7 day notice n/a n/a 140,791

Total Temporary Loans (a) 3,879,931Temporary Investments

Borrower

Average

Interest Rate

Type Date

Invested To be

Repaid

Period end

Balance

NatWest SIBA Account 0.95% Call n/a n/a 7,103,000Santander 0.80% Call n/a n/a 30,000RBS Global Treasury Money Market Fund 0.42% Call n/a n/a 10,000Deutsche Bank Sterling Money Market Fund 0.51% Call n/a n/a 5,000

Glitnir ISK balance in escrow 3.40% Fixed 16-Mar-

12 tba 379,203

Lloyds TSB 1.75% Fixed 02-May-

12 02-Nov-

12 503,864

Lloyds TSB 1.75% Fixed 14-Jun-12 14-Dec-

12 1,000,000

Lloyds TSB 1.65% Fixed 23-Aug-

12 25-Feb-

13 950,000

Lloyds TSB 1.75% Fixed 14-Sep-

12 14-Feb-

13 1,000,000 Lloyds TSB 1.35% Fixed 31-Oct-12 07-Jan-13 1,500,000

Total Temporary Investments (b) 12,481,06

7 Bank Balance 31st October 2012 (c) 19,723

Short Term Position - Net Invested/(Borrowed) (d)=(b+c-a) 8,620,959

Average variable rate earned to date 0.91%Average fixed rate earned to date 1.57%Note - This excludes the Glitnir deposit B. Long Term Position

Long Term Loans Interest Rate

Type Date

Borrowed

To be Repaid

Public Works Loans Board (PWLB) 4.47% Maturity Various Various 80,578,00

0 Public Works Loans Board (PWLB) 9.02% Annuity Various Various 618,886Liverpool Victoria Friendly Society (LVFS) 6.18% Annuity Various Various 114,470

Barclays Bank (fixed to 08/11/16) 3.75% LOBO 08-Nov-

06 08-Nov-

66 3,000,000

Barclays Bank (fixed to 13/09/14) 4.40% LOBO 13-Sep-

07 13-Sep-

77 3,000,000 Barclays Bank (fixed to 03/02/14) 4.12% LOBO 01-Feb- 01-Feb- 3,500,000

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08 77

Barclays Bank (fixed to 14/04/14) 4.07% LOBO 14-Apr-

08 14-Apr-78 3,500,000

BAe Systems Pension Funds CIF Trustees 3.75% LOBO 01-Dec-

11 01-Dec-

16 2,500,000

BAe Systems 2000 Pension Plan Trustees 3.75% LOBO 01-Dec-

11 01-Dec-

16 1,000,000

Total Long Term Loans (e) 97,811,35

6 Please note the interest rate for the PWLB and LVFS loans is an average of the total loans for each categoryAverage external interest rate for long term loans 4.43%

Long Term Investments Interest Rate

Type Date

Borrowed

To be Repaid

None Total Long Term Investments (f) 0

Net Long Term Position (g) (e-f) 97,811,35

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C. Net Indebtedness (g)-(d) 89,190,39

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AUDIT AND ACCOUNTS COMMITTEE AGENDA ITEM NO.6 THURSDAY 29TH NOVEMBER 2012 INTERNAL AUDIT PROGRESS REPORT REPORT PRESENTED BY: HEAD OF AUDIT AND RISK MANAGEMENT – AUDIT LINCOLNSHIRE 1.0 Purpose of Report

To receive and comment upon the latest Internal Audit Progress Report which covers the period up to November 2012

2.0 Introduction

The purpose of the internal audit progress report (Annex A) is to provide a summary of Internal Audit work undertaken during 2012/2013 against the agreed audit plan.

3.0 RECOMMENDATION That Audit and Accounts Committee consider and comment upon the latest internal

audit progress report

Background Papers Nil. For further information please contact Lucy Pledge on 01522 553692 David Dickinson Director of Resources

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Internal Audit - Progress Report 2012 / 13

Date: November 2012

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Audit Lincolnshire – Internal Audit Progress Report

Page 1 of 20

Contents Introduction 2 Key Messages 2 Internal Audit work completed from July to September 2-3 Other Significant Work 3 Audits in Progress 3-4

Performance Information 4 Other matters of Interest 5 Appendices

Appendix 1 – Assurance Definitions 6Appendix 2 - Limited or No Assurance Internal Audit Reports 7 - 9Appendix 3 – Internal Audit Plan & Schedule 2012/13 10 - 20

Contact Details: Lucy Pledge CMIIA Head of Audit & Risk Management

County Offices, Newland, Lincoln, LN1 1YG �: 01522 553692 � [email protected]

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Introduction 1 The purpose of this report is to:

Advise of progress being made with the Audit Plan

Provide details of the audit work during the period

Provide details of the current position with agreed management actions in respect of previously issued reports

Raise any other matters that may be relevant to the Audit and Accounts Committee role

Key Messages 2 The transition to Audit Lincolnshire new ways of working is nearing completion. We

are now using the new PAWS electronic audit system. 3 Work has been completed on the Council’s assurance map and we are in the process

of producing a combined assurance report. The next step is to discuss the results with CMT before feedback to the Audit and Account Committee.

4 The Housing Benefit subsidy verification work has been completed. 5 There are a number of audits in progress. Some of the audit work has been passed to

external contractors to cover the unplanned additional work carried out by the Team on the subsidy verification.

6 The plan for the remainder of the year is now complete and performance is being

monitored against this. Whilst the plan completion rate is still currently below target, it is improving as the time taken on the transition decreases and audits are finalised.

Internal Audit work completed from September to November 7 The following audit work has been completed and a final report issued:

Full Assurance Substantial Assurance

Limited Assurance No Assurance

None None

Creditors

Housing Benefits

Sports and Arts Development

None

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Note The Audit Committee should note that the assurance expressed is at the time of issue of the report but before the full implementation of the agreed management action plan. Definitions levels are shown in Appendix 1.

8 We are reporting three limited assurance audits in this quarter, the management

summaries are at Appendix 2. Management will update progress on implementing agreed actions for these reports.

9 Progress with the implementation of agreed management action on

recommendations for audits has not been followed this time due to the short timescale between meetings and the inclusion of separate reports on those with unsatisfactory action taken in the previous report.

Other Significant Work 10 Combined Assurance Model

The key activities, emerging risks and projects of the Authority have now been included on an Assurance map and levels of assurance have now been included. A combined assurance report will be presented to CMT in the near future and the Audit and Accounts Committee will be updated once CMT have evaluated the report.

Audits in Progress 11 The following 2012/13 audits are currently in progress:

Audits at Draft Report Stage • Environmental Changes* • Emergency Planning 2011/12** • Equality and Diversity • Council Tax • Income • Change Programme. • IT Security • Payment Card Industry Security Standards (PCIDSS) • Information Governance

Audits in Progress • Cattle Market – figures completed as far as possible. Awaiting client to finalise

issue regarding the additional sales with the lessee. • Growth Point • Newark and Sherwood Homes • Localism Act • Asset management

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• Licensing • Building Control • Growth Investment Fund - scoping * This report was issued to management as a draft report on 14/09/12 but no

response has been received ** This report was issued to management as a draft final report on 26/04/12 and

then to the Director Resources on 11/07/12. We are aware that there are reasons for some of the delay but no response has been received.

Performance Information 12 Our Quarter 2 performance against targets is shown below:

Performance Indicator

Target

Actual (30/09/12)

Percentage of plan completed. 100% (revised plan)

36%

Percentage of key financial systems completed.

100% No data yet. End of year indicator.

Percentage of recommendations agreed.

100% 98.59% 1

(Reports issued 2012/13). Percentage of recommendations implemented which were due before 31/08/12 2 (Reports issued 2011/12) Percentage of recommendations implemented which were due before 31/08/12 2

100% or escalated

100%

70%

Timescales Draft report issued within 10 working days of completing audit.

Final report issued within 5 working days of closure meeting / receipt of management responses.

100%

20%

Client Feedback on Audit (average) Good to excellent 100%

1 The percentage of recommendations agreed is slightly below target due to one

recommendation made within the Budgetary control report. The recommendation was valid at the time of the audit and concerned the authorisation of virements. Procedures

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were changed following the issue of the draft report which meant that the recommendation no-longer applied therefore it was not agreed.

2 These will be updated at the next Audit and Accounts Committee meeting.

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Other matters of Interest 15 Audit Committee Forum – 3rd October 2012

Please see separate report

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Appendix 1 - Assurance Definitions1

Full Assurance

Our critical review or assessment on the activity gives us a high level of confidence on service delivery arrangements, management of risks, and the operation of controls and / or performance. The risk of the activity not achieving its objectives or outcomes is low. As a guide there are a few low risk / priority actions arising from the review.

Substantial Assurance

Our critical review or assessment on the activity gives us a reasonable level of confidence on service delivery arrangements, management of risks, and operation of controls and / or performance. There are some improvements needed in the application of controls to manage risks. However, the controls are in place and operating sufficiently so that the risk to the activity not achieving its objectives is medium to low. As a guide there are low to medium risk / priority actions arising from the review.

Limited Assurance

Our critical review or assessment on the activity identified some concerns on service delivery arrangements, management of risks, and operation of controls and / or performance. The controls to manage the risks are not always being operated or are inadequate. Therefore, the risk of the activity not achieving its objectives is medium to high. As a guide there are medium and a few high risk / priority actions arising from the review. Our work did not identify system failures that could result in any of the following: - damage to the Council’s reputation - material financial loss - adverse impact on members of the public - failure to comply with legal requirements

No Assurance

Our critical review or assessment on the activity identified significant concerns on service delivery arrangements, management of risks, and operation of controls and / or performance. Our work identified system failures that could result in any of the following: - damage to the Council’s reputation - material financial loss - adverse impact on members of the public - failure to comply with legal requirements The controls to manage the risks are not being operated or are not present. Therefore the risk of the activity not achieving its objectives is high. As a guide there are a large number of medium and high risks / priority actions arising from the review.

1 The assurance opinion is based on information and evidence which came to our attention during the audit. Our work cannot provide absolute assurance that material errors, loss or fraud do not exist.

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Appendix 2 – Audits where assurance is assessed as ‘No’ or ‘Limited’ (Executive Summaries only) CREDITORS Executive Summary Assurance Opinion - Limited Assurance We found that the creditor system is generally well managed, including controls linked to ordering and payments although our review highlighted some improvement areas linked to IT security, separation of duties, master data control and written procedures. We made two high priority recommendations. One of these refers to the changing of BACS passwords and PIN numbers which are not changed on a regular basis. This is an important security control, particularly when there have been recent staff leavers in the section. We identified other high/medium priority areas where procedures were not documented or controls could be improved :-

• there was no written guidance on setting up new suppliers, changing existing supplier details or how to stop a BACS payment;

• there was a lack of appropriate internal control in some areas including: o an absence of monitoring master data changes via reports; o no master data register recording authorised officers; o no consistent process to retain master data change requests received from

officers; o no evidence that master data changes received from suppliers affecting

payments are confirmed. Some officers who have access to the BACS system also have responsibility for processing invoices and maintaining creditor standing data. This segregation of duties issue has been raised previously. We found an example where an item was purchased by a staff member for Council use and was then re-imbursed later through the Creditors system. A satisfactory VAT receipt was presented but the VAT element had not been reclaimed. This example is not an isolated one. We found the authorisation process for orders and invoices to be satisfactory and in line with Financial Regulations and there is satisfactory monitoring and reporting of invoices paid within 30 days of receipt. Management Response The Executive Summary mentions the segregation of duties in respect of maintaining standing data and processing of invoices. Due to the number of staff available for the creditor function it is not possible to restrict staff in this way and still provide a satisfactory level of service.

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Management Actions

No All to be completed by:

High Priority 2 31st December 2012 Medium Priority 3 31st October 2012

HOUSING BENEFITS 2011/12

Executive Summary Assurance Opinion – Limited Assurance We found that the Benefits Team could consider ways to improve the service in some of the areas we reviewed, particularly the assessment of earnings (employed and self employed) where our testing found an approximate 20% error rate. Management should review guidance and training requirements in these areas. For the calculation of self-employed cases, other assessment options should be considered - including the use of specialist staff or other bespoke training materials and systems. Performance and quality control processes should be reviewed which would improve accuracy and reduce the level of errors. Currently there is no formal quality control system in place where accuracy and compliance checks are undertaken on new claims and changes in circumstances, although we understand accuracy checks had been undertaken prior to June 2011. We identified some errors as part of our testing and similarly errors have been found by the Audit Commission previously. Additional training has been put in place however we feel that introducing a risk based quality control system would help improve accuracy and assist with training and development of staff. In the other areas of our review, system parameters were found to have been amended in a timely and accurate manner and controls surrounding the recording and reconciliation of payments to associated systems (e.g. rents, council tax, accountancy records) were operating satisfactorily.

Management Response It is fair to say that overall management does not consider that the level of assurance should be ranked as limited when taking into account the service as a whole, however it is difficult to argue that the actions ranked as high could be anything else following the findings reported. The level of audit inspection conducted was very in depth and some of the discrepancies were based on differing interpretations. That said all of the recommendations are agreed and actions have/will be put in place which will increase the assurance of the service. This will/has include(d) taking into account the advisory points and we are grateful for these suggestions. Of the three recommendations, one is ranked as a medium priority and two as high priority. Particular and immediate attention will be given to addressing the high priority actions,

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although it should be noted that accuracy checks have been conducted in the past and were only temporarily suspended due to the impact of the Atlas system of notifying changes to tax credits and DWP awards and based on risk when taking into account the previous excellent accuracy rates. In particular action has been taken to address the assessment of self employed income as set out within the agreed action. Business Manager – Revenues and Benefits SPORTS AND ARTS DEVELOPMENT Executive Summary Assurance Opinion - Limited Assurance The service undertakes various initiatives to develop sporting activity and improve participation, including partnership working, however without a formal sports participation plan or strategy the service may not achieve its overall objectives. Similarly, whilst funding for the Arts remains restricted, an Arts strategy would help to focus limited resources and maximise benefit within the District. The Sports and Arts Development business unit needs to formalise its sports and art development plans and strategies to ensure that it is clear about the service and outcomes it seeks to achieve. Communicating the aims and objectives of the Sports and Arts Development function would help promote the section, and its various programmes, to the general public whilst also providing a framework against which future programmes could be aligned. As well as strategic planning we found some other areas where improvements could be made:

• The authority for grant approvals was not always formally recorded and we have recommended improvements in this area.

• Income controls, including receipting and reconciliations need to be strengthened. Equal Opportunity monitoring information is obtained but is not fully collated or recorded by the section. This should be improved.

Management Response

Management Actions No All to be completed by: High Priority 3 30th November 2012 Medium Priority 5 31st March 2013

33

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d St

art

Dat

e

Act

ual

Star

t D

ate

Fina

l Rep

ort

Issu

ed

Stat

us /

Ass

uran

ce

Leve

l Giv

en

Coun

cil t

ax, N

ND

R) is

bei

ng

asse

ssed

to in

form

the

MTF

S.

Cred

itor

Proj

ect –

Ord

erin

g an

d in

voic

e pr

oces

sing

10

A

rev

iew

of t

he c

redi

tors

pr

ojec

t and

ass

essm

ent o

f new

co

ntro

l arr

ange

men

ts.

Janu

ary

2013

Perf

orm

ance

man

agem

ent

12

A r

evie

w o

f the

Cou

ncil’

s pe

rfor

man

ce m

anag

emen

t fr

amew

ork

and

new

pe

rfor

man

ce m

anag

emen

t sy

stem

.

Febr

uary

20

13

Safe

ty

Risk

Man

agem

ent

10

To p

rovi

de a

ssur

ance

to th

e Co

unci

l tha

t the

y ha

ve g

ood

risk

m

anag

emen

t arr

ange

men

ts in

pl

ace

to s

uppo

rt w

ell m

easu

red

risk

taki

ng a

nd th

at s

trat

egic

ri

sks

are

wel

l man

aged

.

TBC

Chan

ges

in p

roce

dure

an

d pe

rson

nel h

ave

impa

cted

on

the

star

t of

this

rev

iew

. The

re

view

will

be

unde

rtak

en b

y a

Risk

M

anag

emen

t spe

cial

ist

from

Aud

it Li

ncol

nshi

re.

Equa

lity

and

Div

ersi

ty

8 En

suri

ng th

e Co

unci

l is

com

plyi

ng w

ith n

ew r

egul

ator

y re

quir

emen

ts

July

201

2 A

ugus

t 20

12

D

raft

Rep

ort.

Busi

ness

Con

tinui

ty

0 Th

at th

ere

are

effe

ctiv

e bu

sine

ss c

ontin

uity

ar

rang

emen

ts in

pla

ce th

at

N/A

N

/A

N/A

Re

mov

ed fr

om p

lan.

39

Aud

it Li

ncol

nshi

re –

Inte

rnal

Aud

it R

epor

t

P

age

17 o

f 20

Are

a

D

ays

Indi

cati

ve S

cope

Pl

anne

d St

art

Dat

e

Act

ual

Star

t D

ate

Fina

l Rep

ort

Issu

ed

Stat

us /

Ass

uran

ce

Leve

l Giv

en

help

s en

sure

the

Coun

cil i

s re

silie

nt a

nd c

ontin

ue to

del

iver

it’

s cr

itica

l ser

vice

s in

the

even

t of

a p

oten

tial

dis

rupt

ion

or

inci

dent

. H

ealth

and

Saf

ety

12

A r

evie

w o

f the

hea

lth a

nd

safe

ty, o

btai

ning

ass

uran

ces

over

all

the

key

area

s in

clud

ing

role

s an

d re

spon

sibi

lity.

In

clud

ing

awar

enes

s be

low

Bu

sine

ss M

anag

er le

vel.

Nov

embe

r 20

12

Sub

Tota

l 17

8

St

rate

gic

& E

mer

ging

Ris

ks

Chan

ge p

rogr

amm

e 10

To

pro

vide

ass

uran

ce a

roun

d de

liver

y of

cha

nge

and

savi

ngs

– SM

ART

focu

s

June

201

2 Ju

ne 2

012

D

raft

rep

ort.

Info

rmat

ion

Gov

erna

nce

– Re

cord

s M

anag

emen

t –

Dat

a Pr

otec

tion

(fol

low

up)

–

Free

dom

of I

nfor

mat

ion

(fol

low

up)

12

To r

evie

w th

e ar

rang

emen

ts fo

r re

cord

s m

anag

emen

t in

the

Aut

hori

ty w

ith fo

llow

up

wor

k on

DP

and

FOI.

Oct

ober

20

12

Sept

embe

r 20

12

D

raft

Rep

ort

Emer

ging

ris

ks a

nd le

gisl

atio

n (B

ig S

ocie

ty &

loca

lism

age

nda)

10

To

obt

ain

assu

ranc

e th

at

emer

ging

ris

ks a

nd le

gisl

atio

n ar

e be

ing

appr

opri

atel

y m

anag

ed.

Aug

ust

2012

A

ugus

t 20

12

Lo

calis

m to

rep

lace

pr

ojec

t man

agem

ent a

s re

ques

ted

by S

151

Off

icer

.

40

Aud

it Li

ncol

nshi

re –

Inte

rnal

Aud

it R

epor

t

P

age

18 o

f 20

Are

a

D

ays

Indi

cati

ve S

cope

Pl

anne

d St

art

Dat

e

Act

ual

Star

t D

ate

Fina

l Rep

ort

Issu

ed

Stat

us /

Ass

uran

ce

Leve

l Giv

en

Spec

ifica

lly to

est

ablis

h ho

w th

e co

unci

l is

resp

ondi

ng t

o th

e lo

calis

m a

gend

a (B

ig s

ocie

ty),

incl

udin

g an

y po

tent

ial c

hang

es

to g

over

nanc

e ar

rang

emen

ts.

In p

rogr

ess.

Sub

Tota

l 32

O

ther

rel

evan

t A

reas

Co

mbi

ned

Ass

uran

ce

25

Co-o

rdin

ate

the

deve

lopm

ent o

f th

e co

mbi

ned

assu

ranc

e m

odel

fo

r th

e Co

unci

l (A

ssur

ance

Map

) w

here

we

gain

ass

uran

ce o

n cr

itica

l act

iviti

es a

nd k

ey r

isks

fa

cing

the

Coun

cil t

hrou

gh:

Man

agem

ent

3rd

Par

ties

Inte

rnal

Aud

it

May

201

2 M

ay 2

012

N/A

In

itial

mee

tings

co

mpl

eted

. M

ap n

ow

popu

late

d an

d go

ing

thro

ugh

man

agem

ent

revi

ew p

roce

ss.

Map

to b

e re

fres

hed

in

Dec

.

Revi

ew In

tern

al A

udit

Stra

tegy

an

d pl

anni

ng

5 To

dev

elop

the

aud

it pl

an a

nd

stra

tegy

for

NSD

C fr

om O

ctob

er

2012

.

Aug

ust

2012

Follo

w u

p of

pre

viou

s au

dit

repo

rts

14

Dev

elop

men

t of

reco

mm

enda

tion

trac

ker

proc

ess

with

Man

agem

ent.

Apr

il 20

12

Apr

il 20

12

Co

ntin

uous

qua

rter

ly

revi

ews.

41

Aud

it Li

ncol

nshi

re –

Inte

rnal

Aud

it R

epor

t

P

age

19 o

f 20

Are

a

D

ays

Indi

cati

ve S

cope

Pl

anne

d St

art

Dat

e

Act

ual

Star

t D

ate

Fina

l Rep

ort

Issu

ed

Stat

us /

Ass

uran

ce

Leve

l Giv

en

Sub

Tota

l 44

IC

T A

udit

.

D

evel

opm

ent o

f ICT

Aud

it Pl

an

3 O

ur IC

T au

dit s

trat

egy

is b

eing

re

vise

d. T

his

incl

udes

a r

isk

asse

ssm

ent w

hich

will

iden

tify

area

s fo

r au

dit f

ocus

.

July

201

2 A

ugus

t 20

12

In

pro

gres

s.

IT S

ecur

ity

12

Ove

rvie

w o

f the

Cou

ncil’

s IT

se

curi

ty in

fras

truc

ture

.

July

201

2 Ju

ly 2

012

D

raft

rep

ort.

IT A

pplic

atio

ns/P

roje

ct

Man

agem

ent/

Stra

tegi

c Pa

rtne

rshi

p

12

To b

e de

cide

d.

Janu

ary

2013

Sub

Tota

l 27

N

on-A

udit

A

dvic

e 10

G

ener

al r

isk

and

cont

rol a

dvic

e to

man

ager

s

N

/A

Ong

oing

Liai

son

10

Man

agem

ent m

eetin

gs e

tc

N/A

O

ngoi

ng

Ann

ual R

epor

t 3

Prod

uctio

n of

the

annu

al

inte

rnal

aud

it re

port

and

as

sura

nce

stat

emen

t

May

201

2 M

ay 2

012

N/A

Re

port

ed to

Ju

ly A

udit

and

Acc

ount

s Co

mm

ittee

Com

plet

ed.

Aud

it Co

mm

ittee

24

Pr

ovid

ing

supp

ort t

o th

e A

udit

Com

mit

tee

to e

nsur

e it

can

N

/A

Ong

oing

42

Aud

it Li

ncol

nshi

re –

Inte

rnal

Aud

it R

epor

t

P

age

20 o

f 20

Are

a

D

ays

Indi

cati

ve S

cope

Pl

anne

d St

art

Dat

e

Act

ual

Star

t D

ate

Fina

l Rep

ort

Issu

ed

Stat

us /

Ass

uran

ce

Leve

l Giv

en

fulfi

l its

rol

e ad

equa

tely

. O

ther

Aud

its

not

on o

rigi

nal

plan

Hou

sing

Ben

efits

– A

dditi

onal

w

ork

35

Hou

sing

Ben

efits

Sub

sidy

Te

stin

g Ju

ne 2

012

June

201

2 N

/A

Com

plet

e. A

wai

ting

feed

back

from

Aud

it Co

mm

issi

on.

Not

in o

rigi

nal p

lan

– ad

ditio

nal w

ork

requ

este

d by

Dir

ecto

r of

Res

ourc

es.

Inco

me

20

Add

ition

al a

udits

agr

eed

due

to

the

post

pone

men

t of s

ome

audi

ts w

ithin

the

orig

inal

pla

n.

Aug

ust

2012

A

ugus

t 20

12

D

raft

rep

ort

PCID

SS

10

As

abov

e.

Sept

embe

r 20

12

Aug

ust

2012

Fina

l rep

ort

Cred

itors

10

A

s ab

ove.

Ju

ne 2

012

June

201

2 Se

ptem

ber

2012

Co

mpl

ete.

Li

mite

d A

ssur

ance

. G

row

th In

vest

men

t Fun

d 12

Re

view

the

proc

esse

s in

pla

ce

and

plan

ned

part

icul

arly

the

Gov

erna

nce

arra

ngem

ents

.

Oct

ober

20

12

Oct

ober

20

12

Sc

opin

g.

Sub

Tota

l 13

4

2011

/12

Aud

its

com

plet

ed in

20

12/1

3

Leis

ure

Cent

res

- All

8

2011

/12

2011

/12

Aug

ust 2

012

Com

plet

e.

Lim

ited

and

Subs

tant

ial

43

Aud

it Li

ncol

nshi

re –

Inte

rnal

Aud

it R

epor

t

P

age

21 o

f 20

Are

a

D

ays

Indi

cati

ve S

cope

Pl

anne

d St

art

Dat

e

Act

ual

Star

t D

ate

Fina

l Rep

ort

Issu

ed

Stat

us /

Ass

uran

ce

Leve

l Giv

en

Ass

uran

ce.

Leis

ure

Inve

stig

atio

n 3

N

/A

N/A

N

/A

Com

plet

e –

no fu

rthe

r au

dit i

nvol

vem

ent

requ

ired

. Em

erge

ncy

Plan

ning

4

20

11/1

2 20

11/1

2

Dra

ft R

epor

t St

aff A

bsen

ce

2

2011

/12

2011

/12

Aug

ust 2

012

Com

plet

e.

Lim

ited

Ass

uran

ce

Hou

sing

Ben

efits

14

2011

/12

2011

/12

Sept

embe

r 20

12

Com

plet

e.

Lim

ited

Ass

uran

ce.

Sub

Tota

l 31

Co

ntin

genc

y 10

TO

TAL

68

5

*Rev

ised

pla

n.

44

Plan

ning

App

licat

ions

and

Enf

orce

men

t 201

1/12

E:\I

tem

3- w

hite

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a- w

hite

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1

Impl

emen

tatio

n of

Aud

it R

ecom

men

datio

ns P

rogr

ess

Stat

emen

t RE

VIE

W O

F PR

OG

RESS

AG

AIN

ST R

ECO

MM

END

ATI

ON

S –

HIG

H P

RIO

RITY

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

HP1

Man

agem

ent

shou

ld i

mpl

emen

t re

gula

r re

conc

iliat

ion

of p

lann

ing

fee

inco

me.

Resp

onse

of B

usin

ess

Man

ager

Gro

wth

Adm

in:

Reco

mm

enda

tion

acce

pted

. Cu

rren

tly r

evie

win

g re

port

ing

func

tiona

litie

s fr

om b

oth

E-fin

anci

als

and

Uni

form

to e

nsur

e ac

cura

te r

econ

cilia

tion

of

fees

. Fu

rthe

r w

ork

may

be

requ

ired

to

ensu

re c

orre

ct c

ross

ref

eren

ces

are

avai

labl

e.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Gro

wth

Adm

in

Dat

e fo

r Im

plem

enta

tion

1st A

pril

2012

Curr

ently

rev

iew

ing

accu

racy

of r

epor

ts g

ener

ated

from

bot

h U

nifo

rm a

nd E

-fin

and

off

icer

inpu

ttin

g.

Busi

ness

Man

ager

und

erta

ken

test

s, h

owev

er th

ese

have

bee

n un

succ

essf

ul.

Furt

her

test

s/w

orks

to

be u

nder

take

n re

gard

ing

cros

s re

fere

nces

hel

d in

bot

h un

iform

and

e-f

in.

Revi

sed

impl

emen

tatio

n da

te to

be

agre

ed u

pon

succ

essf

ul c

ompl

etio

n of

test

s.

HP2

Man

agem

ent

shou

ld d

eter

min

e an

d th

en a

ctiv

ely

supp

ort

a de

finit

ive

data

rec

ord

for

plan

ning

app

licat

ions

. Re

spon

se o

f Bus

ines

s M

anag

er D

evel

opm

ent

and

Bus

ines

s M

anag

er

Gro

wth

Adm

in:

Wor

k is

cu

rren

tly

unde

rway

re

gard

ing

guid

ance

fo

r of

ficer

s fo

r al

l ap

plic

atio

ns/m

atte

rs o

n w

hich

a d

ecis

ion

has

been

mad

e.

The

e-fil

e

PART

IMPL

EMEN

TED

G

uida

nce

draf

ted

to e

nsur

e th

at th

e ef

ile is

the

defin

itive

pl

anni

ng fi

le. H

owev

er, s

till n

ot in

a p

ositi

on to

dis

pose

of h

ard

copy

file

giv

en n

eed

to s

cale

from

pla

ns w

hen

capt

ured

. ID

OX

corp

orat

e ex

pans

ion

will

res

olve

this

as

will

incl

ude

the

45

Plan

ning

App

licat

ions

and

Enf

orce

men

t 201

1/12

E:\I

tem

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hite

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a- w

hite

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2

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

(Doc

umen

t M

anag

emen

t Sy

stem

) w

ill b

e th

e fil

e an

d w

ill i

nclu

de a

ll re

leva

nt in

form

atio

n.

The

mat

ter

is n

ot a

s st

raig

htfo

rwar

d w

ith

resp

ect

to t

he w

orki

ng f

ile (

i.e.

whi

lst

we

are

com

ing

to a

dec

isio

n on

an

appl

icat

ion,

enf

orce

men

t in

vest

igat

ion,

pre

app

) as

oft

en l

arge

vol

umes

and

a h

igh

freq

uenc

y of

in

form

atio

n is

sub

mitt

ed.

How

ever

the

man

agem

ent

team

rec

ogni

ses

furt

her

trai

ning

and

gui

danc

e ar

e re

quir

ed to

ass

ist o

ffic

ers.

A

dvic

e to

be

dist

ribu

ted

thro

ugho

ut s

ervi

ce i

dent

ifyin

g w

ho a

nd w

hen

docu

men

tati

on is

sav

ed.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Gro

wth

Adm

in a

nd B

usin

ess

Man

ager

Dev

elop

men

t D

ate

for

Impl

emen

tati

on

1st A

pril

2012

impl

emen

tatio

n of

a n

ew d

ocum

ent m

anag

emen

t sys

tem

and

in

-bui

lt sc

alin

g fa

cilit

y. R

evis

ed im

plem

enta

tion

date

, in

conj

unct

ion

with

Env

iron

men

tal

to b

e ea

rly

2013

.

HP3

Enfo

rcem

ent

acti

on s

houl

d be

tak

en p

rom

ptly

. Th

e ef

fect

ive

use

of m

anag

emen

t re

port

s sh

ould

hel

p as

sist

wit

h th

is

obje

ctiv

e (r

ef. M

P11)

. Re

spon

se o

f Bus

ines

s M

anag

er D

evel

opm

ent

and

Bus

ines

s M

anag

er

Gro

wth

Adm

in:

Reco

mm

enda

tion

acce

pted

. Bu

sine

ss M

anag

ers

to w

ork

wit

h En

forc

emen

t Tea

m to

inve

stig

ate

func

tion

alit

y av

aila

ble

in U

nifo

rm (b

ack

offic

e IC

T sy

stem

) to

ensu

re

effe

ctiv

e m

onito

ring

and

follo

w u

p oc

curs

. Re

port

s to

be

crea

ted

and

gene

rate

d to

ass

ist E

nfor

cem

ent t

eam

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Se

nior

Pla

nner

(Enf

orce

men

t)

Dat

e fo

r Im

plem

enta

tion

Se

ptem

ber

2012

PART

IMPL

EMEN

TED

A

cces

s da

taba

se P

erfo

rman

ce in

form

atio

n is

pro

vide

d on

a

mon

thly

bas

is.

Ente

rpri

se in

stal

led.

Adv

ance

d tr

aini

ng to

be

unde

rtak

en a

s pa

rt o

f ID

OX

expa

nsio

n pr

ojec

t. U

pdat

e to

be

prov

ided

upo

n re

ceip

t of t

rain

ing

date

s fr

om ID

OX

proj

ect m

anag

er.

Trai

ning

sc

hedu

led

for

20th

Dec

embe

r 20

12.

46

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t 201

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3

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

HP4

Reco

rds

of s

ite

mon

itor

ing

mus

t be

pre

sent

wit

hin

the

reco

rds

held

by

the

Enfo

rcem

ent

Sect

ion

to s

uppo

rt e

nfor

cem

ent

acti

on.

Resp

onse

of B

usin

ess

Man

ager

Dev

elop

men

t an

d B

usin

ess

Man

ager

G

row

th A

dmin

: Se

e H

P3

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Seni

or P

lann

er (E

nfor

cem

ent)

D

ate

for

Impl

emen

tati

on

Sept

embe

r 20

12

Agr

eed

and

impl

emen

ted

47

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Enf

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t 201

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4

REV

IEW

OF

PRO

GRE

SS A

GA

INST

REC

OM

MEN

DA

TIO

NS

– M

EDIU

M P

RIO

RITY

R

epor

t R

ef

Rec

omm

enda

tion

and

Res

pons

e Fr

om O

rigin

al R

epor

t C

urre

nt P

ositi

on

MP1

Copi

es

of

emai

l no

tific

atio

ns

from

th

e pl

anni

ng

port

al

shou

ld

be

reta

ined

to

evid

ence

the

dat

e of

rec

eipt

. Re

spon

se o

f Bus

ines

s M

anag

er G

row

th A

dmin

: Re

com

men

datio

n ac

cept

ed.

Gro

wth

Adm

in T

eam

info

rmed

of c

hang

e to

ens

ure

Plan

ning

Por

tal e

mai

l no

tific

atio

ns a

re s

aved

on

both

ele

ctro

nic

and

pape

r fil

es.

Regu

lar

mon

itor

ing

of th

is r

equi

rem

ent t

o be

und

erta

ken

by a

des

igna

ted

offic

er w

ithi

n G

row

th A

dmin

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er G

row

th A

dmin

and

Sus

an B

ush

(Gro

wth

A

dmin

istr

atio

n O

ffic

er)

Dat

e fo

r Im

plem

enta

tion

Im

plem

ente

d M

arch

201

2

Act

ion

agre

ed a

nd im

plem

ente

d.

MP2

All

new

ly

regi

ster

ed

appl

icat

ions

sh

ould

ap

pear

on

th

e w

eekl

y re

gist

ered

list

. Re

spon

se o

f Bus

ines

s M

anag

er G

row

th A

dmin

: Re

com

men

datio

n ac

cept

ed.

Gro

wth

Adm

in T

eam

to u

nder

take

wee

kly

chec

ks r

egar

ding

res

ults

in

Uni

form

to th

at h

eld

on th

e w

eekl

y lis

t. F

urth

er w

ork

may

be

requ

ired

if

Wee

kly

List

Tem

plat

e (h

eld

in U

nifo

rm) i

s fo

und

to in

clud

e er

rors

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er G

row

th A

dmin

and

Jan

Ayl

ing

(Gro

wth

Adm

inis

trat

ion

Off

icer

) D

ate

for

Impl

emen

tati

on

1st A

pril

2012

Act

ion

agre

ed a

nd im

plem

ente

d.

Peri

odic

che

cks

to b

e un

dert

aken

to c

onfir

m a

pplic

atio

ns

regi

ster

ed a

gain

st th

ose

on th

e te

mpl

ate

is c

onsi

sten

t.

New

Pub

lic A

cces

s to

be

inst

alle

d as

par

t of I

DO

X ex

pans

ion

proj

ect –

new

func

tiona

lity

prov

ides

wee

kly

list c

reat

ion

whi

ch

not a

s la

bour

inte

nsiv

e. T

estin

g to

be

unde

rtak

en w

ith g

o liv

e D

ec 2

012.

48

Plan

ning

App

licat

ions

and

Enf

orce

men

t 201

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\Ite

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hite

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5

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

MP3

Wee

kly

lists

sho

uld

be p

lace

d pr

ompt

ly o

n th

e A

utho

rity

’s w

ebsi

te.

Resp

onse

of B

usin

ess

Man

ager

Gro

wth

Adm

in:

As

a re

sult

of t

he in

trod

ucti

on o

f the

Aut

hori

ty’s

new

web

site

. A

pre

viou

s re

view

of o

nlin

e co

nten

t res

ulte

d in

the

rem

oval

of w

eekl

y lis

ts.

Cust

omer

s ar

e no

w d

irec

ted

to th

e Pl

anni

ng A

pplic

atio

n w

ebsi

te

(adv

ance

d se

arch

faci

litie

s ar

e av

aila

ble,

allo

win

g cu

stom

ers

to s

earc

h fo

r ap

plic

atio

ns b

etw

een

user

def

ined

dat

es).

Furt

her

disc

ussi

ons

to ta

ke p

lace

reg

ardi

ng r

e-in

trod

uctio

n of

pub

licat

ion

of w

eekl

y lis

t on

line.

O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er G

row

th A

dmin

D

ate

for

Impl

emen

tati

on

1st A

pril

2012

Aw

aitin

g tim

esca

les

for

new

pub

lic a

cces

s w

ebsi

te fo

r pl

anni

ng

appl

icat

ion

as a

gree

d as

par

t of

cor

pora

te ID

OX

expa

nsio

n.

This

is li

nked

dir

ectl

y to

the

inst

alla

tion

of a

new

Doc

umen

t M

anag

emen

t Sy

stem

(DM

S).

Ther

efor

e, t

imes

cale

s ar

e re

liant

on

corp

orat

e ro

llout

of D

MS

( e.g

.: th

roug

hout

En

viro

nmen

tal S

ervi

ces

etc)

. G

o liv

e es

tim

ated

to

be e

arly

20

13.

New

Pub

lic A

cces

s to

be

inst

alle

d as

par

t of I

DO

X ex

pans

ion

proj

ect –

new

func

tiona

lity

prov

ides

wee

kly

list c

reat

ion.

Te

stin

g to

be

unde

rtak

en w

ith g

o liv

e D

ec 2

012.

MP4

All

rele

vant

nei

ghbo

urs

shou

ld b

e co

nsul

ted.

Re

spon

se o

f Bus

ines

s M

anag

er G

row

th A

dmin

: Pr

opos

ed c

hang

es to

the

valid

atio

n of

pla

nnin

g ap

plic

atio

ns w

ill in

clud

e a

revi

ew a

nd in

trod

uctio

n of

new

gui

danc

e re

gard

ing

publ

icit

y of

pla

nnin

g ap

plic

atio

ns, i

nclu

ding

iden

tific

atio

n of

nei

ghbo

urs.

Co

ntro

l obj

ecti

ve to

be

fed

in t

o re

view

pro

cess

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er D

evel

opm

ent a

nd B

usin

ess

Man

ager

Gro

wth

Adm

in

Dat

e fo

r Im

plem

enta

tion

Ti

met

able

to

be d

iscu

ssed

as

part

rev

iew

and

im

plem

enta

tion

of n

ew

valid

atio

n pr

oces

s.

Agr

eed

and

Impl

emen

ted.

Tra

inin

g of

Tec

hnic

al S

uppo

rt T

eam

no

w ta

king

pla

ce, w

ith th

e te

am b

eing

res

pons

ible

for

publ

icity

an

d no

tific

atio

n.

MP5

A

polic

y do

cum

ent

sett

ing

out

how

th

e A

utho

rity

co

nsul

ts

and

publ

icis

es p

lann

ing

appl

icat

ions

sho

uld

be c

onsi

dere

d.

Resp

onse

of B

usin

ess

Man

ager

Dev

elop

men

t an

d B

usin

ess

Man

ager

G

row

th A

dmin

: G

uida

nce

rega

rdin

g ‘C

onsu

ltat

ion

on P

lann

ing

App

licat

ions

’ is

prov

ided

in

the

Aut

hori

ty’s

Sta

tem

ent

of C

omm

unit

y In

volv

emen

t (pg

17

to 2

3).

Pr

opos

ed c

hang

es to

the

valid

atio

n pr

oces

s w

ill in

clud

e ne

w g

uida

nce

as

Agr

eed

and

part

impl

emen

ted

– ho

wev

er n

ot y

et p

ublic

faci

ng,

in c

onju

nctio

n w

ith g

uida

nce

for

MP4

abo

ve.

49

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licat

ions

and

Enf

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men

t 201

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hite

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6

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

to h

ow th

e A

utho

rity

pub

licis

es p

lann

ing

appl

icat

ions

. W

ebsi

te a

lso

need

s to

be

upda

ted

to in

clud

e pu

blic

ity r

equi

rem

ents

, w

hich

can

be

incl

uded

on

lett

ers

to n

eigh

bour

s w

hen

notif

ying

of a

pl

anni

ng a

pplic

atio

n.Co

ntro

l obj

ectiv

e to

be

fed

in to

rev

iew

pro

cess

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er D

evel

opm

ent a

nd B

usin

ess

Man

ager

Gro

wth

Adm

in

Dat

e fo

r Im

plem

enta

tion

Ti

met

able

to b

e di

scus

sed

as p

art r

evie

w a

nd im

plem

enta

tion

of n

ew

valid

atio

n pr

oces

s.

MP6

Site

not

ices

sho

uld

be d

ispl

ayed

whe

re a

ppro

pria

te,

wit

h su

ppor

ting

in

form

atio

n he

ld w

ithi

n th

e fil

e to

ide

ntify

the

loc

atio

ns w

here

suc

h no

tice

s ar

e pu

t on

vie

w.

Resp

onse

of B

usin

ess

Man

ager

Dev

elop

men

t an

d B

usin

ess

Man

ager

G

row

th A

dmin

: Pr

opos

ed c

hang

es to

the

valid

atio

n pr

oces

s w

ill in

clud

e ne

w g

uida

nce

as

to h

ow th

e A

utho

rity

pub

licis

es p

lann

ing

appl

icat

ions

. Th

is w

ill in

clud

e gu

idan

ce a

nd m

easu

res

to e

nsur

e a

cons

iste

nt a

ppro

ach

is a

dopt

ed

thro

ugho

ut th

e se

rvic

e.

Inve

stig

atio

ns to

be

unde

rtak

en to

con

firm

if U

nifo

rm c

an a

ssis

t off

icer

s in

mai

ntai

ning

an

accu

rate

rec

ord,

alo

ngsi

de u

se o

f pho

togr

aphs

or

anno

tatio

ns o

n m

aps

(to

be s

aved

aga

inst

eac

h re

cord

). H

owev

er th

is

mus

t be

bal

ance

d ag

ains

t ov

eral

l res

ourc

e of

cap

turi

ng p

hoto

grap

hs to

th

e e-

file.

The

Bus

ines

s M

anag

er fo

r D

evel

opm

ent w

ill ta

ke a

vie

w a

s to

w

heth

er th

e fa

ct t

hat t

he p

rofe

ssio

nal o

ffic

er h

as p

opul

ated

the

back

of

fice

syst

em to

con

firm

a n

otic

e ha

s be

en p

oste

d is

suf

ficie

nt.

Cont

rol o

bjec

tive

to b

e fe

d in

to

revi

ew p

roce

ss.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Dev

elop

men

t and

Bus

ines

s M

anag

er G

row

th A

dmin

D

ate

for

Impl

emen

tati

on

Tim

etab

le to

be

disc

usse

d as

par

t rev

iew

and

impl

emen

tatio

n of

new

va

lidat

ion

proc

ess.

Com

plet

ed. U

nifo

rm n

ow u

pdat

ed b

y O

ffic

ers.

50

Plan

ning

App

licat

ions

and

Enf

orce

men

t 201

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hite

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7

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

MP7

Plan

ning

dec

isio

ns m

ust

be m

ade

afte

r th

e pe

riod

of

cons

ulta

tion

has

ex

pire

d.

Resp

onse

of B

usin

ess

Man

ager

Gro

wth

Adm

in:

Hav

ing

disc

usse

d th

is w

ith c

olle

ague

s, In

tern

al D

rain

age

Boar

d of

ten

use

wee

kly

list (

emai

led

on a

wee

kly

basi

s) t

o id

entif

y co

nsul

tatio

ns.

In s

uch

inst

ance

s, a

rec

ord

shou

ld b

e m

aint

aine

d. H

owev

er in

this

cas

e, e

mai

l da

tes

show

n in

Uni

form

whe

re in

corr

ect.

Fur

ther

trai

ning

to b

e un

dert

aken

and

impl

emen

tatio

n of

aut

omat

ed c

onsu

lt c

heck

ing

inve

stig

ated

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er D

evel

opm

ent a

nd B

usin

ess

Man

ager

Gro

wth

Adm

in.

Dat

e fo

r Im

plem

enta

tion

Ti

met

able

to b

e di

scus

sed

as p

art r

evie

w a

nd im

plem

enta

tion

of n

ew

valid

atio

n pr

oces

s.

Com

plet

ed. R

efer

to M

P4 (c

urre

nt p

ositi

on).

MP8

Star

t da

tes

wit

hin

the

Uni

form

sy

stem

sh

ould

be

ac

cura

te

and

supp

orte

d by

evi

denc

e w

ithi

n th

e pl

anni

ng a

pplic

atio

n fil

e.

Resp

onse

of B

usin

ess

Man

ager

Gro

wth

Adm

in:

Prop

osed

cha

nges

to th

e va

lidat

ion

proc

ess

will

incl

ude

new

pro

cedu

res

rega

rdin

g re

cord

ing

of n

ew a

pplic

atio

ns.

This

will

incl

ude

guid

ance

, tr

aini

ng a

nd m

easu

res

(incl

udin

g re

gula

r ch

ecks

) to

ensu

re a

con

sist

ent

appr

oach

is a

dopt

ed th

roug

hout

the

serv

ice.

Cont

rol o

bjec

tive

to b

e fe

d in

to

revi

ew p

roce

ss.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Dev

elop

men

t and

Bus

ines

s M

anag

er G

row

th A

dmin

D

ate

for

Impl

emen

tati

on

Tim

etab

le to

be

disc

usse

d as

par

t rev

iew

and

impl

emen

tatio

n of

new

va

lidat

ion

proc

ess.

Com

plet

ed. R

efer

to M

P4 (c

urre

nt p

ositi

on).

51

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licat

ions

and

Enf

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men

t 201

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8

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

MP9

Refu

nds

shou

ld b

e re

cord

ed w

ithi

n th

e U

nifo

rm s

yste

m.

Resp

onse

of B

usin

ess

Man

ager

Gro

wth

Adm

in:

Prop

osed

cha

nges

to th

e va

lidat

ion

proc

ess

will

incl

ude

new

pro

cedu

res

rega

rdin

g bo

th r

ecei

pt a

nd r

efun

d of

pla

nnin

g ap

plic

atio

n re

fund

s. T

his

will

incl

ude

guid

ance

, tra

inin

g an

d m

easu

res

to e

nsur

e a

cons

iste

nt

appr

oach

is a

dopt

ed th

roug

hout

the

serv

ice.

A

gree

d re

com

men

datio

ns fo

r M

P1 w

ill fe

ed in

to

mea

sure

s to

ens

ure

inco

me

incl

udes

all

refu

nds.

Co

ntro

l obj

ecti

ve to

be

fed

in t

o re

view

pro

cess

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er D

evel

opm

ent a

nd B

usin

ess

Man

ager

Gro

wth

Adm

in

Dat

e fo

r Im

plem

enta

tion

Ti

met

able

to

be d

iscu

ssed

as

part

rev

iew

and

im

plem

enta

tion

of n

ew

valid

atio

n pr

oces

s.

Com

plet

ed. R

efer

to M

P4 (c

urre

nt p

ositi

on).

MP1

0

Proc

edur

e no

tes

shou

ld b

e in

pla

ce a

nd p

erio

dica

lly r

evie

wed

to

ensu

re

that

the

y re

flec

t cu

rren

t w

orki

ng a

rran

gem

ents

. Re

spon

se o

f Bus

ines

s M

anag

er D

evel

opm

ent

and

Bus

ines

s M

anag

er

Gro

wth

Adm

in:

Man

agem

ent

team

ack

now

ledg

es t

he f

act

that

wor

king

pro

cedu

res

are

not

docu

men

ted.

En

forc

emen

t te

am t

o co

mpl

ete

revi

ew o

f cu

rren

t do

cum

enta

tion

and

am

end.

O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Se

nior

Pla

nner

(Enf

orce

men

t)

Dat

e fo

r Im

plem

enta

tion

Se

ptem

ber

2012

Ong

oing

. Bu

sine

ss U

nits

bee

n w

orki

ng w

ith Jo

hn T

empl

e re

gard

ing

new

pr

oced

ures

and

ens

urin

g th

ese

are

docu

men

ted

and

mai

ntai

ned

accu

rate

ly.

Phas

e on

e is

alm

ost c

ompl

ete

and

focu

ssed

ver

y m

uch

on P

lann

ing

App

licat

ion

proc

ess.

Pha

se

two

is to

rol

l out

met

hodo

logy

to o

ther

are

as o

f wor

k,

incl

udin

g En

forc

emen

t. D

ate

to b

e ag

reed

. Re

com

men

datio

ns fo

rm p

art o

f new

act

ion

plan

for

Enfo

rcem

ent a

s di

rect

ed b

y M

att L

amb.

52

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ning

App

licat

ions

and

Enf

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men

t 201

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Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

MP1

1

Regu

lar

repo

rts

shou

ld b

e is

sued

to

man

agem

ent

that

acc

urat

ely

refle

ct

open

cas

es b

eing

han

dled

by

the

enfo

rcem

ent

team

. Th

is is

to

incl

ude

thos

e ca

ses

whe

re a

not

ice

has

been

issu

ed, i

n ad

diti

on t

o ca

ses

whe

re

the

stat

us is

eit

her

“pen

ding

con

side

rati

on”

or “

com

plai

nt r

ecei

ved”

. M

anag

emen

t sh

ould

the

n re

view

, an

d ev

iden

ce a

s re

view

, th

e re

port

s pr

ovid

ed.

Resp

onse

of B

usin

ess

Man

ager

Dev

elop

men

t an

d B

usin

ess

Man

ager

G

row

th A

dmin

: Re

view

of

m

onito

ring

re

quir

emen

ts

to

be

unde

rtak

en.

Mon

itori

ng

repo

rts

to

prov

ided

as

ag

reed

as

pa

rt

of

revi

ew.

As

part

of

SOCI

TM’s

cor

pora

te r

evie

w o

f IC

T sy

stem

s ra

tiona

lisat

ion,

the

in

trod

uctio

n of

En

terp

rise

Pe

rfor

man

ce

Mon

itori

ng

will

si

gnifi

cant

ly

impr

ove

offic

er

acce

ss

to

ongo

ing

wor

kloa

ds

on

a da

ily

basi

s.O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Se

nior

Pla

nner

(Enf

orce

men

t)

Dat

e fo

r Im

plem

enta

tion

Se

ptem

ber

2012

Agr

eed

and

part

Impl

emen

ted.

In

stal

latio

n En

terp

rise

IDO

X so

lutio

n. T

rain

ing

taki

ng p

lace

in

Dec

201

3 Re

port

s ha

ve b

een

intr

oduc

ed o

n a

mon

thly

bas

is to

ass

ist

Enfo

rcem

ent T

eam

and

man

agem

ent,

how

ever

furt

her

wor

ks

requ

ired

upo

n co

mpl

etio

n of

spe

cial

ised

off

icer

trai

ning

on

usin

g M

icro

Soft

Acc

ess

with

Uni

form

. M

eeti

ng s

ched

uled

wit

h Sn

r En

forc

emen

t O

ffic

er a

nd

Tech

nica

l Sup

port

and

Dev

elop

men

t Bu

sine

ss M

anag

er t

o ag

ree

on 2

3rd

Nov

201

2. B

usin

ess

Man

ager

has

fam

iliar

ised

hi

mse

lf w

ith

requ

irem

ents

of u

sing

Acc

ess

wit

h U

nifo

rm.

Intr

oduc

tion

of a

ddit

iona

l rep

orts

exp

ecte

d D

ec 2

012.

MP1

2

The

Enfo

rcem

ent

Sect

ion

shou

ld

revi

ew

on

a m

onth

ly

basi

s th

e ou

tsta

ndin

g en

forc

emen

t ca

selo

ad r

epor

t, a

nnot

atin

g al

l cas

es t

hat

are

outs

tand

ing

that

hav

e ex

ceed

ed o

r ar

e w

ithi

n on

e m

onth

of

exce

edin

g th

e ex

pect

ed r

esol

utio

n da

te, a

nd id

enti

fyin

g th

ose

that

req

uire

fur

ther

ac

tion

by

the

Enfo

rcem

ent

Sect

ion.

Re

spon

se o

f Bus

ines

s M

anag

er D

evel

opm

ent

and

Bus

ines

s M

anag

er

Gro

wth

Adm

in:

As

for

MP1

1.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Seni

or P

lann

er (E

nfor

cem

ent)

D

ate

for

Impl

emen

tati

on

Sept

embe

r 20

12

Impl

emen

ted

in c

onju

nctio

n w

ith M

P11.

53

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licat

ions

and

Enf

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t 201

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Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

MP1

3

Man

agem

ent

revi

ew t

he d

ecis

ion

to n

ot t

ake

furt

her

acti

on in

the

cas

e 11

/000

44/E

NF

and

prov

ide

adeq

uate

ju

stifi

cati

on

if th

e or

igin

al

deci

sion

is u

phel

d.

Re

spon

se o

f Bus

ines

s M

anag

er D

evel

opm

ent

and

Bus

ines

s M

anag

er

Gro

wth

Adm

in:

Revi

ew to

be

unde

rtak

en b

y Bu

sine

ss M

anag

er D

evel

opm

ent a

s to

ci

rcum

stan

ces

in w

hich

del

egat

ed d

ecis

ion

reco

rd is

req

uire

d.

As

part

of r

evie

w o

f pro

cedu

res,

a c

onsi

sten

t app

roac

h re

gard

ing

docu

men

ting

man

agem

ent d

ecis

ions

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Se

nior

Pla

nner

(Enf

orce

men

t)

Dat

e fo

r Im

plem

enta

tion

Se

ptem

ber

2012

New

pro

cess

for

reco

rdin

g an

d is

suin

g en

forc

emen

t dec

isio

n ag

reed

. Tim

esca

le fo

r im

plem

enta

tion

Jan

2013

.

MP1

4

Supp

orti

ng

docu

men

ts

shou

ld

be

avai

labl

e fr

om

the

e-pl

anni

ng

enfo

rcem

ent

regi

ster

. Re

spon

se o

f Bus

ines

s M

anag

er D

evel

opm

ent

and

Bus

ines

s M

anag

er

Gro

wth

Adm

in:

Busi

ness

Man

ager

Dev

elop

men

t and

Bus

ines

s M

anag

er G

row

th A

dmin

Re

view

‘sup

port

ing

info

rmat

ion’

to e

nsur

e co

nsis

tent

app

roac

h to

the

prov

isio

n of

info

rmat

ion

prov

ided

onl

ine.

Re

gula

r m

onit

orin

g re

port

s to

pro

vide

d to

ens

ure

data

is a

ccur

ate.

O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Se

nior

Pla

nner

(Enf

orce

men

t)

Dat

e fo

r Im

plem

enta

tion

Se

ptem

ber

2012

Com

plet

ed. H

owev

er g

reat

er e

ffic

ienc

ies

can

be m

ade.

En

forc

emen

t Reg

iste

r cu

rren

tly a

vaila

ble

usin

g si

mpl

e da

taba

se o

nlin

e.

Aw

aitin

g tim

esca

les

for

new

pub

lic a

cces

s w

ebsi

te to

incl

ude

Enfo

rcem

ent R

egis

ter

as a

gree

d as

par

t of s

yste

ms

ratio

nalis

atio

n re

view

und

erta

ken

by S

OCI

TM.

Revi

sed

impl

emen

tatio

n da

te d

ue to

impl

emen

tatio

n of

new

D

ocum

ent M

anag

emen

t Sys

tem

and

Pub

lic A

cces

s w

ebsi

te –

fir

st q

uart

er 2

013.

54

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ning

App

licat

ions

and

Enf

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t 201

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Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

MP1

5

Enfo

rcem

ent

case

s w

ithi

n U

nifo

rm s

houl

d be

clo

sed

prom

ptly

whe

n en

quir

ies

have

run

the

ir c

ours

e.

Resp

onse

of B

usin

ess

Man

ager

Dev

elop

men

t an

d B

usin

ess

Man

ager

G

row

th A

dmin

: Se

e re

spon

se to

MP1

4 O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Se

nior

Pla

nner

(Enf

orce

men

t)

Dat

e fo

r Im

plem

enta

tion

Se

ptem

ber

2012

Ong

oing

. To

form

par

t o n

ew in

tern

al E

nfor

cem

ent P

roto

col.

MP1

6

Inco

me

gene

rate

d as

pa

rt

of

the

enfo

rcem

ent

proc

ess

shou

ld

be

acco

unte

d fo

r se

para

tely

from

oth

er p

lann

ing

inco

me.

Re

spon

se o

f Bus

ines

s M

anag

er D

evel

opm

ent

A

gree

d. R

epor

t tem

plat

e to

be

deve

lope

d (in

con

junc

tion

with

Val

idat

ion

trai

ning

to c

aptu

re ‘r

etro

spec

tive

appl

icat

ions

’) to

rec

ord

fee

inco

me

rece

ived

O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Se

nior

Pla

nner

(Enf

orce

men

t) a

nd B

usin

ess

Man

ager

Gro

wth

Sup

port

D

ate

for

Impl

emen

tati

on

Sept

embe

r 20

12

Impl

emen

ted

with

new

val

idat

ion

proc

edur

e fo

r M

P4. T

his

allo

ws

repo

rt to

be

run

to id

entif

y Fe

e in

com

e fr

om

retr

ospe

ctiv

e ap

plic

atio

ns.

MP1

7

Man

agem

ent

cons

ider

tha

t th

ey w

ill o

nly

resp

ond

to e

nfor

cem

ent

mat

ters

whe

re t

he c

ompl

aina

nt i

s pr

epar

ed t

o id

enti

fy t

hem

selv

es t

o th

e au

thor

ity.

Re

spon

se o

f Bus

ines

s M

anag

er D

evel

opm

ent

and

Bus

ines

s M

anag

er

Gro

wth

Adm

in:

Seni

or P

lann

er (E

nfor

cem

ent)

has

bee

n ta

sked

with

rev

iew

ing

and

docu

men

ting

new

gui

danc

e re

gard

ing

inve

stig

atio

ns.

Off

icer

to p

rovi

de

prog

ress

rep

ort a

nd a

gree

new

tim

esca

le fo

r in

trod

ucti

on w

ith

Busi

ness

M

anag

er D

evel

opm

ent.

O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Se

nior

Pla

nner

(Enf

orce

men

t)

Dat

e fo

r Im

plem

enta

tion

Reco

mm

enda

tions

to b

e in

clud

ed in

Enf

orce

men

t Pol

icy,

whi

ch

still

nee

ds a

gree

men

t fro

m P

lann

ing

Com

mitt

ee, P

ortf

olio

H

olde

r an

d Ca

bine

t.

Revi

sed

date

exp

ecte

d in

Janu

ary

2013

.

55

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licat

ions

and

Enf

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men

t 201

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Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

Sept

embe

r 20

12

MP1

8

Empl

oyee

s ar

e pe

riod

ical

ly r

emin

ded,

pos

sibl

y at

an

annu

al a

ppra

isal

, of

the

nee

d to

com

ply

wit

h th

e re

quir

emen

ts o

f th

e co

nsti

tuti

on a

nd t

o im

med

iate

ly d

ecla

re a

ny in

tere

st t

hey

may

hav

e in

an

appl

icat

ion.

Re

spon

se o

f Bus

ines

s M

anag

er D

evel

opm

ent

and

Bus

ines

s M

anag

er

Gro

wth

Adm

in:

Reco

mm

enda

tion

note

d an

d pe

riod

ic r

emin

ders

will

be

intr

oduc

ed to

all

staf

f. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er G

row

th A

dmin

D

ate

for

Impl

emen

tati

on

Apr

il 20

12

Agr

eed

and

impl

emen

ted.

Re

com

men

dati

ons

– 22

Im

plem

ente

d - 1

1

56

Part

ners

hips

10/

11

E:\I

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1

Impl

emen

tatio

n of

Aud

it R

ecom

men

datio

ns P

rogr

ess

Stat

emen

t RE

VIE

W O

F PR

OG

RESS

AG

AIN

ST R

ECO

MM

END

ATI

ON

S –

HIG

H P

RIO

RITY

Ther

e w

ere

no h

igh

risk

rec

omm

enda

tions

mad

e

57

Part

ners

hips

10/

11

E:\I

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2

REV

IEW

OF

PRO

GRE

SS A

GA

INST

REC

OM

MEN

DA

TIO

NS

– M

EDIU

M P

RIO

RITY

Re

port

Re

f Re

com

men

dati

on a

nd R

espo

nse

From

Ori

gina

l Rep

ort

Curr

ent

Posi

tion

4.1.

4

It i

s re

com

men

ded

that

a c

opy

of t

he u

p-to

-dat

e to

olki

t is

put

ont

o th

e In

tern

et a

nd I

ntra

net

in a

n ea

sily

acc

essi

ble

loca

tion

and

this

is

publ

icis

ed t

o al

l sta

ff a

nd m

embe

rs o

r po

tent

ial m

embe

rs o

f cu

rren

t an

d fu

ture

par

tner

ship

s.

Resp

onse

The

Inte

rnet

and

Int

rane

t ar

e in

the

pro

cess

of

bein

g re

-dev

elop

ed

ther

efor

e w

ill p

ut o

nto

the

new

Int

erne

t an

d In

tran

et w

hen

it is

up

and

runn

ing.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

11

Tool

kit i

s av

aila

ble

on th

e In

tran

et a

t ht

tp:/

/int

rane

t1/i

ntra

net/

data

/dow

nloa

ds/p

artn

ersh

ip_t

oolk

it.p

df

The

tool

kit i

s no

w r

efre

shed

.

4.1.

13

The

tool

kit

is u

pdat

ed t

o in

clud

e m

ore

deta

ils w

ithin

the

bod

y of

the

to

olki

t on

the

com

plai

nts

proc

edur

e w

ithin

par

tner

ship

s an

d ho

w i

t sh

ould

be

publ

icis

ed.

Resp

onse

The

revi

sed

docu

men

t w

ill b

e pu

t on

to t

he n

ew In

tern

et a

nd In

tran

et

site

s.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

11

The

tool

kit i

s no

w r

efre

shed

.

58

Part

ners

hips

10/

11

E:\I

tem

3- w

hite

\Ite

m 6

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3

Repo

rt

Ref

Reco

mm

enda

tion

and

Res

pons

e Fr

om O

rigi

nal R

epor

t Cu

rren

t Po

siti

on

4.2.

5

It is

rec

omm

ende

d th

at t

he t

oolk

it is

upd

ated

to

incl

ude

the

nece

ssity

of

com

plet

ing

a bu

sine

ss c

ontin

uity

pla

n fo

r al

l par

tner

ship

s an

d th

is

amen

dmen

t is

pub

licis

ed.

Con

side

ratio

n is

als

o gi

ven

to i

nclu

ding

w

ithin

th

is

guid

ance

th

e re

quir

emen

t to

m

aint

ain

docu

men

tary

ev

iden

ce o

f th

e de

cisi

on w

here

a p

artn

ersh

ip d

ecid

es t

hat

it is

not

ne

cess

ary

to c

ompl

ete

a bu

sine

ss c

ontin

uity

pla

n.

Resp

onse

The

revi

sed

docu

men

t w

ill b

e pu

t on

to t

he n

ew In

tern

et a

nd In

tran

et

site

s.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

11

The

tool

kit i

s no

w r

efre

shed

.

4.2.

9

Staf

f are

rem

inde

d of

the

nec

essi

ty o

f com

plet

ing

risk

ass

essm

ents

for

all p

artn

ersh

ips.

Resp

onse

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

11

The

tool

kit i

s no

w r

efre

shed

. Will

be

pick

ed u

p fo

llow

ing

upda

te o

f par

tner

ship

list

.

4.3.

5

The

regi

ster

is b

roug

ht u

p-to

-dat

e an

d re

view

ed p

erio

dica

lly t

o en

sure

th

at it

is k

ept u

p-to

-dat

e.

Resp

onse

In p

rogr

ess.

59

Part

ners

hips

10/

11

E:\I

tem

3- w

hite

\Ite

m 6

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.doc

4

Repo

rt

Ref

Reco

mm

enda

tion

and

Res

pons

e Fr

om O

rigi

nal R

epor

t Cu

rren

t Po

siti

on

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

11

4.3.

9

A p

roce

dure

is d

evis

ed t

o en

sure

tha

t al

l par

tner

ship

s ar

e re

cord

ed o

n th

e re

gist

er.

Resp

onse

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

11

Will

be

subj

ect t

o an

ann

ual c

heck

und

erta

ken

by P

olic

y an

d Co

mm

issi

onin

g.

Impl

emen

ted

– A

LH 0

8/12

4.3.

15

Mon

itori

ng is

und

erta

ken

to e

nsur

e th

at t

he p

artn

ersh

ips

com

ply

with

th

e m

onito

ring

re

quir

emen

ts

with

in

the

tool

kit

and

whe

re

appr

opri

ate

part

ners

hips

are

ask

ed t

o pr

ovid

e ev

iden

ce t

o su

ppor

t th

eir

resp

onse

s on

a s

ampl

e ba

sis.

Re

spon

se

Subj

ect

to o

ngoi

ng m

anag

emen

t re

-str

uctu

re w

hich

will

est

ablis

h if

ther

e ar

e su

ffic

ient

res

ourc

es a

vaila

ble

to c

ompl

ete

this

task

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

12

Prog

ress

ing

the

com

mis

sion

ing

pilo

ts is

a g

reat

er p

rior

ity fo

r th

e bu

sine

ss u

nit –

mem

ber

of s

taff

on

long

term

sic

knes

s. W

ill

addr

ess

subj

ect t

o ca

paci

ty.

60

Part

ners

hips

10/

11

E:\I

tem

3- w

hite

\Ite

m 6

b - w

hite

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5

Repo

rt

Ref

Reco

mm

enda

tion

and

Res

pons

e Fr

om O

rigi

nal R

epor

t Cu

rren

t Po

siti

on

4.3.

16

Part

ners

hip

gove

rnan

ce is

for

mal

ly r

epor

ted

to a

rel

evan

t Co

mm

ittee

at

leas

t ann

ually

. Re

spon

se

Relie

s on

4.3

.15

taki

ng p

lace

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

12

This

is in

clud

ed w

ithin

the

rem

it of

ERP

OS.

The

com

mitt

ee m

ay

prio

ritis

e ot

her

issu

es w

ithin

its

wor

k pr

ogra

mm

e.

4.3.

17

Cons

ider

atio

n is

gi

ven

to

prov

idin

g di

ffer

ent

chec

klis

ts

for

the

part

ners

hips

to

com

plet

e de

pend

ing

on t

heir

lev

el a

s de

fined

with

in

the

tool

kit.

Re

spon

se

The

revi

sed

docu

men

t w

ill b

e pu

t on

to t

he n

ew In

tern

et a

nd In

tran

et

site

s.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

11

Giv

en c

apac

ity c

halle

nges

faci

ng th

e co

unci

l and

the

need

to

prio

ritis

e th

e im

plem

enta

tion

of th

e co

mm

issi

onin

g pr

ogra

mm

e th

is is

not

dee

med

an

imm

edia

te p

rior

ity.

4.4.

3

It is

rec

omm

ende

d th

at a

gree

men

ts o

r ot

her

rele

vant

doc

umen

tatio

n is

rev

iew

ed a

gain

st th

e to

olki

t and

then

pas

sed

to le

gal p

rior

to b

eing

si

gned

/agr

eed.

Re

spon

se

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

No

such

doc

umen

ts h

ave

been

iden

tifie

d.

Impl

emen

ted

– A

LH 0

8/12

61

Part

ners

hips

10/

11

E:\I

tem

3- w

hite

\Ite

m 6

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hite

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6

Repo

rt

Ref

Reco

mm

enda

tion

and

Res

pons

e Fr

om O

rigi

nal R

epor

t Cu

rren

t Po

siti

on

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

12

4.4.

4

An

agre

emen

t is

com

plet

ed fo

r al

l par

tner

ship

s.

Resp

onse

I th

ink

this

sh

ould

be

pe

rhap

s re

com

men

ded

for

the

“str

ateg

ic”

part

ners

hips

but

in

prac

tice

it w

ill b

e to

o on

erou

s to

enf

orce

for

all

part

ners

hips

and

pos

sibl

y di

ssua

de p

eopl

e fr

om p

artic

ipat

ing

in s

ome

of

them

. In

tern

al A

udit

Res

pons

e

A s

igne

d ag

reem

ent

mak

es t

he d

ecis

ion

proc

ess

or s

epar

atio

n of

ass

ets

easi

er f

ollo

win

g a

disp

ute

or w

hen

endi

ng a

par

tner

ship

. It

is

good

pr

acti

ce f

or a

ll pa

rtie

s of

a p

artn

ersh

ip t

o se

t do

wn

thin

gs s

uch

as t

he

obje

ctiv

es o

f th

e pa

rtne

rshi

p, m

embe

rshi

p, c

essa

tion

, re

spon

sibi

litie

s et

c. S

uch

a do

cum

ent

wou

ld n

orm

ally

be

agre

ed b

y al

l par

ties

in s

ome

way

. Th

e fo

rm a

nd f

orm

alit

y of

the

agr

eem

ents

will

diff

er d

epen

ding

on

the

part

ners

hip

wit

h th

e la

rger

and

mor

e co

mpl

ex o

nes

havi

ng a

muc

h m

ore

form

al a

gree

men

t th

an a

sm

alle

r ‘t

alki

ng s

hop’

type

par

tner

ship

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

12

Und

er c

onsi

dera

tion.

4.4.

5

All

agre

emen

ts a

re s

igne

d.

Resp

onse

See

abov

e.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pol

icy

and

Com

mis

sion

ing

Dep

ende

nt u

pon

4.4.

4.

62

Part

ners

hips

10/

11

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Repo

rt

Ref

Reco

mm

enda

tion

and

Res

pons

e Fr

om O

rigi

nal R

epor

t Cu

rren

t Po

siti

on

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

12

63

64

Proc

urem

ent f

ollo

w-u

p 11

/12

E:\I

tem

3- w

hite

\Ite

m 6

c-w

hite

.doc

1

Impl

emen

tatio

n of

Aud

it R

ecom

men

datio

ns P

rogr

ess

Stat

emen

t RE

VIE

W O

F PR

OG

RESS

AG

AIN

ST R

ECO

MM

END

ATI

ON

S –

HIG

H P

RIO

RITY

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

4.1.

15

Staf

f ar

e re

min

ded

that

Con

trac

t Pr

oced

ure

Rule

s m

ust

be f

ollo

wed

and

pr

ojec

ts m

ust n

ot b

e sp

lit u

p in

to s

mal

ler

part

s.

Resp

onse

Com

plet

e an

d w

ill b

e do

ne o

n a

peri

odic

bas

is.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Dir

ecto

r of

Res

ourc

es a

nd B

usin

ess

Man

ager

Pro

cure

men

t

Dat

e fo

r Im

plem

enta

tion

Com

plet

ed Ju

ly 2

010

A r

emin

der

has

been

sen

t th

eref

ore

the

next

full

audi

t will

asc

erta

in

whe

ther

this

is s

till

an is

sue.

All

Busi

ness

Man

ager

s ha

ve n

ow a

tten

ded

trai

ning

ses

sion

s co

veri

ng

the

Cont

ract

Pro

cedu

re R

ules

– N

ov 2

011.

4.1.

21

A fu

rthe

r re

min

der

is s

ent t

o al

l sta

ff w

ho c

ould

rec

eive

tend

ers

to e

nsur

e th

at th

ey a

re c

orre

ctly

mar

ked

wit

h th

e da

te a

nd ti

me

of r

ecei

pt a

nd th

is

aspe

ct is

incl

uded

in a

ny tr

aini

ng p

rovi

ded

to s

uch

staf

f whe

n th

ey a

re

appo

inte

d.

Resp

onse

A

furt

her

rem

inde

r w

ill b

e se

nt to

rec

epti

on a

nd p

ost s

taff

this

wee

k (w

/c

03/1

0) to

rei

nfor

ce th

e in

stru

ctio

n to

mar

k te

nder

s w

ith th

e tim

e an

d da

te o

f rec

eipt

and

initi

als.

A

cop

y of

the

proc

edur

e is

to b

e ke

pt w

ith

the

red

book

.

Impl

emen

ted.

65

Proc

urem

ent f

ollo

w-u

p 11

/12

E:\I

tem

3- w

hite

\Ite

m 6

c-w

hite

.doc

2

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

A r

eque

st h

as b

een

mad

e th

at C

usto

mer

Ser

vice

s an

d th

e po

st r

oom

are

m

ade

awar

e of

whe

n te

nder

s ar

e du

e so

that

sta

ff k

now

to lo

ok o

ut fo

r th

em.

Off

icer

s Re

spon

sibl

e fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er D

emoc

rati

c Se

rvic

es

Busi

ness

Man

ager

Cus

tom

er S

ervi

ces

Dat

e fo

r Im

plem

enta

tion

Co

mpl

eted

– O

ctob

er 2

011.

4.1.

31

Off

icer

s ar

e re

min

ded

to c

ompl

ete

risk

ass

essm

ents

for

all

cont

ract

s w

hich

are

like

ly t

o ex

ceed

the

£75

,000

thr

esho

ld p

rior

to

goin

g th

roug

h th

e pr

ocur

emen

t pro

cess

. W

hils

t the

pro

cure

men

t tra

inin

g is

one

met

hod

of p

rovi

ding

this

re

min

der,

con

side

ratio

n is

giv

en to

pro

vidi

ng th

is r

emin

der

to a

t lea

st a

ll Bu

sine

ss M

anag

ers

via

a di

ffer

ent

met

hod.

Re

spon

se

It is

felt

that

the

limit

need

s to

be

revi

ewed

and

con

side

rati

on o

f oth

er

fact

ors

as w

ell a

s th

e va

lue

shou

ld d

ecid

e w

heth

er a

ris

k as

sess

men

t is

appr

opri

ate.

Thi

s w

ill b

e co

nsid

ered

as

part

of t

he r

evie

w o

f pol

icie

s.

All

Busi

ness

Man

ager

s ha

ve n

ow a

tten

ded

trai

ning

– N

ov 2

011.

O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

D

irec

tor

of R

esou

rces

and

Bus

ines

s M

anag

er P

rocu

rem

ent.

D

ate

for

Impl

emen

tati

on

May

201

2

This

is c

urre

ntly

bei

ng a

ddre

ssed

as

part

of t

he b

ienn

ial r

evie

w

of C

PRs.

It n

eeds

to b

e re

cogn

ised

that

ris

k ne

eds

to b

e as

sess

ed o

n gr

ound

s ot

her

than

just

con

trac

t val

ue!

JK h

as c

ompl

eted

an

initi

al r

evie

w o

f CPR

s an

d th

e fir

st r

evis

ion

is w

ith D

D fo

r fu

rthe

r co

nsid

erat

ion.

A c

ompl

etio

n da

te o

f end

Se

ptem

ber

2012

is a

ntic

ipat

ed.

The

Coun

cil i

s lo

okin

g to

mov

e fr

om it

s cu

rren

t Cab

inet

sys

tem

of

Gov

erna

nce

to a

Com

mitt

ee s

yste

m w

ith e

ffec

t fro

m th

e ne

xt A

nnua

l mee

ting

in M

ay 2

013.

Thi

s w

ill m

ean

that

the

Coun

cil’s

con

stitu

tion

will

hav

e to

be

com

plet

ely

re-w

ritt

en

and

Kirs

ty C

ole

is c

urre

ntly

pro

gres

sing

this

. As

Fina

ncia

l Re

gula

tions

and

Con

trac

t Pro

cedu

re R

ules

inte

ract

with

the

Mem

ber

stru

ctur

e, th

e D

irec

tor-

Res

ourc

es h

as a

gree

d to

po

stpo

ne th

e cu

rren

t rev

iew

s of

bot

h Co

unci

l pro

cedu

res

until

m

ore

is k

now

n ab

out t

he s

hape

of t

he n

ew a

rran

gem

ents

. Bo

th d

ocum

ents

are

tech

nica

lly p

art o

f the

Con

stitu

tion

so th

e in

tent

ion

is n

ow fo

r th

em to

be

appr

oved

alo

ng w

ith th

e

66

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3

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

Cons

titut

ion

in M

ay 2

013.

4.3.

12

A p

roce

dure

is

draw

n up

whi

ch c

over

s th

e ch

ecks

whi

ch n

eed

to b

e ca

rrie

d ou

t fo

r cr

imin

al o

ffen

ces

and

acts

of s

erio

us m

isco

nduc

t an

d w

hat

to d

o if

one

is id

enti

fied.

Re

spon

se

Part

ially

agr

eed.

It

is

diff

icul

t to

def

ine

the

chec

ks w

hich

nee

d to

be

carr

ied

out

and

actu

ally

car

ry t

hem

out

. M

any

diff

eren

t of

fenc

es p

ossi

ble

and

unlik

ely

to d

ecla

re t

hem

. Th

ere

was

an

issu

e in

the

pas

t w

here

the

pe

ople

com

plet

ing

the

bid

wer

e un

awar

e of

off

ence

s.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pro

cure

men

t D

ate

for

Impl

emen

tati

on

Mar

ch 2

012

- con

side

rati

on

Una

ble

to c

ome

up w

ith a

pra

ctic

al w

orka

ble

solu

tion!

Su

gges

tions

from

Aud

it pl

ease

? U

pon

furt

her

cons

ider

atio

n I a

m o

f the

opi

nion

that

it is

not

pr

actic

al to

impl

emen

t suc

h a

solu

tion

and

so th

e re

com

men

dati

on is

not

agr

eed.

. A

ccep

ted

– A

men

ded

to n

ot a

gree

d.

4.6.

28

Card

hold

ers

are

rem

inde

d th

at c

ards

mus

t not

be

used

for

pers

onal

use

an

d su

ch u

se in

clud

es w

orks

out

ings

eve

n if

the

cost

is r

eim

burs

ed. S

uch

use

may

res

ult i

n di

scip

linar

y ac

tion

bein

g ta

ken

agai

nst t

he c

ardh

olde

r an

d th

e ca

rd b

eing

rem

oved

. Re

spon

se

A r

emin

der

will

be

sent

to a

ll ca

rdho

lder

s.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pro

cure

men

t D

ate

for

Impl

emen

tati

on

Janu

ary

2012

Refe

r to

e-m

ail f

rom

Dav

id D

icki

nson

dat

ed 0

9.01

.201

2 (A

man

da H

unt w

as in

clud

ed in

the

circ

ulat

ion)

N

o fu

rthe

r ac

tion

requ

ired

67

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4

REV

IEW

OF

PRO

GRE

SS A

GA

INST

REC

OM

MEN

DA

TIO

NS

– M

EDIU

M P

RIO

RITY

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

4.1.

6

The

reco

mm

enda

tions

mad

e w

ithin

the

Aud

it Co

mm

issi

on r

epor

t ar

e fu

lly i

mpl

emen

ted

part

icul

arly

in

resp

ect

of p

rodu

cing

a P

rocu

rem

ent

Stra

tegy

whi

ch is

up-

to-d

ate

and

adop

ted

by M

embe

rs.

Resp

onse

Th

e St

rate

gy w

ill b

e lo

oked

at w

ithin

the

Sm

art F

ocus

pro

ject

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er P

rocu

rem

ent

Dat

e fo

r Im

plem

enta

tion

M

arch

201

2 –

Dep

ends

on

the

prog

ress

and

out

com

es o

f the

Sm

art

Focu

s Pr

ojec

t.

The

Coun

cil’s

new

str

ateg

ic p

rior

ities

(Pro

sper

ity, P

eopl

e, P

lace

an

d Pu

blic

Ser

vice

) are

stil

l bei

ng d

evel

oped

with

Mem

bers

an

d CM

T. W

ork

on p

rodu

cing

a n

ew P

rocu

rem

ent S

trat

egy

to

supp

ort t

he n

ew o

bjec

tives

will

com

men

ce o

nce

the

new

pr

iori

ties

hav

e be

en fl

eshe

d ou

t and

gre

ater

cla

rity

pro

vide

d.

A m

eetin

g ha

s be

en a

rran

ged

with

the

new

por

tfol

io h

olde

r an

d th

e op

port

unity

will

be

take

n to

inco

rpor

ate

his

view

s w

hen

draf

ting

a ne

w s

trat

egy.

Als

o, c

onsi

dera

tion

of th

e Co

unci

l’s e

mer

ging

com

mis

sion

ing

fram

ewor

k an

d th

e in

volv

emen

t of p

rocu

rem

ent w

ill a

ssis

t with

the

form

ulat

ion

of

a ne

w p

rocu

rem

ent s

trat

egy.

D

urin

g JK

/DD

’s m

eetin

g w

ith th

e po

rtfo

lio h

olde

r (D

avid

Llo

yd)

on 2

9th Ju

ne 2

0121

, it w

as s

ugge

sted

that

a 2

-pag

e Pr

ocur

emen

t Pol

icy

be d

raft

ed in

pre

fere

nce

to a

det

aile

d pr

ocur

emen

t str

ateg

y. JK

will

att

empt

to p

rodu

ce a

firs

t dra

ft

by O

ctob

er 2

012

(sub

ject

to o

ther

ope

rati

onal

pri

orit

ies)

JK

pre

pare

d an

d e-

mai

led

a dr

aft P

rocu

rem

ent P

olic

y to

the

Dir

ecto

r-Re

sour

ces

on 0

5.09

.201

2 fo

r co

mm

ent a

nd to

sha

re

with

por

tfol

io h

olde

r (D

avid

Llo

yd).

A r

espo

nse

is a

wai

ted.

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5

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

4.1.

16

A r

evie

w i

s ca

rrie

d ou

t of

all

com

pani

es t

o w

hich

pay

men

ts a

re m

ade

freq

uent

ly, t

o en

sure

tha

t th

e go

ods/

wor

ks/s

ervi

ces

have

bee

n co

rrec

tly

proc

ured

and

do

not

form

par

t of

an

area

of

expe

ndit

ure

whi

ch c

ould

be

amal

gam

ated

and

ten

dere

d fo

r as

a w

hole

. Th

is c

ould

be

expa

nded

to

look

at

sim

ilar

wor

ks w

hich

cou

ld b

e co

mbi

ned

into

one

con

trac

t an

d te

nder

ed fo

r as

a w

hole

.

Resp

onse

This

is b

eing

look

ed a

t as

part

of t

he S

mar

t Fo

cus

Proj

ect.

A r

epor

t is

goi

ng t

o CM

B la

ter

in S

ept

cove

ring

the

way

in

whi

ch t

he

Aut

hori

ty u

ses

the

Corp

orat

e Pr

oper

ty S

ecti

on.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pro

cure

men

t

Dir

ecto

r of

Res

ourc

es

Dat

e fo

r Im

plem

enta

tion

Sept

embe

r 20

10

Thir

d pa

rty

trad

e cr

edit

or s

pend

is r

evie

wed

per

iodi

cally

(at

leas

t onc

e a

year

) to

iden

tify,

am

ongs

t oth

er th

ings

, are

as o

f si

mila

r ex

pend

iture

acr

oss

diff

eren

t Bus

ines

s U

nits

whi

ch c

ould

po

tent

ially

off

er s

cope

for

a co

nsol

idat

ed a

ppro

ach

to

tend

erin

g an

d a

redu

ctio

n in

the

sup

plie

r ba

se. E

xam

ples

in

clud

e w

orkw

ear/

PPE,

cor

pora

te c

loth

ing,

was

hroo

m s

ervi

ces,

of

fice

clea

ning

, man

aged

ven

ding

ser

vice

s, s

tatio

nery

, IT

cons

umab

les,

pri

nt, t

empo

rary

age

ncy

staf

f, re

crui

tmen

t &

publ

ic n

otic

e ad

vert

isin

g, li

quid

fuel

s, e

nerg

y, p

anel

van

s,

refu

se fr

eigh

ters

, cas

h co

llect

ion

serv

ices

, fix

ed li

ne te

leph

ony,

m

obile

pho

nes,

et a

l.

Furt

herm

ore,

all

R&R

sche

mes

hav

e be

en ‘r

efre

shed

’ by

the

Ass

et M

anag

emen

t tea

m fo

llow

ing

cons

ulta

tion

with

Bus

ines

s M

anag

ers.

Thi

s ha

s fa

cilit

ated

the

proc

ess

of a

gree

ing

the

valu

e an

d tim

ing

of in

divi

dual

sch

eme

budg

ets

that

are

to b

e tr

ansf

erre

d to

Ass

et M

anag

emen

t who

hav

e as

sum

ed

resp

onsi

bilit

y fo

r co

ordi

natin

g an

d m

anag

ing

cent

rally

all

build

ing-

rela

ted

and

refu

rbis

hmen

t exp

endi

ture

. By

aggr

egat

ing

spen

d in

this

way

the

Coun

cil i

s be

tter

pla

ced

to

‘pac

kage

’ fut

ure

tend

er o

ppor

tuni

ties

to le

vera

ge m

ore

com

petit

ive

rate

s fr

om c

ontr

acto

rs a

nd s

ervi

ce p

rovi

ders

. It

was

als

o de

cide

d to

agg

rega

te fu

rnitu

re b

udge

ts in

201

2/13

un

der

the

cont

rol o

f the

Ass

et M

anag

emen

t Bus

ines

s U

nit w

ith

the

aim

of d

evel

opin

g a

stan

dard

spe

cific

atio

n fo

r al

l fut

ure

furn

iture

pur

chas

es a

nd to

exe

rt m

uch

tight

er c

ontr

ol o

ver

futu

re fu

rnitu

re d

ispo

sals

and

acq

uisi

tions

.

69

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6

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

4.1.

17

The

child

care

vou

cher

sch

eme

is r

evie

wed

to

ensu

re t

hat

the

curr

ent

met

hod

of

prov

idin

g th

is b

enef

it to

sta

ff i

s th

e m

ost

econ

omic

ally

ad

vant

ageo

us fo

r th

e A

utho

rity

. Re

spon

se

This

will

be

purs

ued

alth

ough

it

is a

ntic

ipat

ed t

hat

any

savi

ngs

will

be

min

imal

– B

usin

ess

Man

ager

Pro

cure

men

t.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Hum

an R

esou

rces

D

ate

for

Impl

emen

tati

on

May

201

2

JSK

follo

wed

up

with

Jenn

y Bu

rden

by

e-m

ail o

n 25

.04.

2012

. Re

spon

se s

till a

wai

ted

Resp

onse

rec

eive

d by

IA fr

om T

M/C

H –

Impl

emen

ted.

4.1.

27

Gui

danc

e is

pro

vide

d on

wha

t to

do

in t

he e

vent

of t

he in

abili

ty t

o re

cord

a

sing

le te

nder

bid

am

ount

on

the

open

ing

shee

t.

Resp

onse

W

ill c

onsi

der

requ

irin

g th

e O

ffic

er w

ho o

pene

d th

e te

nder

to

initi

al k

ey

shee

ts in

blu

e in

k du

ring

the

open

ing

proc

ess.

O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

D

irec

tor

of R

esou

rces

and

Bus

ines

s M

anag

er P

rocu

rem

ent

Dat

e fo

r Im

plem

enta

tion

Ja

nuar

y 20

12

Nee

d to

am

end

sect

ion

14.8

of t

he C

ontr

act P

roce

dure

Rul

es

to r

efle

ct th

is r

equi

rem

ent w

hen

the

CPRs

are

rev

iew

ed in

May

20

12

Clau

se 1

4.8

of th

e CP

Rs is

to b

e am

ende

d to

rea

d as

follo

ws:

“U

pon

open

ing,

a s

umm

ary

of th

e m

ain

term

s of

eac

h te

nder

m

ust b

e re

cord

ed in

the

Tend

er R

ecor

d Lo

g, i.

e. s

igni

fican

t is

sues

that

are

uni

que

to e

ach

tend

er s

ubm

issi

on a

nd w

ere

not

stat

ed in

the

tend

er in

vita

tion

docu

men

ts s

uch

as te

nder

sum

, co

nstr

uctio

n pe

riod

, etc

. If

it is

not

pos

sibl

e to

det

erm

ine

the

tota

l val

ue o

f a b

id fr

om a

bid

der’

s Fo

rm o

f Ten

der

for

the

purp

ose

of r

ecor

ding

it o

n th

e Te

nder

Rec

ord

Log,

then

the

offic

ers

in a

tten

danc

e ar

e re

quir

ed to

initi

al a

ll ke

y te

nder

do

cum

ents

in b

lue

ink.

The

Ten

der

Reco

rd L

og m

ust b

e si

gned

by

two

offic

ers,

one

on

beha

lf of

the

Chie

f Exe

cuti

ve”.

A

s 4.

1.31

abo

ve.

Refe

r to

4.1

.31

abov

e (a

rev

iew

of C

PRs

has

been

pos

tpon

ed)

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7

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

4.1.

36

The

proc

urem

ent

stra

tegy

pro

duce

d un

der

reco

mm

enda

tion

4.1.

6 co

vers

al

l rel

evan

t po

licie

s an

d re

gula

tions

whi

ch m

ay a

ffec

t pr

ocur

emen

t su

ch

as s

usta

inab

ility

, equ

alit

y an

d di

vers

ity

and

WEE

reg

ulat

ions

. Re

spon

se

N/A

O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Bu

sine

ss M

anag

er P

rocu

rem

ent

Dat

e fo

r Im

plem

enta

tion

M

arch

201

2 –

Dep

ends

on

the

prog

ress

and

out

com

es o

f the

Sm

art

Focu

s Pr

ojec

t.

Dra

ft s

usta

inab

ility

gui

danc

e is

cur

rent

ly w

ith C

MT

for

revi

ew

befo

re b

eing

sub

mitt

ed to

Mem

bers

for

appr

oval

. D

D h

as a

gree

d to

see

k M

embe

r ap

prov

al o

f the

dra

ft g

uida

nce.

JK

cha

sed

Dir

ecto

r-Re

sour

ces

agai

n on

31.

10.2

012

who

agr

eed

to r

evie

w p

rogr

ess.

Lin

ks e

xist

bet

wee

n th

e dr

aft s

usta

inab

ility

gu

idan

ce a

nd th

e dr

aft p

rocu

rem

ent p

olic

y.

4.1.

43

Tend

er d

ocum

ents

are

kep

t se

cure

ly i

n ac

cord

ance

with

the

ret

entio

n tim

esca

les

deta

iled

in th

e Co

ntra

ct P

roce

dure

Rul

es.

Res

pons

e

Agr

eed.

O

ffic

ers

Resp

onsi

ble

for

Impl

emen

tati

on

Busi

ness

Man

ager

s an

d Co

ntra

ct O

ffic

ers

Dat

e fo

r Im

plem

enta

tion

Se

pt 2

011

No

furt

her

actio

n re

quir

ed o

ther

than

per

iodi

c re

min

ders

. Ra

ised

dur

ing

Proc

urem

ent t

rain

ing

sess

ions

. Nex

t opp

ortu

nity

to

rei

nfor

ce th

is w

ill b

e w

hen

revi

sed

CPRs

are

cir

cula

ted

- po

stpo

ned

until

May

201

3 –

refe

r to

4.1

.31

abov

e.

4.2.

3

Off

icer

s ar

e in

stru

cted

tha

t go

ods/

serv

ices

to

be p

rocu

red

shou

ld b

e su

bjec

t to

an

appr

aisa

l pr

oces

s to

ens

ure

that

the

y ar

e re

quir

ed,

whe

n th

ey a

re r

equi

red

and

whe

ther

the

re a

re fu

nds

avai

labl

e.

Resp

onse

W

ill b

e in

clud

e w

ithi

n th

e ne

xt tr

aini

ng s

essi

on in

Nov

embe

r 20

11.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Dir

ecto

r of

Res

ourc

es a

nd B

usin

ess

Man

ager

Pro

cure

men

t.

Dat

e fo

r Im

plem

enta

tion

N

ov 2

011

This

is a

lrea

dy c

over

ed u

nder

sec

tion

6.1

of t

he e

xist

ing

CPRs

. O

k - b

ut w

hen

the

audi

t was

und

erta

ken

this

was

not

bei

ng

follo

wed

ther

efor

e ha

s an

y ot

her

actio

n be

en ta

ken

to r

emin

d of

ficer

s or

enf

orce

this

? N

o

71

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8

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

4.2.

9

An

exer

cise

is c

arri

ed o

ut to

iden

tify

sim

ilar

good

s an

d se

rvic

es w

hich

are

pr

ocur

ed th

roug

hout

the

Aut

hori

ty w

ith th

e ai

m o

f usi

ng o

ne s

uppl

ier

for

each

cat

egor

y of

pur

chas

e us

ing

the

mos

t ben

efic

ial m

etho

d of

pr

ocur

emen

t.

Resp

onse

This

is b

eing

look

ed a

t as

part

of t

he S

mar

t Fo

cus

Proj

ect.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pro

cure

men

t

Dat

e fo

r Im

plem

enta

tion

Ong

oing

Refe

r to

4.1

.16

abov

e

4.2.

10

Serv

ices

are

req

uire

d to

wor

k to

geth

er w

hen

proc

urin

g go

ods

or s

ervi

ces

by

shar

ing

thei

r pr

ocur

emen

t ne

eds

with

th

e Bu

sine

ss

Man

ager

Pr

ocur

emen

t an

d an

y se

rvic

e w

hich

co

uld

use

the

sam

e go

ods

or

serv

ices

.

Res

pons

e

This

is b

eing

look

ed a

t as

part

of t

he S

mar

t Fo

cus

Proj

ect.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pro

cure

men

t

Dat

e fo

r Im

plem

enta

tion

Ong

oing

Refe

r to

4.1

.16

abov

e

4.3.

4

Ther

e is

gre

ater

pub

licit

y of

the

polic

ies,

str

ateg

ies

and

sim

ilar

docu

men

ts

to i

ncre

ase

awar

enes

s an

d st

ress

the

con

sequ

ence

s if

they

are

not

co

mpl

ied

wit

h.

Resp

onse

Th

e ne

w In

tern

et/I

ntra

net m

ay r

esol

ve s

ome

of th

ese

issu

es.

The

new

Intr

anet

site

nee

ds to

be

conf

igur

ed s

o as

to c

reat

e a

sing

le r

epos

itory

for

all C

ounc

il po

licie

s &

str

ateg

ies,

but

this

is

still

som

e tim

e aw

ay.

72

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9

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pro

cure

men

t D

ate

for

Impl

emen

tati

on

Febr

uary

201

2

The

Polic

y &

Com

mis

sion

ing

Team

are

in th

e th

roes

of c

olla

ting

a

mas

ter

list o

f all

Coun

cil p

olic

ies

& s

trat

egie

s w

hich

I no

w

unde

rsta

nd w

ill b

e pu

blis

hed

on th

e co

rpor

ate

web

site

as

plan

s to

dev

elop

the

Intr

anet

sit

e ha

ve s

talle

d. H

owev

er, I

ca

nnot

con

firm

a d

ate

by w

hich

this

exe

rcis

e w

ill b

e co

mpl

eted

. Th

e A

nnua

l Gov

erna

nce

Stat

emen

t req

uire

s BU

Man

ager

s to

co

nfir

m th

at th

eir

staf

f are

aw

are

of a

ll po

licie

s &

pro

cedu

res

and

the

rece

nt s

taff

sur

vey

resu

lts in

dica

te a

gre

ater

aw

aren

ess

of th

e sa

me.

Em

ail f

rom

And

y W

atki

n da

ted

15.0

8.20

12: “

Und

er th

e Fr

eedo

m o

f Inf

orm

atio

n A

ct, w

e ar

e re

quir

ed to

mak

e al

l our

pol

icy

and

stra

tegy

doc

umen

ts r

eadi

ly a

vaila

ble.

To

this

end

, we

inte

nd to

lo

cate

all

such

doc

umen

ts o

n ou

r W

ebsi

te.

This

will

the

n be

com

e th

e si

ngle

sou

rce

for

all p

olic

y an

d st

rate

gy d

ocum

ents

, bot

h fo

r in

tern

al

and

exte

rnal

pur

pose

s.

Plea

se a

rran

ge fo

r al

l you

r Po

licy

and

Stra

tegy

doc

umen

ts to

be

save

d to

the

appr

opri

ate

fold

er w

ithi

n X:

\Pol

icie

s &

Str

ateg

ies,

to

geth

er w

ith

the

atta

ched

form

com

plet

ed fo

r ea

ch d

ocum

ent.

We

will

then

ens

ure

that

the

corr

ect

met

adat

a is

att

ache

d to

eac

h do

cum

ent a

nd u

ploa

d it

to th

e Po

licy

and

Stra

tegy

pag

e on

our

W

ebsi

te.

We

will

not

ify y

ou a

s so

on a

s on

e of

you

r do

cum

ents

has

be

en u

ploa

ded

and

this

will

then

bec

ome

the

defin

itive

ver

sion

of

that

doc

umen

t.

73

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10

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

We

wou

ld b

e gr

atef

ul if

you

cou

ld h

ave

all d

ocum

enta

tion

save

d to

th

e ap

prop

riat

e fil

e by

Fri

day

28th

Sep

tem

ber”

. Th

is is

stil

l ver

y m

uch

“wor

k in

pro

gres

s” a

s ca

n be

see

n fr

om

the

Coun

cil’s

web

page

: ht

tp:/

/ww

w.n

ewar

k-sh

erw

oodd

c.go

v.uk

/str

ateg

iesa

ndpo

licie

s/

4.3.

8

A s

tand

ard

list

of N

ewar

k an

d Sh

erw

ood

Dis

tric

t Co

unci

l po

licie

s w

hich

fa

ll in

to t

he c

ateg

orie

s is

com

pile

d an

d ei

ther

cop

ies

of t

he p

olic

ies

are

prov

ided

or

a lin

k to

the

pol

icie

s fr

om t

he w

ebsi

te i

s pr

ovid

ed w

ith t

he

offe

r of

pro

vidi

ng a

cop

y of

the

pol

icie

s in

all

proc

urem

ent

exer

cise

s in

volv

ing

tend

ers.

R

espo

nse

Se

e 4.

3.4

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

M

anag

er

Polic

y an

d Co

mm

issi

onin

g an

d Bu

sine

ss

Man

ager

Pr

ocur

emen

t D

ate

for

Impl

emen

tati

on

Febr

uary

201

2

A s

ectio

n no

w e

xist

s on

the

new

web

site

(Str

ateg

ies

&

Polic

ies,

acc

essi

ble

via

Your

Cou

ncil

link)

whi

ch c

onta

ins

refe

renc

es to

a n

umbe

r of

the

Coun

cil’s

exi

stin

g po

licie

s, b

ut

not a

ll po

licie

s re

leva

nt to

Pro

cure

men

t are

ref

eren

ced

and

in

mos

t cas

es th

e hy

perl

inks

to th

ese

polic

ies

are

not e

nabl

ed.

It is

und

erst

ood

that

a m

embe

r of

the

Polic

y &

Com

mis

sion

ing

team

is u

nder

taki

ng a

rev

iew

of a

ll Co

unci

l pol

icie

s &

pr

oced

ures

. S

ee 4

.3.4

abo

ve

4.4.

6

Whe

re a

sco

ring

sys

tem

is t

o be

use

d th

e de

tails

are

incl

uded

with

in t

he

rele

vant

doc

umen

tati

on a

nd is

sued

to t

he c

ontr

acto

rs b

efor

e it

is u

sed.

R

espo

nse

A

gree

d.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pro

cure

men

t D

ate

for

Impl

emen

tati

on

Dec

embe

r 20

11

By w

ay o

f exa

mpl

e, r

efer

to th

e la

test

col

labo

rativ

e O

JEU

te

nder

for

Refu

se C

olle

ctio

n V

ehic

les

and

the

PQQ

for

the

holis

tic p

rint

tend

er

Impl

emen

ted.

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11

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

4.5.

11

Cons

ider

atio

n is

giv

en t

o m

akin

g at

tend

ance

at

trai

ning

on

proc

urem

ent

man

dato

ry b

efor

e an

off

icer

can

be

invo

lved

in a

ny p

rocu

rem

ent

proc

ess.

Res

pons

e

This

will

be

forw

arde

d to

the

nex

t CM

T fo

r th

eir

cons

ider

atio

n. M

anag

ers

have

dev

elop

men

t pl

ans

in p

lace

and

pro

cure

men

t sh

ould

fea

ture

with

in

thes

e w

here

rel

evan

t.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Dir

ecto

r of

Res

ourc

es

Dat

e fo

r Im

plem

enta

tion

M

arch

201

2

This

will

be

born

e in

min

d bu

t it

is n

ot c

onsi

dere

d to

be

prac

ticab

le in

all

situ

atio

ns.

Any

exa

mpl

es o

f it n

ot b

eing

pra

ctic

al?

Fo

r so

me

pers

onne

l rel

ated

pol

icie

s re

quir

ing

man

dato

ry

atte

ndan

ce, o

n co

urse

s pr

ior

to b

eing

invo

lved

in c

erta

in

situ

atio

ns, t

hey

prov

ide

one

to o

ne t

rain

ing

in u

rgen

t ci

rcum

stan

ces

if th

ere

is n

ot a

pla

nned

cou

rse

com

ing

up.

Thes

e of

fices

are

stil

l req

uire

d to

att

end

the

full

trai

ning

but

a

note

is m

ade

of th

e in

teri

m tr

aini

ng u

nder

take

n. C

ould

this

w

ork

for

proc

urem

ent?

A g

ood

idea

. The

onu

s w

ould

be

on

Busi

ness

Man

ager

s to

req

uest

a o

ne-t

o-on

e tr

aini

ng s

essi

on

thro

ugh

HR.

Is

ther

e an

y e-

trai

ning

sol

utio

n w

here

con

firm

ed

com

plet

ion

of a

cou

rse

on-li

ne c

ould

be

used

? N

o.

4.6.

5

The

deta

iled

guid

ance

cle

arly

sta

tes

that

the

rele

vant

par

agra

phs

with

in

the

Cont

ract

Pro

cedu

re R

ules

and

Fin

anci

al R

egul

atio

ns s

houl

d be

ad

here

d to

and

take

pre

cede

nce

over

the

guid

ance

sho

uld

ther

e be

any

co

nflic

t.

Resp

onse

A

gree

d.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pro

cure

men

t D

ate

for

Impl

emen

tati

on

Mar

ch 2

012

The

P-Ca

rd P

roce

dure

doc

umen

t is

curr

ently

bei

ng r

evis

ed

follo

win

g im

plem

enta

tion

of th

e ne

w N

atW

est ‘

One

Card

’ pr

ogra

mm

e in

May

200

12.

Revi

sed

P-Ca

rd p

roce

dure

s ha

ve n

ow b

een

draf

ted

and

will

be

circ

ulat

ed b

y th

e en

d of

Nov

embe

r 20

12.

4.6.

6

Cons

ider

atio

n is

giv

en to

am

end

the

rele

vant

par

agra

phs

with

in th

e Fi

nanc

ial R

egul

atio

ns a

nd C

ontr

act P

roce

dure

Rul

es to

cle

arly

sta

te th

at

the

rele

vant

par

agra

phs

with

in th

e ot

her

docu

men

t sho

uld

be r

ead

in

conj

unct

ion

with

the

para

grap

h cu

rren

tly

bein

g re

ad.

Both

doc

umen

ts a

re a

lrea

dy c

ross

-ref

eren

ced.

A

s m

entio

ned

in th

e or

igin

al r

epor

t, th

is is

a b

rief

sta

tem

ent a

t th

e be

ginn

ing

of th

e re

gula

tions

. Th

ere

wou

ld b

e so

me

bene

fit

75

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Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

Resp

onse

W

ill c

onsi

der

as p

art o

f the

nex

t rev

iew

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

D

irec

tor

of R

esou

rces

D

ate

for

Impl

emen

tati

on

May

201

2

in in

clud

ing

a sp

ecifi

c lin

k/re

fere

nce

(per

haps

to a

spe

cific

pa

ra) w

here

sim

ilar

spec

ific

aspe

cts

are

cove

red

in b

oth

docu

men

ts s

uch

as p

rocu

rem

ent c

ards

. N

o fu

rthe

r co

mm

ent!

A

udite

e co

nclu

des

reco

mm

enda

tion

is n

ot n

ow a

gree

d –

he

cons

ider

s th

at th

ere

is a

dequ

ate

cros

s re

fere

ncin

g al

read

y.

4.6.

9

Card

hold

ers

are

revi

ewed

per

iodi

cally

to e

nsur

e th

at th

ey s

till n

eed

the

card

. If

card

s ar

e to

be

kept

des

pite

lack

of u

se r

easo

ns fo

r th

e la

ck o

f us

e ar

e re

cord

ed o

n th

eir

reco

rd fo

r fu

ture

ref

eren

ce.

Resp

onse

A

ll pr

ocur

emen

t car

ds w

ere

re-is

sued

in Ju

ne 2

011

and

are

re-is

sued

ev

ery

two

year

s. C

onsi

dera

tion

is a

lso

give

n w

hen

new

car

ds a

re

requ

este

d. R

etur

n of

pro

cure

men

t car

ds fo

rms

part

of t

he p

roce

dure

s w

here

sta

ff le

ave.

Will

look

at a

ddin

g a

sect

ion

into

cha

nge

of

empl

oym

ent

form

s ES

T2 to

ass

ess

whe

ther

Pro

cure

men

t Crd

sti

ll re

quir

ed.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Busi

ness

Man

ager

Pro

cure

men

t D

ate

for

Impl

emen

tati

on

Febr

uary

201

2

P-Ca

rds

have

now

bee

n sw

itche

d to

Nat

Wes

t’s

‘One

Card

’ M

aste

rcar

d pr

ogra

mm

e w

hich

off

ers

impr

oved

acc

ess

to w

eb-

base

d m

anag

emen

t inf

orm

atio

n re

port

s th

at w

ill u

ltim

atel

y al

low

the

Card

Pro

gram

me

Adm

inis

trat

ors

(Jea

nne

Alle

n an

d Jo

hn K

ing)

to m

onito

r ca

rdho

lder

usa

ge o

n a

regu

lar

basi

s.

Sinc

e m

id-F

ebru

ary

2012

John

Kin

g ha

s be

en in

clud

ed o

n H

R’s

leav

ers

notif

icat

ion

e-m

ail c

ircu

latio

n lis

t as

a w

ay o

f cap

turi

ng

card

hold

ers

who

leav

e th

e Co

unci

l. Je

anne

Alle

n ha

s al

so b

een

adde

d to

the

circ

ulat

ion

list i

n he

r ca

paci

ty a

s Ca

rd P

rogr

amm

e A

dmin

istr

ator

A

“D

orm

ant C

ardh

olde

r Rep

ort”

is s

ched

uled

to r

un

auto

mat

ical

ly o

n a

mon

thly

bas

is o

n th

e N

atW

est p

orta

l. Th

is

will

iden

tify

card

hold

ers

who

fail

to u

se th

eir

P-Ca

rd fo

r ex

tend

ed p

erio

ds o

r in

freq

uent

ly w

hich

will

pro

mpt

the

Card

Pr

ogra

mm

e A

dmin

istr

ator

to in

vest

igat

e w

hy.

The

Coun

cil d

oes

not i

ncur

any

cha

rges

from

RBS

/Nat

Wes

t for

76

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13

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

the

prov

isio

n of

P-C

ards

and

ther

e ar

e no

min

imum

usa

ge

cons

trai

nts.

4.6.

13

Card

hold

ers

are

rem

inde

d th

at c

ards

mus

t be

hel

d se

cure

ly e

ither

on

pers

on o

r on

site

in a

loca

tion

to w

hich

onl

y th

ey h

ave

acce

ss s

uch

as a

lo

cked

dra

wer

. S

uch

a lo

cati

on s

houl

d no

t be

eas

ily p

orta

ble

such

as

a lo

cked

tin.

R

espo

nse

A

rem

inde

r w

ill b

e is

sued

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

D

irec

tor

of R

esou

rces

D

ate

for

Impl

emen

tati

on

Janu

ary

2012

.

This

form

s pa

rt o

f the

P-C

ard

stan

dard

use

r in

stru

ctio

ns &

gu

idan

ce.

The

opp

ortu

nity

will

be

take

n to

rem

ind

all c

ardh

olde

rs (o

ld &

ne

w) o

f the

ir o

blig

atio

ns w

hen

the

revi

sed

P-Ca

rd p

roce

dure

s ar

e pu

blis

hed

and

circ

ulat

ed b

y th

e en

d of

Nov

embe

r 20

12.

4.6.

29

Off

icer

s in

volv

ed in

the

auth

oris

atio

n, p

roce

ssin

g an

d re

view

func

tion

s ar

e re

min

ded

that

any

tra

nsac

tion

s w

hich

cou

ld b

e co

nstr

ued

as n

on-

auth

oris

ed a

re r

epor

ted

to e

ither

the

Dir

ecto

r of

Res

ourc

es, B

usin

ess

Man

ager

Pro

cure

men

t or

Aud

it M

anag

er to

be

chec

ked

furt

her.

Re

spon

se

Now

tha

t Bu

sine

ss M

anag

ers

have

bee

n ap

poin

ted

into

the

new

off

icer

st

ruct

ure,

they

will

be

rem

inde

d of

the

nece

ssar

y pr

oced

ures

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

D

irec

tor

of R

esou

rces

D

ate

for

Impl

emen

tati

on

Janu

ary

2012

The

Coun

cil’s

Fin

Regs

, CPR

s an

d A

nti-F

raud

Str

ateg

y al

read

y in

stru

ct B

U M

anag

ers

on r

epor

ting

requ

irem

ents

Fr

om d

ay o

ne o

f its

intr

oduc

tion,

the

new

‘One

Card

’ pr

ogra

mm

e re

quir

es a

ll ca

rdho

lder

s to

‘rev

iew

’ the

ir P

-Car

d tr

ansa

ctio

ns u

sing

Nat

Wes

t’s

secu

re o

nlin

e po

rtal

. Tr

ansa

ctio

ns a

re s

ubse

quen

tly ‘a

ppro

ved’

onl

ine

by r

elev

ant

Line

or

Busi

ness

Man

ager

s. T

his

prov

ides

a fu

ll au

dit t

rail

of a

ll P-

Card

tran

sact

ions

and

incr

ease

s si

gnifi

cant

ly th

e ov

eral

l tr

ansp

aren

cy o

f the

P-C

ard

prog

ram

me.

Not

sur

e th

at th

is c

over

s th

e w

hole

poi

nt a

s th

e tr

ansa

ctio

n in

qu

estio

n ha

d pa

ssed

thro

ugh

a si

mila

r tr

ail a

lbei

t a p

aper

trai

l an

d ha

d no

t be

en q

uest

ione

d by

any

of t

hem

alth

ough

it

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Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

clea

rly

stat

ed th

at p

aym

ent w

as b

eing

mad

e to

a d

og r

acin

g tr

ack.

How

is th

e in

form

atio

n po

sted

ont

o e-

fin?

If

acco

unta

ncy

are

invo

lved

hav

e th

ey b

een

rem

inde

d of

thei

r du

ty to

rep

ort t

rans

actio

ns w

hich

they

con

side

r co

uld

be n

on-

auth

oris

ed, f

or fu

rthe

r in

vest

igat

ion?

A

ll P-

Card

tran

sact

ions

for

all P

-Car

dhol

ders

are

pos

ted

to e

-Fin

by

Fin

anci

al S

ervi

ces

via

a si

ngle

mon

thly

ele

ctro

nic

jour

nal

whi

ch is

pre

pare

d fr

om a

con

solid

ated

mon

thly

dat

a fil

e ex

trac

ted

from

the

Nat

Wes

t por

tal.

Acc

ount

ancy

sta

ff

resp

onsi

ble

for

proc

essi

ng th

e jo

urna

l do

not s

crut

inis

e th

e co

nten

ts o

f the

dat

a fil

e as

a m

atte

r of

cou

rse.

It

is th

e re

spon

sibi

lity

of B

U M

anag

ers

to fo

rmal

ly a

ppro

ve

indi

vidu

al p

urch

ase

tran

sact

ions

via

the

secu

re N

atW

est p

orta

l in

muc

h th

e sa

me

way

as

they

wou

ld a

utho

rise

for

paym

ent

supp

lier

invo

ices

in r

espe

ct o

f goo

ds/s

ervi

ces

orde

red

by B

U

staf

f thr

ough

e-F

in.

4.6.

33

Card

hold

ers

are

rem

inde

d th

at a

ll lo

gs s

houl

d be

pri

nted

off

at

the

end

of

the

mon

th a

nd s

igne

d by

the

rele

vant

Man

ager

as

bein

g ch

ecke

d.

Resp

onse

Ca

rdho

lder

s ar

e fr

eque

ntly

rem

inde

d bu

t will

rem

ind

agai

n.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

PA to

Dir

ecto

r of

Res

ourc

es

Dat

e fo

r Im

plem

enta

tion

Ja

nuar

y 20

12.

This

pro

cedu

re w

ill b

ecom

e re

dund

ant f

ollo

win

g th

e in

trod

uctio

n of

the

new

‘One

Card

’ pro

gram

me

whi

ch w

as

rolle

d ou

t dur

ing

May

201

2 an

d w

ill b

e co

vere

d by

rev

ised

op

erat

ing

proc

edur

es w

hich

are

bei

ng d

raft

ed.

Wer

e an

y re

min

ders

issu

ed?

Wha

t pro

cess

is b

eing

/ha

s be

en

follo

wed

unt

il th

e re

vise

d pr

oced

ures

are

dra

fted

? W

hen

will

th

ese

be in

pla

ce?

Refe

r to

4.6

.29

and

4.6.

5 ab

ove

78

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Impl

emen

tatio

n of

Aud

it R

ecom

men

datio

ns P

rogr

ess

Stat

emen

t RE

VIE

W O

F PR

OG

RESS

AG

AIN

ST R

ECO

MM

END

ATI

ON

S –

HIG

H P

RIO

RITY

Rep

ort

Ref

R

ecom

men

datio

n an

d R

espo

nse

From

Orig

inal

Rep

ort

Cur

rent

Pos

ition

4.2.

9

Cons

ider

atio

n sh

ould

be

give

n as

to

whe

ther

it w

ould

be

poss

ible

to

mak

e al

tern

ativ

e ar

rang

emen

ts f

or s

taff

who

wan

t to

wor

k w

eeke

nds,

eg

wor

k fr

om h

ome,

use

a la

ptop

etc

in o

rder

tha

t th

e bu

ildin

g co

uld

be b

ette

r se

cure

d at

the

wee

kend

s.

Resp

onse

A r

epor

t w

ill b

e pr

epar

ed f

or C

MT

sett

ing

out

the

issu

es a

nd

poss

ible

sol

utio

ns.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Ass

et M

anag

emen

t Off

icer

D

ate

for

Impl

emen

tati

on

Oct

ober

201

1

Onl

y Be

nefit

s an

d Co

unci

l Tax

now

wor

k at

wee

kend

s an

d th

is

is in

freq

uent

– th

ey n

eed

acce

ss to

Kel

ham

Hal

l and

so

ther

e is

no

alte

rnat

ive.

Mos

t oth

er ‘a

d-ho

c’ a

rran

gem

ents

hav

e no

w c

ease

d –

the

mat

ter

will

be

disc

usse

d w

ith D

irec

tor

– Re

sour

ces,

rat

her

than

a

repo

rt to

CM

T gi

ven

that

the

num

ber

of s

taff

wor

king

w

eeke

nds

has

redu

ced

sign

ifica

ntly

.

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REV

IEW

OF

PRO

GRE

SS A

GA

INST

REC

OM

MEN

DA

TIO

NS

– M

EDIU

M P

RIO

RITY

Re

port

Re

f Re

com

men

dati

on a

nd R

espo

nse

From

Ori

gina

l Rep

ort

Curr

ent

Posi

tion

4.1.

4

A s

et o

f pr

oced

ures

not

es s

houl

d be

pro

duce

d in

corp

orat

ing

best

pr

actic

e an

d de

tails

of

all

the

secu

rity

pro

cedu

res

that

sho

uld

be

follo

wed

. Re

spon

se

Not

es w

ill b

e pr

epar

ed t

o co

ver

the

day-

toda

y pr

oced

ures

tog

ethe

r w

ith a

che

cklis

t.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Ass

et M

anag

emen

t Off

icer

D

ate

for

Impl

emen

tati

on

Janu

ary

2012

Proc

edur

e no

tes

upda

ted

4.1.

12

The

Secu

rity

Gui

danc

e fo

r Ke

lham

Hal

l sh

ould

be

revi

ewed

and

br

ough

t up

to

date

to

ensu

re t

hat

the

corr

ect

info

rmat

ion

is

avai

labl

e to

sta

ff.

Resp

onse

The

proc

edur

e w

ill b

e up

date

d.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Ass

et M

anag

emen

t Off

icer

D

ate

for

Impl

emen

tati

on

Janu

ary

2012

This

has

bee

n up

date

d an

d ne

eds

to b

e pu

blis

hed

on th

e in

tran

et

4.1.

13

Proc

edur

es s

houl

d en

sure

tha

t w

hen

outs

ide

book

ings

are

mad

e,

the

orga

nise

rs a

re c

lear

abo

ut t

heir

res

pons

ibili

ties

to s

uper

vise

th

eir

visi

tors

and

adv

ise

them

of r

estr

icte

d ar

eas.

Re

spon

se

Cove

red

in th

e Se

curi

ty G

uida

nce

80

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Repo

rt

Ref

Reco

mm

enda

tion

and

Res

pons

e Fr

om O

rigi

nal R

epor

t Cu

rren

t Po

siti

on

Will

rev

iew

con

trac

t with

Cat

erin

g A

cade

my.

Will

ens

ure

with

in g

uida

nce

to s

taff

. O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Ass

et M

anag

emen

t Off

icer

D

ate

for

Impl

emen

tati

on

Janu

ary

2012

4.1.

14

Secu

rity

pro

cedu

res

shou

ld in

clud

e gu

idan

ce o

n ke

epin

g va

luab

les

out

of

sigh

t,

lock

ed

away

an

d cl

osin

g w

indo

ws

and

blin

ds,

part

icul

arly

on

the

grou

nd fl

oor

whe

n th

e of

fice

is u

natt

ende

d.

Resp

onse

The

proc

edur

e w

ill b

e up

date

d.

This

use

d to

be

cove

red

duri

ng

Indu

ctio

n so

will

ens

ure

that

this

is s

till t

he c

ase.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Ass

et M

anag

emen

t Off

icer

D

ate

for

Impl

emen

tati

on

Janu

ary

2012

Cove

red

in th

e Se

curi

ty G

uida

nce

4.1.

19

The

prot

ocol

on

wha

t to

do in

the

even

t of a

str

ange

r en

teri

ng th

e bu

ildin

g w

ithou

t id

and

unkn

own

to s

taff

sho

uld

be in

clud

ed in

the

secu

rity

gui

danc

e an

d br

ough

t to

the

atte

ntio

n of

sta

ff.

Resp

onse

To b

e in

clud

ed w

ithin

the

staf

f gui

danc

e.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Ass

et M

anag

emen

t Off

icer

D

ate

for

Impl

emen

tati

on

Janu

ary

2012

Cove

red

in th

e Se

curi

ty G

uida

nce

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Repo

rt

Ref

Reco

mm

enda

tion

and

Res

pons

e Fr

om O

rigi

nal R

epor

t Cu

rren

t Po

siti

on

4.2.

4

Dur

ing

even

ts, t

he o

rgan

iser

sho

uld

be a

sked

to d

ispl

ay s

igns

re

stri

ctin

g ac

cess

bey

ond

a ce

rtai

n po

int a

nd a

dvis

e th

eir

visi

tors

th

at th

ey m

ust n

ot w

ande

r in

to r

estr

icte

d ar

eas.

Re

spon

se

Will

rev

iew

con

trac

t with

Cat

erin

g A

cade

my.

W

ill e

nsur

e w

ithin

gui

danc

e to

sta

ff.

Off

icer

Res

pons

ible

for

Impl

emen

tati

on

Ass

et M

anag

emen

t Off

icer

D

ate

for

Impl

emen

tati

on

Janu

ary

2012

Cate

ring

Aca

dem

y ha

ve b

een

notif

ied

and

they

put

sig

ns in

pl

ace

whe

n th

ere

is a

n ev

ent

4.2.

17

Cate

ring

sta

ff s

houl

d be

rem

inde

d to

ens

ure

that

del

iver

ies

are

supe

rvis

ed a

nd d

oors

are

not

left

ope

n un

nece

ssar

ily.

Resp

onse

Will

rev

iew

con

trac

t with

Cat

erin

g A

cade

my.

O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Ass

et M

anag

emen

t Off

icer

D

ate

for

Impl

emen

tati

on

Janu

ary

2012

Cove

red

in th

e Se

curi

ty G

uida

nce

4.3.

5

Man

agem

ent

shou

ld

ensu

re

that

th

ey

are

fully

aw

are

of

the

emer

genc

y pr

oced

ures

and

are

ade

quat

ely

trai

ned.

Resp

onse

This

will

be

rais

ed w

ith r

elev

ant B

usin

ess

Man

ager

s O

ffic

er R

espo

nsib

le fo

r Im

plem

enta

tion

Dir

ecto

r Re

sour

ces

Dat

e fo

r Im

plem

enta

tion

Oct

ober

201

1

Refe

r to

Dav

id D

icki

nson

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5

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83

84

AUDIT AND ACCOUNTS COMMITTEE AGENDA ITEM NO.8 29th November 2012 AUDIT COMMITTEE FORUM REPORT PRESENTED BY: DIRECTOR OF RESOURCES 1.0 Purpose of Report 1.1 This report provides the Audit and Accounts Committee information on the recent Audit

Committee Forum, held on the 3rd October 2012. The aim of the forum is for Audit Committee members to meet and share good practice and experience.

2.0 Introduction 2.1 The Audit Committee Forum met on the 3rd October 2012. The turnout was good with

representation from different public sector bodies. The event covered two topics:

New Public Audit Arrangements

Getting the most out of your assurance arrangements (Changing face of good governance - trusting people to deliver and holding them to account)

New Public Audit Arrangements 2.2 KPMG attended and provided an update on the new Public Audit Arrangements. Some

of the key messages:

Financial Statements – Getting it right first time. Current practice in Local Authorities is to present ‘draft’ accounts for auditing with some ‘loose’ ends to be firmed up. Fee reduction based on accounts being ready for audit ‘final’ with no gaps and supported by good working papers.

85

Suggested Action: Assurance from Section 151 Officer on lessons learnt from 2011/12 closure of accounts and that they have confidence in the Quality Assurance processes in place – particularly relevant if work undertaken by a third party.

Reliance will be placed on Internal Audit wherever possible on fundamental financial systems.

Suggested Action: Protocol developed that clarifies expectations and makes the best use of the combined Audit resource.

Some questions were asked about when client engagement would commence There are some specific ‘rules’ prescribed by the Audit Commission on client engagement i.e. new providers could formally act with effect from the 1st November.

A copy of KPMG presentation is attached in Appendix A.

Governance & Assurance Arrangements 2.3 Two interactive sessions were held to explore and share good practice and experiences.

Feedback from these sessions captured views on ways to make Audit Committees more effective. The key messages are outlined below:

Be proactive and focus on what’s important Ensuring that the audit committee’s agenda focuses on the key issues takes some work! Some ways to do this are:

o Play a more active role in setting the agenda – consider having a meeting with the Chair of the Committee a few weeks before the committee to help pull together the agenda.

o Use the Annual Governance Statement / Strategic Risk Register and other annual reports to help set an annual work plan.

o The work plan should be focused but flexible to enable the committee to delve deeper into issues as they arise.

86

o Keep informed of what’s happening – do Directors keep you up to date?

Should Directors keep you informed rather than wait to be asked? o Have a good flow of information between the Board (or equivalent), Internal

and External Audit and the Audit Committee. Meet in private (informally) if appropriate. It’s important to let them know what the committee expects of them – both through the formal meetings and informally. Encourage (expect) frequent communications with the Head of Internal Audit and External Audit engagement partner.

o Understand the level of risk your organisation is prepared to take and how effective risk management is in practice. What’s the risk culture – have there been any near misses – have lessons been learnt?

o Ensure you understand the accountability framework of the organisation. o Understand how technology and innovation are changing the control

environment and what levels of assurances are needed. o Focus on the organisation transformational programmes – New strategies

should appropriately balance risk and reward. Make sure risk and strategy is discussed together – each hinges on each other.

o A key area of focus is business resilience and reputational risk – gain assurances on how management are addressing these risks. Ensure that you are familiar with the key risks facing the organisations / the key priorities and key projects. Understand and assess the assurances in place on these and how they are being managed.

o Take a hard look at how effective you have been as a committee – have you made a difference in how the organisation is run?

Making the most of your meetings o Ensure that reports focus on key messages and action being taken to give

assurance. o Review work plans at each meeting – ensure that they do not have too much

on the agenda - need to have sufficient time to constructively challenge what being told.

o Ensure the right people attend the meeting eg Senior Managers to explain how they are delivering agreed actions and providing assurance.

o Schedule your meetings to help ensure attendance and debate

87

o Meet up before the Committee starts to share thoughts and views on agenda papers and key issues / questions to ask to seek assurances on what actions being taken.

o Given the breadth of topics the audit committee may consider it is becoming more common to have 5 – 6 meeting a year. This helps the committee focus on it’s core terms of reference and delve deeper into key areas.

o Some other questions you may consider: Is the audit committee hearing views below and beyond senior

management e.g. from middle management and business unit leaders and other third parties?

Does the information being presented by the Auditors tell a consistent story? What’s being said by the customers, employees etc?

Does the organisation promote a culture of candor and constructive challenge – where raising red flags and challenging information (no matter how unpalatable) is welcomed.

Consider if the Audit Committee has the right mix of members o Given the complexity of accounting arrangements it’s helpful to have a

member with some understanding of financial statements / accounts. o Consider having an independent member on the committee to bring different

views and perspectives. o Have regular training on relevant topics. o Try and attend other organisations Audit Committees to see how they

operate – you can pick up tips from other sectors eg Health / Housing Associations.

88

2.4 There were a number of potential future topics of the Audit Committee Forum. These include:

o Understanding risk appetite and the risk culture of your organisation o Sharing good practice on assurance arrangements o Understanding any changes in good governance guidance (due out early

2013). o Update on counter fraud – including Protecting the Public Purse and Fighting

Fraud Locally.

2.5 Currently organisations are represented from local authorities, health and the University. It was suggested that audit committee chairs from housing associations, clinical commissioning groups and the education sector should be also invited.

Suggested Action: Consider extending an invite to the above organisations.

Conclusion 2.6 Feedback on the Audit Committee Forum was overwhelmingly positive - with attendees

going away with more insight on how other audit committees operate and feeling better equipped to carry out their role as a member of the Audit Committee. On this basis it was agreed to continue with the forum.

3.0 RECOMMENDATION

That the Audit Committee note the contents of this report. Background Papers Nil. For further information please contact Lucy Pledge on extension 01522 553692 David Dickinson Director- Resources

89

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y pa

rtne

rshi

p, is

a s

ubsi

diar

y of

KP

MG

Eur

ope

LLP

and

a m

embe

r fir

m o

f the

KP

MG

net

wor

k of

inde

pend

ent m

embe

r fir

ms

affil

iate

d w

ith

KP

MG

Inte

rnat

iona

l Coo

pera

tive,

a S

wis

s en

tity.

All

right

s re

serv

ed.

Our

val

ues

14

W

e le

ad b

y ex

ampl

e

We

wor

k to

geth

er

W

e re

spec

t the

indi

vidu

al

W

e se

ek fa

cts

and

prov

ide

insi

ght

W

e ar

e op

en a

nd h

ones

t in

our c

omm

unic

atio

ns

W

e ar

e co

mm

itted

to o

ur c

omm

uniti

es

W

e ac

t with

inte

grity

.

104

© 2

012

KP

MG

LLP

, a U

K li

mite

d lia

bilit

y pa

rtne

rshi

p, is

a s

ubsi

diar

y of

KP

MG

Eur

ope

LLP

and

a m

embe

r fir

m o

f the

KP

MG

net

wor

k of

inde

pend

ent m

embe

r fir

ms

affil

iate

d w

ith

KP

MG

Inte

rnat

iona

l Coo

pera

tive,

a S

wis

s en

tity.

All

right

s re

serv

ed.

Del

iver

y of

aud

it w

ork

Sta

ffing

Mai

ntai

n co

ntin

uity

But

intro

duce

m

ixed

team

s

Tech

nica

l ex

celle

nce

Com

preh

ensi

ve

tech

nica

l su

ppor

t

Net

wor

k of

sp

ecia

lists

Effi

cien

cy

Focu

sed

& ri

sk

base

d au

dit

Fast

er d

eliv

ery,

le

ss ti

me

on s

ite

Tech

nolo

gy

Rep

ortin

g

Pla

in E

nglis

h

Con

cise

Add

ing

valu

e

105

1. A

udit

appo

intm

ents

2. In

trodu

ctio

n to

KP

MG

3. Q

&A

4. A

udit

Com

mitt

ee In

stitu

te

5. Q

&A

106

1. A

udit

appo

intm

ents

2. In

trodu

ctio

n to

KP

MG

3. Q

&A

4. A

udit

Com

mitt

ee In

stitu

te

5. Q

&A

107

Aud

it C

omm

ittee

In

stitu

te

108

© 2

012

KP

MG

LLP

, a U

K li

mite

d lia

bilit

y pa

rtne

rshi

p, is

a s

ubsi

diar

y of

KP

MG

Eur

ope

LLP

and

a m

embe

r fir

m o

f the

KP

MG

net

wor

k of

inde

pend

ent m

embe

r fir

ms

affil

iate

d w

ith

KP

MG

Inte

rnat

iona

l Coo

pera

tive,

a S

wis

s en

tity.

All

right

s re

serv

ed.

Aud

it C

omm

ittee

Inst

itute

19

R

ecog

nisi

ng th

e im

porta

nce

of a

udit

com

mitt

ees,

the

Aud

it C

omm

ittee

Inst

itute

(AC

I) ha

s be

en c

reat

ed to

ser

ve a

udit

com

mitt

ee m

embe

rs a

nd h

elp

them

to a

dapt

to th

eir

chan

ging

rol

e.

S

pons

ored

by

KP

MG

, the

AC

I pro

vide

s kn

owle

dge

to a

udit

com

mitt

ee m

embe

rs a

nd is

a re

sour

ce to

whi

ch th

ey c

an

turn

for i

nfor

mat

ion

or to

sha

re k

now

ledg

e.

109

© 2

012

KP

MG

LLP

, a U

K li

mite

d lia

bilit

y pa

rtne

rshi

p, is

a s

ubsi

diar

y of

KP

MG

Eur

ope

LLP

and

a m

embe

r fir

m o

f the

KP

MG

net

wor

k of

inde

pend

ent m

embe

r fir

ms

affil

iate

d w

ith

KP

MG

Inte

rnat

iona

l Coo

pera

tive,

a S

wis

s en

tity.

All

right

s re

serv

ed.

AC

I – K

ey p

ublic

atio

ns

20

K

ey p

ublic

atio

ns in

clud

e:

To

olki

t – ‘A

Pra

ctic

al G

uide

– S

hapi

ng th

e U

K a

udit

com

mitt

ee a

gend

a’

A

nnua

l ten

to-d

o’s

for

audi

t com

mitt

ees

A

CI Q

uarte

rly

B

riefin

gs

110

© 2

012

KP

MG

LLP

, a U

K li

mite

d lia

bilit

y pa

rtne

rshi

p, is

a s

ubsi

diar

y of

KP

MG

Eur

ope

LLP

and

a m

embe

r fir

m o

f the

KP

MG

net

wor

k of

inde

pend

ent m

embe

r fir

ms

affil

iate

d w

ith

KP

MG

Inte

rnat

iona

l Coo

pera

tive,

a S

wis

s en

tity.

All

right

s re

serv

ed.

AC

I – K

ey in

itiat

ives

21

K

ey in

itiat

ives

incl

ude:

Pro

fess

iona

l Dev

elop

men

t P

rogr

amm

e

Cha

ir 10

0 G

roup

– F

TSE

100

BO

FI P

rogr

amm

e –

Trai

ning

an

d de

velo

pmen

t for

NE

Ds

of

Ban

ks &

Oth

er F

inan

cial

In

stitu

tions

FTS

E 3

50 B

reak

fast

pr

ogra

mm

e

Loca

l Gov

ernm

ent

Pro

gram

me

111

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012

KP

MG

LLP

, a U

K li

mite

d lia

bilit

y pa

rtne

rshi

p, is

a s

ubsi

diar

y of

KP

MG

Eur

ope

LLP

and

a m

embe

r fir

m o

f the

KP

MG

net

wor

k of

inde

pend

ent m

embe

r fir

ms

affil

iate

d w

ith

KP

MG

Inte

rnat

iona

l Coo

pera

tive,

a S

wis

s en

tity.

All

right

s re

serv

ed.

AC

I – L

ocal

Gov

ernm

ent P

rogr

amm

e

22

C

urre

ntly

runs

twic

e ye

arly

Ear

ly e

veni

ng e

vent

s ar

ound

the

coun

try

D

esig

ned

spec

ifica

lly fo

r loc

al a

utho

rity

mem

bers

with

A

udit

Com

mitt

ee (o

r equ

ival

ent)

resp

onsi

bilit

ies.

Mix

ture

of p

rese

ntat

ions

and

roun

d ta

ble

disc

ussi

ons

Fo

rum

for A

udit

Com

mitt

ee m

embe

rs to

net

wor

k an

d sh

are

idea

s

Aut

umn

sess

ion

for t

he M

idla

nds

is o

n 13

Nov

embe

r in

Le

ices

ter a

nd in

Lee

ds o

n 28

Nov

embe

r

O

n th

e ag

enda

this

aut

umn:

Hot

topi

cs b

riefin

g; P

artn

ersh

ip

gove

rnan

ce; ‘

The

Bril

liant

Loc

al A

utho

rity

of th

e Fu

ture

’ –

thre

ats

and

oppo

rtuni

ties

faci

ng lo

cal g

over

nmen

t

112

1. A

udit

appo

intm

ents

2. In

trodu

ctio

n to

KP

MG

3. Q

&A

4. A

udit

Com

mitt

ee In

stitu

te

5. Q

&A

113

114

Documents

AUDIT & ACCOUNTS COMMITTEE - Newark and Sherwood · AUDIT & ACCOUNTS COMMITTEE Date of Meeting: Thursday 29th November, 2012 Time: 10am Venue: Cedar Room, Kelham Hall Kelham Hall