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The decisions as the council's minutes record them. A plain-language summary follows once it has been written.
AGREED to note the content of the Governance and Audit Committee Meetings Action Log as presented. Item 7- The Chair requested when the Financial Sustainability item would be re-presented. It was reported that the updated Medium Term Financial Strategy would be considered at the LG that afternoon as a draft document. It would then move forward through the democratic process as it would be presented to the Corporate Resource Scrutiny Committee at the end of the month and thereafter, Cabinet and Full Council in October. An update would be provided at the next meeting. It was reported that the HM Inspectorate of Probation – Inspection of Youth Services in Ceredigion – Update on Action Plan and Ombudsman Own Initiative Investigation – Carers Needs were included in the Forward Work Programme for the December meeting.
AGREED to note the Regulator and Inspectorate reports and Updates. It was reported that the response to the Consultation on Fee Scales 2026-27 has been already circulated to the Chair and Vice Chair, it was agreed that they would also be circulated to the remaining members of the Committee. The Corporate Lead Officer – Finance & Procurement also raised his concern on the 5.5% increase in fees currently being proposed and its implications on the Council budget. He also raised concern that the shift to simpler more accessible reports by Audit Wales did not seem to be highlighting the positive side of work undertaken by the Councill but only the future improvements needed.
AGREED to note the contents of the report and the accompanying CIW inspection reports and to congratulate all employees involved on their work in achieving these ratings.
AGREED to note the content subject to consideration be given to future reports having an executive summary due to the size of the current report.
AGREED to approve the changes to:- (i) Governance Framework template; and (ii) Annual Governance Statement template (25/26) The Governance Officer was thanked for all her work on these templates.
AGREED to note the work undertaken and current position of the Internal Audit Service.
AGREED to note the contents of the self-assessment
AGREED to (i) approve the Counter Fraud Strategy; (ii) approve the Counter Fraud Protocol; and (iii) due to an ongoing Audit Wales report on Fraud an update on both strategy and protocol would be provided at the March meeting, and the Fraud assessment and Annual Fraud Strategy would also be presented at the June meeting.
AGREED to note the contents of the Annual Report of Compliments, Complaints and Freedom of Information 2024-2025, the supporting appendices, and to note the contents of the Ombudsman’s Annual Letter for the same period.
AGREED to note the current risk register subject to requesting Leadership Group to reconsider the new risk Rural Poverty as this was seen as a challenge and not a risk by the Committee. It was reported by the Corporate Lead Officer- Policy & Performance & Public Protection that this was a risk on neighbouring Council’s risk registers and was therefore not an unusual risk, but would report back to Leadership Group with the Committees comments.
AGREED to note that: 1) the Committee had reviewed the Draft Self-Assessment Report, and 2) that Committee' suggested that consideration be given to reducing the size of the report by possibly providing links to the information included The committee did not make any recommendations as to the content of the self assessment report.
AGREED to note the content of the Forward Work Programme subject to noting that the date of the next Committee had been rearranged to the 27 November; as the Statement of Accounts for 2024/25 had not been completed by the deadline, therefore Audi Wales were unable to present their findings to the October meeting. The Governance Officer would circulate the new dates to Members of the Committee accordingly.
Councillor Wyn Evans apologised for her inability to attend the meeting.
None.
None.
It was AGREED to confirm as a true record the Minutes of the Meeting of the Committee held on 19 June 2025. Matters Arising The Chair stated that the action items for the 18 December meeting were not clearly tracked and suggested to add action summary to the end of the minutes. Item 17- Corporate Risk Register Qu 4- It was reported that Corporate Health and Safety team had provided in person training to all school employees, and had focused on identifying hazards, reducing fire risks and importance of fire evacuation. Fire risk assessments were completed by visiting schools, fire assembly points, signage routes; all escape routes were checked along with the fire logbooks. All schools had fire evacuation plan templates that the service could assist them with. School employees and pupils were aware of what to do in a possibility of a fire. Fire drills were also held each term. Item 20 – Committee agreed to adopt the Audit Wales template for future guidance and self-assessment.
Decision as recorded
AGREED to note the content of the Governance and Audit Committee Meetings Action Log as presented. Item 7- The Chair requested when the Financial Sustainability item would be re-presented. It was reported that the updated Medium Term Financial Strategy would be considered at the LG that afternoon as a draft document. It would then move forward through the democratic process as it would be presented to the Corporate Resource Scrutiny Committee at the end of the month and thereafter, Cabinet and Full Council in October. An update would be provided at the next meeting. It was reported that the HM Inspectorate of Probation – Inspection of Youth Services in Ceredigion – Update on Action Plan and Ombudsman Own Initiative Investigation – Carers Needs were included in the Forward Work Programme for the December meeting.
It was AGREED to note the content of the Governance and Audit Committee Meetings Action Log as presented. Item 7- The Chair requested when the Financial Sustainability item would be re-presented. It was reported that the updated Medium Term Financial Strategy would be considered at the LG that afternoon as a draft document. It would then move forward through the democratic process as it would be presented to the Corporate Resource Scrutiny Committee at the end of the month and thereafter, Cabinet and Full Council in October. An update would be provided at the next meeting. It was reported that the HM Inspectorate of Probation – Inspection of Youth Services in Ceredigion – Update on Action Plan and Ombudsman Own Initiative Investigation – Carers Needs were included in the Forward Work Programme for the December meeting.
Decision as recorded
AGREED to note the Regulator and Inspectorate reports and Updates. It was reported that the response to the Consultation on Fee Scales 2026-27 has been already circulated to the Chair and Vice Chair, it was agreed that they would also be circulated to the remaining members of the Committee. The Corporate Lead Officer – Finance & Procurement also raised his concern on the 5.5% increase in fees currently being proposed and its implications on the Council budget. He also raised concern that the shift to simpler more accessible reports by Audit Wales did not seem to be highlighting the positive side of work undertaken by the Councill but only the future improvements needed.
Consideration was given to the Audit Wales National and Local Reports. This Report sets out Regulator and Inspectorate Reports and updates along with Council responses regarding progress made against proposals and recommendations. Currently, any local risk work issued/published since the last Governance and Audit Committee meeting on 18th June 2025 were as follows:-. • Audit Wales – Arrangements for Commissioning Services - Ceredigion County Council • MRF – Arrangements for Commissioning Services National Reports Other • Audit Wales letter to CEO on Audit Performance work • Consultation on Fee Scales 2026-27 It was AGREED to note the Regulator and Inspectorate reports and Updates. It was reported that the response to the Consultation on Fee Scales 2026-27 has been already circulated to the Chair and Vice Chair, it was agreed that they would also be circulated to the remaining members of the Committee. The Corporate Lead Officer – Finance & Procurement also raised his concern on the 5.5% increase in fees currently being proposed and its implications on the Council budget. He also raised concern that the shift to simpler more accessible reports by Audit Wales did not seem to be highlighting the positive side of work undertaken by the Councill but only the future improvements needed.
Decision as recorded
AGREED to note the contents of the report and the accompanying CIW inspection reports and to congratulate all employees involved on their work in achieving these ratings.
It was reported that a number of regulated services were recently routinely inspected by CIW, these included: • Bryntirion Residential Care Home, Tregaron • Min y Môr Residential Care Home, Aberaeron • Hafan Deg Residential Care Home, Lampeter • Y Hafod Residential Care Home, Cardigan • Hafan y Waun Residential Care Home, Waunfawr, Aberystwyth • Targeted and Enablement Integrated Care (Registered as Domiciliary Care) • Fostering Service These inspections focus on 4 key areas: 1. Wellbeing 2. Care and support 3. Environment 4. Leadership and Management The Responsible Individual (RI) is an individual who was deemed eligible under section 21 of the Regulation and Inspection of Social Care (Wales) Act 2016 (RISCA). This could be a delegated function of the Director of Social Services and in Ceredigion Council this was delegated to the Corporate Manager – Direct Services. The RI played a vital role in quality monitoring and regular monitoring visits were completed with each service and monitoring reports were considered and reviewed at regular meetings with the Director. The RI works closely with the Internal Quality Monitoring Team who also undertake regular monitoring visits of all regulated services providing placements for the population of Ceredigion. The inspection reports accompanying this report highlight that in the areas of Wellbeing, Care and Support and leadership and management the council services were operating to a high standard. During the previous 12 months all Priority Action Notices (PAN) and Enforcements in relation to environments had been lifted following substantial investment into the service and collaborative working with Property services. CIW now operate a ‘rating system’ when inspecting registered premises and the ratings received to date for the care homes had been very positive. The ratings were based on the 4 focus areas as noted above and would rate each of these within one of the following ratings: Three of the homes had now received their published ratings and these were as follows: Min y Môr Residential Care Home, Aberaeron • Wellbeing – Excellent • Care and support - Excellent • Environment - Good • Leadership and Management – Excellent Yr Hafod Residential Care Home, Cardigan • Wellbeing – Good • Care and support - Good • Environment - Good • Leadership and Management – Good Bryntirion Residential Care Home, Tregaron • Wellbeing – Good • Care and support - Good • Environment - Good • Leadership and Management – Good Children Safe Accommodation Update In addition to older persons residential care homes Ceredigion County Council had successfully registered in 2025 Sycharth and Tŷ Ni as part of the Children Safe Accommodation provision. Tŷ Ni haf had been registered on a Through Age basis – the first in Wales and would provide the local authority with a flexible model to meet the population needs of Ceredigion. It was AGREED to note the contents of the report and the accompanying CIW inspection reports and to congratulate all employees involved on their work in achieving these ratings.
Decision as recorded
AGREED to note the content subject to consideration be given to future reports having an executive summary due to the size of the current report.
Consideration was given to the report upon the Care Inspectorate Wales – Annual Return 24/25. It was AGREED to note the content subject to consideration be given to future reports having an executive summary due to the size of the current report.
Decision as recorded
AGREED to approve the changes to:- (i) Governance Framework template; and (ii) Annual Governance Statement template (25/26) The Governance Officer was thanked for all her work on these templates.
It was reported that a report outlining these changes was presented to the Governance and Audit Committee on 18 June 2025 (19 00 CIPFA report - May 25.pdf). Committee noted that the Governance team would review the Governance Framework and the Annual Governance Statement in light of the contents of the Addendum: Minute: • "Compare Chapter 7 of the 2016 CIPFA Framework guidance to the CIPFA Delivering Good Governance in Local Government Framework Addendum 2025 • Review application of the 2025 Addendum within the Annual Governance Statement25/26, Governance Framework, and Governance Framework review documents to ensure compliance and alignment with the guidelines. A subsequent report would be presented to the Committee to update on the progress of this work."The CIPFA Addendum was also presented. Currently the Governance Team had now completed the review of the templates: • Governance Framework • Annual Governance Statement template Updates had been made to reflect the CIPFA Addendum- with changes highlighted in yellow.Key changes were listed below: Governance Framework • Forward-looking • Added a section on compliance • introduces the “Three Lines” model In accordance with the CIPA Addendum recommendation, the Governance Framework will be reviewed annually. Annual Governance Statement (AGS) • Identifying key officers and members, • forward-looking • highlighting areas of assurance • identifying opportunities for improvement. • to be concise, evidence-based • greater emphasis on resilience, transparency, stakeholder engagement • addressing emerging challenges • Additional assurance sources The Addendum also states “Many authorities have found it helpful to have a governance group comprising key officers with key roles such as the monitoring officer, section 151 officer, head of internal audit, and lead officers for risk management lead and performance. The review should assess the evidence of effectiveness and identify weaknesses or other areas where further improvements could be made. A corporate review and ownership would support a robust conclusion on whether arrangements are fit for purpose”. It was reported that if approved, the AGS template would form the basis of the AGS for 25/26 It was AGREED to approve the changes to:- (i) Governance Framework template; and (ii) Annual Governance Statement template (25/26) The Governance Officer was thanked for all her work on these templates.
Decision as recorded
AGREED to note the work undertaken and current position of the Internal Audit Service.
Consideration was given to the report of the Corporate Manager-Internal Audit on The Internal Audit Progress Report Quarter 1. The report had been presented to ensure that the Committee was satisfied that the Internal Audit Section was undertaking sufficient and appropriate work in order to provide a realistic assurance at year-end, whilst adding value and assisting the Council in achieving its objectives. It was AGREED to note the work undertaken and current position of the Internal Audit Service.
Decision as recorded
AGREED to note the contents of the self-assessment
The PSIAS and CIPFA’s Local Government Application Note supersede the 2006 Code for Internal Audit and came into force from April 2013. The PSIAS and Application Note must be complied with in order to ensure proper internal audit practices are applied. The Application Note contains a checklist which has been developed to satisfy the requirements set out in PSIAS 1311 and 1312 for periodic self-assessments as part of the Quality Assurance and Improvement Program (QAIP). It incorporates the requirements of the PSIAS as well as the Application Note in order to give comprehensive coverage of both documents. The completed self-assessment is attached in full, along with resulting improvement plan. One area of improvement has been identified, regarding the new IIA Global Internal Audit Standards and to ensure that we are have implemented the new standards during the year. It was AGREED to note the contents of the self-assessment
Decision as recorded
AGREED to (i) approve the Counter Fraud Strategy; (ii) approve the Counter Fraud Protocol; and (iii) due to an ongoing Audit Wales report on Fraud an update on both strategy and protocol would be provided at the March meeting, and the Fraud assessment and Annual Fraud Strategy would also be presented at the June meeting.
Consideration was given to the Counter Fraud Strategy and Counter Fraud Protocol. It was reported that Fraud was estimated to account for 40% of all crime committed across the UK and was a long-standing threat to public services. CIPFA’s Code of Practice on Managing the Risk of Fraud and Corruption states: ‘Leaders of public services organisations have a responsibility to embed effective standards for countering fraud and corruption in their organisations. This supports good governance and demonstrates effective financial stewardship and strong public financial management. The five key principles of the code are to: • acknowledge the responsibility of the governing body for countering fraud and corruption • identify the fraud and corruption risks • develop an appropriate counter fraud and corruption strategy • provide resources to implement the strategy • take action in response to fraud and corruption.’ The Counter Fraud Strategy and Protocol replaces the existing Strategy on Countering Fraud, Corruption & Bribery (to include Anti-Money Laundering) which was approved in 2021 by Cabinet. Currently, the existing Strategy had been reviewed and updated to strengthen the Council’s response to Fraud and takes into account recommendations made by Audit Wales in their National report ‘Raising Our Game - Tackling Fraud in Wales’. The review included: • An update to establish a clear counter fraud culture and to set out the expected behaviours, processes and procedures to be followed by both members and employees when dealing with suspected fraud. • The strategy has established the Council’s mission, position and objectives on preventing, detecting and responding to fraud. • Inclusion of the Fraud Risk Assessment process and how fraud risks are identified, managed and monitored. • Strengthened and clearly defined reporting requirements. • Strengthened the roles and responsibilities to clearly outline expectations of employees, members and the public. • Updated and improved the Fraud Response Plan (including flowchart) setting out the expected process. It was intended that The Counter Fraud Strategy and Counter Fraud Protocol would replace the existing Strategy on Countering Fraud, Corruption & Bribery (to include Anti-Money Laundering). It was AGREED to (i) approve the Counter Fraud Strategy; (ii) approve the Counter Fraud Protocol; and (iii) due to an ongoing Audit Wales report on Fraud an update on both strategy and protocol would be provided at the March meeting, and the Fraud assessment and Annual Fraud Strategy would also be presented at the June meeting.
Decision as recorded
AGREED to note the contents of the Annual Report of Compliments, Complaints and Freedom of Information 2024-2025, the supporting appendices, and to note the contents of the Ombudsman’s Annual Letter for the same period.
Consideration was given to the Annual Report of Compliments, Complaints and Freedom of Information (2024-2025) between 1st April 2025 and 31st March 2025. The report was broken down into the following sections: 1.Introduction – an outline of the work of the Complaints and FOI Team and the Council’s obligations under each of the policies covered by this report. 2.Compliments – details of all compliments passed to the Complaints and FOI Team during this reporting period. 3.Complaints – data regarding the number and type of complaints received, the outcomes of the investigations undertaken, the Council’s performance against prescribed timescales and information relating to lessons learned. Examples of some of the lessons learned were included at the end of the report. 4.Ombudsman Activity – details of all Ombudsman referrals and their outcomes. Information surrounding the Early Resolution and/or Voluntary Settlements that were agreed by the Council during 2024-2025 were summarised at the end of this report. 5.Freedom of Information (FOI) and Environmental Information Regulations (EIR) – the number of information requests received by the Council during the reporting period, details of the Council’s performance with the statutory timescales and comparative data from previous reports. The number of Ombudsman referrals had increased in comparison with the two previous years, and the number of Early Resolution/Voluntary Settlement agreements has also risen. It was reported that this was a cause for concern but could be attributed, in part, to the staffing problems experienced by the Complaints and FOI Team during this year. As seen previously, challenges remain with regards to managing the complexity of some complaints, while still seeking to observe statutory timescales and although FOI and EIR activity was on par with the previous year, it is noted that their performance with compliance had declined. Again, this was linked with the unplanned absences in the Complaints and FOI Team, which offers very little resilience in terms of business continuity. As a consequence of the difficulties identified within earlier reports about complaints handling and the management of information requests under FOI and EIR, Leadership Group agreed an Action Plan that was focused on strengthening the Council’s ability to effectively deal with these matters in a robust and resilient way. Work was ongoing to complete the objectives contained within this Action Plan and this was being monitored and reviewed on a routine basis. Brief Overview: 219 Compliments Received 289 Enquiries (processed by Complaints and FOI Team) 275 Complaints Received: Stage 1 = 190 Stage 2 = 85 43 Ombudsman Contacts 10 Early Resolution / Voluntary Settlements agreed with the Ombudsman 1050 FOI & EIR Requests Currently, it was reported that • There were fewer Compliments recorded during this reporting year, but this was likely to be due to the capacity constraints on the Complaints and FOI Team – as it has not been possible to develop the improvements in order to ensure staff are aware of how positive feedback could be recorded. • Fewer enquiries were managed by the Complaints and FOI Team, though this would still have generated a great deal of work, because this activity includes any cases that do not meet the scope for consideration under the complaints procedures. • It is noted that more complaints were received during this reporting year, which was consistent with the expectation of the Complaints Standards Authority (CSA), who advised that some authorities were under-reporting their complaints activity. • Much work was still needed to prevent Stage 1 complaints from escalating to Stage 2 unnecessarily (i.e. because the service was unable to respond within the prescribed timescale of ten-working-days). • Compliance with timescales under Stage 2 also requires attention, as do the shortcomings in complaints handling that were referred to the Ombudsman. The Complaints and FOI Team continues to face challenges in meeting the demands relating to the increases in activity, and complexity, of the enquiries, complaints and information requests received. • Complaints made against the Highways & Environmental Service (predominantly regarding missed Refuse Collections) continued to be at the top of the list of ‘most complaints by service’ – as shown in Point 3.4 of the main report. However, complaints about the Economy & Regeneration Service (mostly about Planning matters) haf been repositioned into 3ʳᵈ place, as Porth Cynnal had received the second highest number of complaints by service for the year. As per the usual clarification given – some services would be more likely to attract complaints than others, therefore the number of complaints by service should be viewed in the context of their business. In addition, these services likely record hundreds, if not thousands, of contacts with the public each year, so in these terms, the number of complaints were minimal. • Compliance with Freedom of Information (FOI) and Environmental Information Regulations (EIR) timescales requires significant improvement and this would continue to be a focus of the Complaints and FOI Team. It was reported that areas to focus on was as follows:- • Improving adherence with timescales prescribed in complaints and FOI/EIR policies/legislation • Increase the resilience within the Complaints and FOI Team • Reinforce the principle that complaints were owned throughout the Council • Deliver a comprehensive training programme on complaints handling • Continuing with open, transparent, and citizen-centred approach to resolving concerns It was AGREED to note the contents of the Annual Report of Compliments, Complaints and Freedom of Information 2024-2025, the supporting appendices, and to note the contents of the Ombudsman’s Annual Letter for the same period.
Decision as recorded
AGREED to note the current risk register subject to requesting Leadership Group to reconsider the new risk Rural Poverty as this was seen as a challenge and not a risk by the Committee. It was reported by the Corporate Lead Officer- Policy & Performance & Public Protection that this was a risk on neighbouring Council’s risk registers and was therefore not an unusual risk, but would report back to Leadership Group with the Committees comments.
Regular reports were provided to the Governance and Audit Committee regarding the Council’s Corporate Risk Register to provide on-going information and assurance that risks identified by senior managers were managed appropriately. This reinforces the Governance and Audit Committee role of providing independent assurance to Council of the appropriate management of the Corporate Risk Register. A review of the latest risk status was conducted by Leadership Group and the candidates for promotion / demotion to the Corporate Risk Register were reviewed and the latest Corporate Risk Register was agreed. A new Corporate Risk, R026: Rural Poverty, has been added to the register following a horizon scanning exercise and a review of partners' risks. The starting score is 16. De-escalated from corporate to service None Escalated from service to corporate None Corporate risk score changes All risks had been reviewed and include the revised RAG status of mitigating actions and updated commentary. All corporate risk scores remain static this quarter, although several mitigating actions had completed and new ones added. Following questions from the floor, it was AGREED to note the current risk register subject to requesting Leadership Group to reconsider the new risk Rural Poverty as this was seen as a challenge and not a risk by the Committee. It was reported by the Corporate Lead Officer- Policy & Performance & Public Protection that this was a risk on neighbouring Council’s risk registers and was therefore not an unusual risk, but would report back to Leadership Group with the Committees comments.
Decision as recorded
AGREED to note that: 1) the Committee had reviewed the Draft Self-Assessment Report, and 2) that Committee' suggested that consideration be given to reducing the size of the report by possibly providing links to the information included The committee did not make any recommendations as to the content of the self assessment report.
Consideration was given to the Self-Assessment Report presented. This was the was the Council’s fourth Self-Assessment Report since the Local Government and Elections (Wales) Act 2021 was introduced. The Report had been developed by assessing a wide variety of evidence including internal reports and reviews, external regulatory and inspection reports and engagement and consultation activities. The Council adopted a set of key questions or “Key Lines of Enquiry” to ensure the process was focused on outcomes, the organisation-wide view of performance and was evidence-based. Workshops were run during April with Members and Officers to evaluate current performance, the opportunities that exist for improvement and the specific actions that were intended to be taken. The findings were recorded in our Self-Assessment Matrix document which was used to help produce the Self-Assessment Report and Action plan, which was available on request. Although the Self-Assessment Report was the key output from the process the work on improving outcomes was an ongoing year-round activity. Throughout the year we conduct consultation in support of self-assessment, collated evidence to inform the workshops, delivered the actions in the Self-Assessment action plan and monitor their progress towards completion. It was important to note that the Report discharges the requirements of: • The Local Government and Elections (Wales) Act 2021 – the duty to report on performance. • The Well-being of Future Generations (Wales) Act 2015 – to set and review progress against our Corporate Well-being Objectives. • The Social Partnerships and Public Procurement (Wales) Act 2023 – to produce an annual report on how the Council was meeting its requirements under the Social Partnership Duty (mainly formal consultation with Trade Unions both local and national) It was reported that the Self-Assessment Report would be updated based on the recommendations of the Governance and Audit Committee, and the final version would be reported to its meeting on 18 December 2025. It was AGREED to note that: 1) the Committee had reviewed the Draft Self-Assessment Report, and 2) that Committee' suggested that consideration be given to reducing the size of the report by possibly providing links to the information included The committee did not make any recommendations as to the content of the self assessment report.
Decision as recorded
AGREED to note the content of the Forward Work Programme subject to noting that the date of the next Committee had been rearranged to the 27 November; as the Statement of Accounts for 2024/25 had not been completed by the deadline, therefore Audi Wales were unable to present their findings to the October meeting. The Governance Officer would circulate the new dates to Members of the Committee accordingly.
It was AGREED to note the content of the Forward Work Programme subject to noting that the date of the next Committee had been rearranged to the 27 November; as the Statement of Accounts for 2024/25 had not been completed by the deadline, therefore Audi Wales were unable to present their findings to the October meeting. The Governance Officer would circulate the new dates to Members of the Committee accordingly.
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