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RESOLVED- That the minutes of the Governance and Audit Committee held on 20 June, 2022 be approved and signed as a correct record.
RESOLVED:- That the Governance and Audit Committee Forward Work Programme be approved, subject to the amendments highlighted above.
RESOLVED: That the Internal Audit Performance report for 1 April 2022 to 30 June 2022 be noted.
RESOLVED: (a) That the Welsh Government Ultra-low Emission Waste and Recycling Vehicles Project report be noted. (b) That a further detailed update report on the procurement process of ultra-low Emission Waste and Recycling Vehicles and clarification on various other matters raisedbe presented to the Governance and Audit Committee in 4-6 months’ time.
RESOLVED: That the response to Audit Wales, in relation to the enquires to those charged with governance, be approved.
RESOLVED: (a) That the above amendments be made as part of the review of the draft Annual Governance Statement for 2021/2022 and the accompanying Local Code and Governance Framework and that an amended version be presented for approval as part of the Statement of Accounts. (b) That, for a trial period only, an email be circulated with a link to the draft Governance and Audit Committee minutes when they are published.
RESOLVED: (a) That the Governance and Audit Committee endorse the external regulatory reports and accompanying action plans responding to recommendation and proposals for improvement. (b) That an update report and action plan on Experiences of Peer on Peer sexual harassment in education settings (Estyn Review) be presented to a future meeting of the Governance and Audit Committee (c) That the Experiences of Peer on Peer sexual harassment in education settings be incorporated into the established audit of schools review in order to provide further reassurance.
RESOLVED: That the Corporate Compliments and Complaints Annual Report for the period 1 October 2021 - 31 March 2022 be noted.
Apologies for absence were received from Councillor Chris Cater, Sandra Forrest (Head of Accountancy and Exchequer) and Amanda Hughes (Strategic Director Finance and Resources).
None.
None.
Y penderfyniad fel y'i cofnodwyd
RESOLVED- That the minutes of the Governance and Audit Committee held on 20 June, 2022 be approved and signed as a correct record.
The minutes of the meeting of the Governance and Audit Committee held on 20 June, 2022 were submitted for approval. In respect of Minute 77 (Internal Audit Annual Report 2021/2022), the Chair advised that a most informative meeting had taken place to discuss Fleet Services (Plant) with the Head of Environment, Roads and Facilities, the Audit Manager (Systems and Compliance) and the Vice Chair of the Governance and Audit Committee. In respect of Minute 78 (Internal Audit Charter and Annual Plan 2022/2023), Councillor Luckock informed Members that he had met with the Cabinet Member for Education and the Service Manager, to discuss concerns and seek reassurance regarding tribunals relating to children and young people with additional learning needs (ALN) and associated financial implications for the Council. RESOLVED- That the minutes of the Governance and Audit Committee held on 20 June, 2022 be approved and signed as a correct record.
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RESOLVED:- That the Governance and Audit Committee Forward Work Programme be approved, subject to the amendments highlighted above.
The Governance and Audit Committee Forward Work Programme was presented. · The Strategic Director - Finance and Resources had received confirmation from Audit Wales that the Statement of Accounts would not be audited in time for the September, 2022 Committee Meeting. As a consequence, a special meeting may be necessary at the end of October, 2022, as the November meeting was very close to the deadline for the submission of accounts. · The External Peer Review of Internal Audit, scheduled for consideration at the September 2022 meeting, was unlikely to be completed before the end of the summer, due to Regional Internal Audit Partnership workloads. The amended timing of the item would be confirmed. · Officers reassured the Committee that the number of agenda items was monitored. However, on occasion, due to statutory requirements it was not always possible to limit the number of agenda items to be considered at any one meeting. RESOLVED:- That the Governance and Audit Committee Forward Work Programme be approved, subject to the amendments highlighted above.
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RESOLVED: That the Internal Audit Performance report for 1 April 2022 to 30 June 2022 be noted.
The Audit Manager (Systems and Compliance) presented a report on the Internal Audit Performance 1 April, 2022 to 30 June, 2022. The Head of Audit and Procurement Services was required to present a report to the Committee on the Internal Audit Service’s progress and performance on a regular basis. Members of the Committee were requested to consider and provide comment on the assurance provided regarding the progress and performance of the Service. In relation to the staffing structure of the service temporarily reduced from 7.2 officers (FTE) to 6.4 officers (FTE) as a consequence of the Head of Audit and Procurement’s sickness absence, assurance was sought that this shortfall would be resolved quickly to ensure shortly to ensure any absences did not impact on the Service, and the capacity to work through the Annual Work Programme. In response, the Interim Head of Audit and Procurement assured Members that the role of Head of Service was strategic and would, therefore, not impact on the day to day running of the Service in the short term. In addition, the Strategic Director Finance and Resources, in consultation with the Senior Employment Committee, were currently reviewing the position. However, it was noted that no timescale for resolution was available. In terms of the outstanding issues in relation to Direct Payments, the Head of Integrated Adult and Community Services provided an update on the recent work/mapping exercise undertaken to restructure the Team, in order to support the work. The Team had worked incredibly hard through the pandemic, and whilst it was acknowledged some processes were delayed, as a consequence of capacity and the pandemic, it was hoped a new dedicated manager would be appointed, on conclusion of the re-structure process, by late summer, 2022. In relation to CA0006 – Highway Improvement Works, Conwy, the Chair queried the Contract Final Account and the associated variations. It was agreed that clarification would be provided subsequent to the meeting. RESOLVED: That the Internal Audit Performance report for 1 April 2022 to 30 June 2022 be noted.
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RESOLVED: (a) That the Welsh Government Ultra-low Emission Waste and Recycling Vehicles Project report be noted. (b) That a further detailed update report on the procurement process of ultra-low Emission Waste and Recycling Vehicles and clarification on various other matters raisedbe presented to the Governance and Audit Committee in 4-6 months’ time.
The Principal Accountant, together with the Waste Manager, presented a report on the scheme to introduce Electric Powered RRV (Resource Recovery Vehicles) to Conwy County Borough Council (CCBC), as part of the Welsh Government (WG) project to transition to zero or ultra-low emission waste and recycling vehicles across all 22 Welsh Local Authorities by 2030, replacing all the diesel fleet vehicles. CCBC had been allocated £1.26m in grant funding for 7 vehicles in 2020/2021 and a further allocation of £1.08m in 2022/2023 for another 6. The WG were contributing 53% (£180k) towards the cost of the new vehicles, with the remaining funding to come from the Vehicle and Plant Replacement Programme, which was part of CCBC’s Capital Programme. The cost of an Electric Powered RRV was estimated to be around £340k and the cost of a similar diesel vehicle was £160k. The electric vehicles would be replacing existing vehicles, as and when they came to the end of their useful life. Fuel savings per annum per vehicle were reported to be between 15k and £16k. Members welcomed the planned transition of electrification of CCBC’s fleet and went on to discuss the following: · A Member of the Committee expressed disappointment that the report failed to mention projected residual values, vehicle battery life details and running costs. In response, the Waste Manager advised that, as it was the first vehicle, it was difficult to project its residual value at end of life. However, diesel projected life span was approximately 8 years, with often no residual value at the end of life. · Workshop requirements and staff training in order to transition over to electric vehicles across CCBC’s fleet was highlighted as a matter to be clarified as part of the next planned update to the Committee. · Further information was sought in terms of the procurement process e.g. the size of the market and suppliers. The Waste Manager advised that it was a developing market, with options to convert existing diesel powered vehicles to electric. Further information on such matters would be provided as part of the next update. · New vehicles were being developed and the need for them to perform at a high level in terms of resilience and transition was highlighted. In response, the Waste Manager advised that the grant funding was available over a 3 year period, which would in turn assist with procurement. · In respect of savings reported, Members were advised that the savings were for front line vehicles and were reflective of what they would deliver. · The transition from an operation perspective - the fleet needed replacing, but reliability was foremost, particularly with waste collections. Collaboration – was there an opportunity to collaborate and develop a procurement framework for such vehicles, if other Local Authorities were facing similar issues. Whilst it was acknowledged that there was potential for a framework to be developed, it was noted that other Local Authorities were replacing their fleets at different times and/or had rolling procurement contracts. · In terms of the procurement process and, in order to provide assurance to Members, it was proposed and seconded that a further update report be presented in 4-6 months’ time. · The need to promote CCBC’s new electric vehicles via a press release and or social media was highlighted. RESOLVED: (a) That the Welsh Government Ultra-low Emission Waste and Recycling Vehicles Project report be noted. (b) That a further detailed update report on the procurement process of ultra-low Emission Waste and Recycling Vehicles and clarification on various other matters raisedbe presented to the Governance and Audit Committee in 4-6 months’ time.
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RESOLVED: That the response to Audit Wales, in relation to the enquires to those charged with governance, be approved.
As part of the annual audit of the Council’s Statement of Accounts, Audit Wales sought documented consideration and understanding on a number of governance areas relevant to their audit (Appendix 1). Audit Wales made enquiries both to management and to those charged with governance. Appendix 2 detailed both the planned response by management and those charged with governance, in addition to the previous year’s response. In considering the proposed response, Members made reference to the following: • It was suggested that Code of Conduct training for new Councillors should be widened to include Lay Members. In response, the Interim Head of Audit and Procurement advised that a self-assessment exercise, for all Members of the Governance and Audit Committee, would be taking place in November 2022, in order to identify any gaps in training. • Learning from others - assurance was sought that Local Authorities shared experiences and learned from one another. In response, the Interim Head of Audit and Procurement advised that the service regularly met with other Local Authorities in order to share experiences and gain an understanding of systems and controls. RESOLVED: That the response to Audit Wales, in relation to the enquires to those charged with governance, be approved.
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RESOLVED: (a) That the above amendments be made as part of the review of the draft Annual Governance Statement for 2021/2022 and the accompanying Local Code and Governance Framework and that an amended version be presented for approval as part of the Statement of Accounts. (b) That, for a trial period only, an email be circulated with a link to the draft Governance and Audit Committee minutes when they are published.
The Corporate Performance and Improvement Manager presented the Draft Annual Governance Statement (AGS) and accompanying Local Code, Governance Framework and AGS Action Plan 2021/2022 for approval. The AGS recommendations detailed the actions to be undertaken during 2022/2023 to address areas of improvement identified in the self-assessment. The following points were highlighted: · Corporate governance arrangements · Sources of assurance for the evaluation · Review of effectiveness · Key governance self-assessment · Performance management · Barriers to achievements · Supporting the delivery of objectives · What was done well and what could be done better · Governance issues – whilst there were no significant governance issues, via CCBC’s governance procedures and being aware of managing risks and issues, after a process of self-evaluation to review effectiveness, the following actions had been identified: o Continue developing a medium term financial strategy. o Complete the review of the People Strategy. o Assess the benefits of the Renewal Programme to determine their effectiveness. o Continue to support the new administration as they develop their knowledge and understanding of the Constitution, and supporting governance arrangements. o Work to support the Leader and the Council to recruit a new Chief Executive. o Develop a procurement strategy. Members of the Governance and Audit Committee were asked to review the draft Annual Governance Statement for 2021/2022 and the accompanying Local Code and Governance Framework. In considering the report, Members made reference to the following: · In relation to community engagement, the Corporate Performance and Improvement Manager advised on the methods of engagement undertaken, taking into account the challenges faced by the pandemic. · It was noted that the Medium Term Financial Strategy would expire in 2022. A Member of the Committee questioned when would the new Medium Term Financial Strategy forecast be complete? The Corporate Performance and Improvement Manager advised that a draft Medium Term Financial Strategy would be presented to democracy in early autumn, 2022. • A Member of the Committee suggested a summary of the Governance and Audit Committee decisions, beneficial to both Members of the Committee and members of the public, should be produced and circulated 24 hrs after each meeting. Following a lengthy debate, taking into account current practices and resources, it was proposed and seconded that, for a trial period, an email be circulated with a link to the draft minutes when they were published. · CI 14 – Welsh Government proposals to remove priority need and intentionality for homelessness and the pressures faced by the service as a consequence was questioned, together with what could be done better / what required focus. In response, the Corporate Performance and Improvement Manager advised that through Service Performance Reviews (SPRs) such matters were monitored. · The process behind monitoring the Action Plan –Members were informed that if the Action Plan was supported by the Committee, implementation dates would be agreed and closely monitored and tracked by the Improvement and Audit Group. • Reference was made to tidal energy and whether the Working Group formed during the last administration, to create a focus on tidal energy could be re-established. RESOLVED: (a) That the above amendments be made as part of the review of the draft Annual Governance Statement for 2021/2022 and the accompanying Local Code and Governance Framework and that an amended version be presented for approval as part of the Statement of Accounts. (b) That, for a trial period only, an email be circulated with a link to the draft Governance and Audit Committee minutes when they are published.
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RESOLVED: (a) That the Governance and Audit Committee endorse the external regulatory reports and accompanying action plans responding to recommendation and proposals for improvement. (b) That an update report and action plan on Experiences of Peer on Peer sexual harassment in education settings (Estyn Review) be presented to a future meeting of the Governance and Audit Committee (c) That the Experiences of Peer on Peer sexual harassment in education settings be incorporated into the established audit of schools review in order to provide further reassurance.
The Corporate Performance and Improvement Manager presented a report on External Regulatory final reports recently issued by External Regulators, together with the action plans responding to the recommendations or proposals for improvement made within the report. The regulatory reports presented were as follows: Experiences of Peer on Peer sexual harassment in education settings (National Report). ESTYN undertook a national review between September 2021 and October 2021 visiting at least one secondary school in every Local Authority across Wales. The final report was published in December, 2021 and an action plan had been developed by Conwy County Borough Council (CCBC) to respond to the recommendations made by ESTYN. All secondary schools in Conwy County had been provided with copies of the report and were advised to take responsibility for responding, reporting and monitoring their recommendations. In considering the report, Members made reference to the following: · The approach in terms of secondary schools being responsible for responding, reporting and monitoring the recommendations concerning Experiences of Peer on Peer sexual harassment in education settings. In response, the Education Health and Wellbeing Officer advised and assured Members that the focus was on a ’whole school approach’, supported by professional learning communities made up of key teaching leads and trusted partner organisations. Communication platforms had been established to provide guidance and support and to share evidenced based resources to support schools in raising awareness and implementing the actions from the report. The importance of evidencing and tracking the pathway and what actions were being taken was highlighted. Some Members felt that the action plan was not rigorous enough and, as a consequence, proposed a further report detailing evidence of what matters were being progressed. Supporting, sign posting, tracking pathways for victims, survivors and perpetrators was considered vital. Together with the need for targeted intervention and working with key agencies to ensure the vulnerable were able to access the support available. The need for a consistent approach across all schools, together with the sharing of data/information and safeguarding briefings to all teaching staff was considered vital. In order to provide some assurance, the Interim Head of Service – Audit and Procurement suggested incorporating the review into the established audit of school reviews. Working with the Third Sector – Conwy County Borough Council (CCBC) (Local Report). Audit Wales undertook a review on third sector working as part of their 2020-2021 Audit Plan. The review took place during June and July 2021, the work was delayed due to the demands CCBC faced in 2020 – 2021 during the Covid pandemic. The final report was published in December, 2021 where it was concluded that “The Council does not always work in line with its stated vision for the third sector and does not know if all contracts are delivering value for money; however, the Council has an opportunity to develop its vision for future work with the third sector by building on positive experiences gained during the pandemic.” Recommendations had been included as part of the report and an action plan had been developed to respond to the recommendations. The report and action plan were included as part of the appendices to the Committee report. In considering the report, Members made reference to the following: In terms of Working with the Third Sector – (local report), the Audit Lead (Gwilym Bury) advised that, whilst Covid had impacted on the Third Sector, there was now an opportunity, coming out of the pandemic, to build on the relationships formed during the pandemic. Whilst in the past working with the Third Sector was on occasion fragmented and largely contractual, the Action Plan now set out ways to improve such arrangements. In addition, the Chief Executive stated that there was a whole range of Third Sector partners/organisations, which CCBC were committed to working alongside and, as a consequence, the Strategic Leadership Team had proposed to seek to cover such arrangements through the Procurement Strategy. Members were also assured that meetings took place regularly with the Third Sector and representatives of Community and Voluntary Support Conwy. Direct Payments to Adult Social Care (National Report). Audit Wales undertook a review of Direct Payments for Adult Social Care. The review sought to answer the following key question, “Are Direct Payments an effective and efficient and economical way of providing care for adults in need?” The final report was published in April 2022 where it was concluded that, “Direct Payments support people’s independence and are highly valued by service users and carers, but inconsistencies in the way they are promoted and managed by local authorities mean services are not always equitable and it is difficult to assess overall value for money.” Recommendations were included as part of the report and an action plan had been developed to respond to the recommendations. In considering the regulatory report, Members discussed the following: · Clarity was sought in terms of what qualified in CCBC as a Direct Payment (DP), as their appeared to be inconsistency across Local Authorities in Wales. In response, the Head of Integrated Adult and Community Services advised that during the pandemic, Local Authorities had seen a steep incline in the request for DPs. As Direct Payments varied across Wales, CCBC were currently reviewing examples from different Local Authorities, with a view to developing a model suitable for Conwy. • Promoting the DP eligibility criteria and services within CCBC and offering choice was highlighted. In response, Members were informed that, whilst the uptake of DPs was historically low, with people opting for more traditional services, giving people a choice and making the process less cumbersome was acknowledged. • Discussion also arose regarding advocacy services. In response, Members were informed that a review of advocacy, a provision currently commissioned externally, was underway. Whilst Members were supportive of the accompanying action plans noted against the three reports, a further report in response to the Experiences of Peer on Peer sexual harassment in education settings (Estyn Review) was requested. Whilst Members were supportive of the accompanying action plans noted against the three reports, a further report in response to....was requested RESOLVED: (a) That the Governance and Audit Committee endorse the external regulatory reports and accompanying action plans responding to recommendation and proposals for improvement. (b) That an update report and action plan on Experiences of Peer on Peer sexual harassment in education settings (Estyn Review) be presented to a future meeting of the Governance and Audit Committee (c) That the Experiences of Peer on Peer sexual harassment in education settings be incorporated into the established audit of schools review in order to provide further reassurance.
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RESOLVED: That the Corporate Compliments and Complaints Annual Report for the period 1 October 2021 - 31 March 2022 be noted.
The Head of Regulatory and Housing Service provided Members with a review and analysis of the compliments and complaints received Corporately (excluding Social Care) during the half year 1 October 2021 to 31 March 2022. During the 6 months, 191 compliments and 146 complaints had been recorded centrally. In addition, the Head of Regulatory and Housing Service informed Members that the last sentence in paragraph 4.8 of the report had been included in the report in error. Members welcomed the informative report and went on to discuss the following: · Complaints procedure and timescales · Democratic reporting process RESOLVED: That the Corporate Compliments and Complaints Annual Report for the period 1 October 2021 - 31 March 2022 be noted.
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