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RESOLVED- That the minutes of the Governance and Audit Committee held on 25 July 2022 be approved and signed as a correct record.
RESOLVED:- That the Governance and Audit Committee Forward Work Programme be approved.
RESOLVED: a) That the actual 2021/2022 Prudential Indicators be accepted. b) That the report on the Treasury Management activities for 2021/2022 be accepted.
RESOLVED: That the Corporate Plan 2017-2022 Annual Report and Self-Assessment 2021-2022 be noted.
RESOLVED: a) That the progress that had been made on recommendations and proposals for improvement included within internal and external audit reports be approved. b) That the removal of recommendations from future compliance reports be approved as the Committee is satisfied with the arrangements in place to address the recommendations included in the Conwy Audit Compliance Report.
Apologies for absence were received from Councillors John Roberts and Andrew Wood.
None.
None.
Y penderfyniad fel y'i cofnodwyd
RESOLVED- That the minutes of the Governance and Audit Committee held on 25 July 2022 be approved and signed as a correct record.
The minutes of the meeting of the Governance and Audit Committee held on 25 July 2022 were submitted for approval. RESOLVED- That the minutes of the Governance and Audit Committee held on 25 July 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.
The Governance and Audit Committee Forward Work Programme was presented. The following was discussed: • The Interim Head of Service - Audit and Procurement confirmed that a date would be allocated for the Internal Audit Peer Review once feedback had been received. • In respect of the Progress Report on the procurement process of ultra-low emission waste and recycling vehicles, a date for the report would be allocated in due course. RESOLVED:- That the Governance and Audit Committee Forward Work Programme be approved.
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RESOLVED: a) That the actual 2021/2022 Prudential Indicators be accepted. b) That the report on the Treasury Management activities for 2021/2022 be accepted.
The Principal Accountant provided Members with a presentation in relation to Treasury Management Activity and Actual Prudential Indicators for 2021-2022. The annual treasury report was a requirement of the Council’s reporting procedures and covered the treasury activity for 2021/2022. The report also covered the actual Prudential Indicators for 2021/2022 in accordance with the requirements of the Prudential Code. The following points were highlighted within the presentation: • The total capital expenditure for 2021/2022 was £42.747m. • The capital expenditure was funded from capital receipts (£4k) and capital grants (£32.976m), leaving £9.767m to be funded from borrowing. • The Capital Financing Requirement (CFR) as at 31 March 2022 was £179.056m (£173.832m at 31/03/21). - The in-year movement reflected capital expenditure in 2021/2022 of £9.767m funded from borrowing and minimum revenue provision (MRP) and voluntary revenue provision (VRP) of £6.387m. • As at 31 March, 2022 the Council’s net borrowing position was £154.124m, which was the sum of the total debt (£182.074m) less total investments (£27.950m). • There were no new Public Works Loan Board (PWLB) loans. Funding for the Capital Programme was supplied through temporary borrowing. • Interest payable was budgeted for at £6.015m with the actual being £5.946m. • MRP was budgeted at £5.208m with the actual being £6.387m. - The reason for the difference was that MRP for private finance initiatives (PFI), Coed Pella and finance leases were budgeted for as part of the rent and did not have a specific MRP budget. • As at 31 March 2022 the Council’s debt was £182.074m and the CFR was £179.056m. • As at 31 March 2022 the Council’s gross debt was £229.022m and the CFR was £226.004m. These figures include the PFI, Coed Pella and finance lease liabilities. • There was an over borrowed position of £3.018m for 2021/2022. • During 2021/2022 the Council had maintained gross borrowing within its Authorised Limit. • The Authorised Limit was £259.368m, the maximum gross borrowing was £232.551m, the average gross borrowing was £215.544m, and the minimum gross borrowing was £203.271m. • The Operational Boundary was £249.368m. • As at 31 March 2022, the Council had invested £27.950m. • Investment balances were maintained at a minimum of £10m to meet the criteria for MIFID II and to remain in the professional investor category. • As interest rates were low investment Income had been projected at £0, however £22,851 was achieved. Members discussed the following: • It was queried as to how often CCBC’s (Conwy County Borough Council) contract with Arlingclose (Treasury Advisor) was reviewed. - In response, the Principal Accountant advised that the contract had previously been for 3 years. Up to date information would be sought and shared with Members. • Clarification was sought in respect of benchmarking in relation to prudential indicators. - In response, the Principal Accountant advised that Arlingclose carried out benchmarking on behalf of the authority. • It was queried as to why CCBC did not borrow to the maximum capacity in order to benefit from low interest rates. - In response, the Principal Accountant advised that CCBC did not want to risk breeching borrowing limits and did not want to incur any unnecessary interest. • It was queried as to whether a reduction in authorised limits was likely to continue. - In response, the Principal Accountant advised that the authorised limit was based on the CFR which had been overestimated for 2021/2022. - The authorised limit was based on capital spend as opposed to affordability. - The Strategic Director – Finance and Resources confirmed that indicators were set out within the Chartered Institute of Public Finance and Accountancy (CIPFA) Prudential Code. - Affordability was set out within Appendix 2 of the Report (net revenue stream). • Reference was made to Thurrock Council who faced enquiries in relation to their debt levels. It was queried as to whether there were any implications for CCBC? - In response, the Principal Accountant advised that CCBC had been advised against investing with Thurrock Council. - The Strategic Director – Finance and Resources explained that Thurrock Council had entered into commercial activity in order to generate revenue streams and had borrowed a significant amount of money. - CCBC had not persued any significant commercial activity. - Although there was no risk to CCBC, the outcomes of the review would be taken into account. • Assurance was sought in respect of governance and internal checks during a time of financial uncertainty. - In response, the Strategic Director Finance and Resources advised that CCBC had an investment strategy in place and that investments were only made with AA rated banks and building societies. - Investments were generally made with the Debt Management Office (DMO). - CCBC only invested within the UK. • It was queried as to what impact the lack of stability within central Government would have on investments and borrowing. - In response, the Strategic Director Finance and Resources advised that most of CCBC’s borrowing was short term. - Volatility would impact on the cost of borrowing and interest rate rises would have revenue implications. - There would be no impact on the potential to borrow and invest. • The Cabinet Member for Finance, Revenue and Benefits felt that CCBC had a robust approach to Treasury Management. • Thanks and well wishes were extended to Sandra Forrest (Head of Accountancy and Exchequer) who had recently retired. RESOLVED: a) That the actual 2021/2022 Prudential Indicators be accepted. b) That the report on the Treasury Management activities for 2021/2022 be accepted.
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RESOLVED: That the Corporate Plan 2017-2022 Annual Report and Self-Assessment 2021-2022 be noted.
The Corporate Performance and Improvement Manager presented Members with the Corporate Plan 2017-2022 Annual Report and Self-Assessment 2021-2022. The purpose of the Annual Report was to provide a summary of the progress Conwy County Borough Council (CCBC) had made in 2021/2022 to deliver the Corporate Wellbeing Objectives set out in the Corporate Plan 2017 - 2022. The following points were highlighted: • CCBC complied with legislative requirements through the development, approval and implementation of a 5 year Corporate Plan, 2017-2022. • The Corporate Plan had 8 long term citizen outcomes, which were aligned to the 7 well-being goals set out in the Well-being of Future Generations (Wales) Act 2015. • Each citizen outcome was supported by a series of actions and measures, which were monitored every six months. • The report was written at a time when all Covid restrictions had been removed, however, Covid was still prevalent within the community and the impact on service delivery and staff wellbeing continued to be monitored and managed. • The Annual Self-Assessment (included as an Appendix to the report) assessed the extent to which CCBC was able to positively answer the following 3 statutory questions: Ø Is the Council exercising its functions effectively? Ø Is the Council using its resources economically, efficiently, and effectively? Ø Does the Council have effective governance in place for securing the above? - Where gaps in performance were identified, a review was undertaken. Those areas not already being addressed were formulated into the improvement action plan which was included within the self-assessment report. • Reference was made to key achievements during the reporting period, which were included within the Annual Report. • Areas to be focused on were highlighted including improving completion of safeguarding training and community engagement. • In respect of carbon emissions, figures had increased as comparisons had been made to previous years when emissions were lower than usual due to covid lockdowns. • Improvement actions had been identified as part of the self-assessment to further improve the effectiveness and efficiency of how the Council operated. Members discussed the following: • Concern was raised in respect of completion rates for staff safeguarding training and it was queried whether the training was mandatory. - In response, the Corporate Performance and Improvement Manager confirmed that the training was mandatory. - In respect of Schools, the ‘Keep Learner’s Safe’ training was an equivalent course but had not been included within completion rates. - Completion rates were monitored. - Some staff had completed the initial training but were yet to complete refresher training. • The report referred to Elected Members and their responsibilities, it was queried whether the same requirements would apply to Lay Members? - In response, the Corporate Performance and Improvement Manager advised that she would seek advice from the Head of Law and Governance and, if appropriate, would amend the report accordingly. • An update was requested in respect of the Medium Term Financial Strategy. - In response, the Strategic Director – Finance and Resources advised that the Strategy was currently being produced and would be presented to Democracy in due course. • Issues surrounding recruitment and retention were raised as a concern. - In response, the Corporate Performance and Improvement Manager advised that recruitment had been identified as a corporate issue and that a Corporate Recruitment Project had been established. - A People Strategy was being drafted in respect of recruitment and retention. • It was queried whether any of the identified risks within the Annual Report were a duplication of those highlighted within the Corporate Risk Register. - In response, the Corporate Performance and Improvement Manager advised that areas of focus were addressed by either the Annual Plan or the Corporate Risk Register. • Concern was raised in relation to internal controls and governance and the ability to be nimble when dealing with change. - In response, the Interim Head of Audit and Procurement advised that training would be provided to members of the Committee in respect of the Assurance Map. - The Head of Corporate Improvement and HR advised that CCBC had reacted quickly to issues that arose during the pandemic. - Meeting were taking place in respect of local issues, all Wales issues and UK wide issues. - Risk Registers were in place and Audit Wales were invited to review and challenge identified risks. RESOLVED: That the Corporate Plan 2017-2022 Annual Report and Self-Assessment 2021-2022 be noted.
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RESOLVED: a) That the progress that had been made on recommendations and proposals for improvement included within internal and external audit reports be approved. b) That the removal of recommendations from future compliance reports be approved as the Committee is satisfied with the arrangements in place to address the recommendations included in the Conwy Audit Compliance Report.
The Corporate Performance and Improvement Manager presented a report on progress made on recommendations made within external regulatory reports. The purpose of the report was to provide assurance to the Governance and Audit Committee that progress on recommendations made by internal and external auditors were being monitored, progressed and reported adequately. The following points were highlighted: • Recommendations were reviewed as part of the Service Performance Review process that took place during June and July 2022. • In respect of implementing recommendations, where little progress had been made, action plans were escalated to the Improvement and Audit Group and Strategic Leadership Team. • For internal audits which resulted in a ‘limited’ or ‘no assurance’ opinion, a follow up audit was undertaken and reported to the Governance and Audit Committee. • A number of recommendations had been proposed for removal, these recommendations were highlighted within the Conwy Audit Compliance Report (included at Appendix 1 of the report). Members discussed the following: • It was queried whether any recommendation due dates had been amended. - In response, the Corporate Performance and Improvement Manager advised that some had been extended due to the long term impact of the pandemic. - Reasons for extending due dates were recorded within the ‘progress column’ within the Conwy Audit Compliance Report. - Immediate risks were managed accordingly. • Concern was raised in respect of the proposed removal of Audit Recommendation FN01-01 (Managers need to ensure opportunities to support carers are not missed or delayed and the personal outcomes the carers wanted to achieve are identified and recorded). - In response, the Strategic Director – Social Care and Education advised that the recommendation was from an external report and that mechanism were now in place to address the issues. • Further information was sought in respect of Audit Recommendation FN01-01 (the Council must ensure that is it applying appropriate criteria within its financial assessment for residential and nursing care). - In response, Gwilym Bury (Audit Wales) advised that each Local Authority were expected to produce their own application form. - Conwy County Borough Council (CCBC) had mistakenly requested incorrect information in respect of assets, however, this was quickly amended. - The Strategic Director – Finance and Resources advised that no ‘all Wales’ form was in place, however, CCBC liaised with other Local Authorities. • Concern was raised in relation to Audit Recommendation MCP 1 (Programme of Training on implementation of CCBC Project Management Framework) as issues with the Mochdre Commerce Park site were ongoing. - Concern was raised that the Mochdre Commerce Park Project Board had not met since the beginning of the new administration in May 2022. - In response, the Strategic Director – Finance and Resources confirmed that the recommendation to be removed related to general project management arrangements, which included lessons learnt from Mochdre Commerce Park. - Gwilym Bury (Audit Wales) advised that a follow up Audit was being carried out in respect of project management arrangements and a report would be presented to the Governance and Audit Committee in due course. - The Head of Audit and Procurement advised that, as far he was aware, an internal Audit in respect of Project Management had not been carried out within the last few years. - The Head of Corporate Improvement and HR advised that governance arrangements were in place and that the Conwy Opportunities Board had oversight of all projects and programmes. - A project and programme management forum had been established which was utilised to share good practice and lessons learnt. - Relevant staff received project and programme management training. - Reference was made to project management issues that had arisen in respect of the gypsy and traveller site at Back Bangor Lane, Conwy. - In response, the Strategic Director – Finance and Resources advised that a checklist had been implemented since the traveller site and Mochdre Commerce Park projects. - Project Management training had been arranged for Members in November, 2022 which may be of benefit to Lay Members of the Governance and Audit Committee. - The Cabinet Member for ERF – Neighbourhood and the Environment provided assurance that project management in respect of the Mochdre Project was now managed appropriately. - The Cabinet Member for Finance, Revenue and Benefits advised that meetings were taking place in respect of ongoing issues relating to the Mochdre Commerce Park site and that options would be presented to Members via the democratic process in due course. Whilst Councillor Paul Luckock made the following proposal, following further debate, Cllr Luckock withdrew the proposal. That removal of Audit Recommendation MCP 1 (Programme of Training on implementation of CCBC Project Management Framework) be deferred until after publication of Audit Wales’ follow up report. RESOLVED: a) That the progress that had been made on recommendations and proposals for improvement included within internal and external audit reports be approved. b) That the removal of recommendations from future compliance reports be approved as the Committee is satisfied with the arrangements in place to address the recommendations included in the Conwy Audit Compliance Report.
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