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The decisions as the council's minutes record them. A plain-language summary follows once it has been written.
RESOLVED to approve the minutes of the meeting held on 19th September 2024 as an accurate record.
RESOLVED: 1. To note the update.
RESOLVED: 1. To note the update.
RESOLVED: 1. To note the content of this report and the Social Services Representations and Complaints Procedures Annual Report for 2023/24; 2. To consider whether they wish to scrutinise in greater depth any matters contained in the report; 3. To note the work undertaken by the Customer Feedback, Engagement and Complaints Team; 4. To form a view on the Authority’s ability to handle complaints effectively; and 5. To receive a further update on the work undertaken by service areas to support families, following a rise in finance related complaints in respect of delays in assessments and lack of clarity around charges for care and services.
RESOLVED: 1. To note the content of the report, the Customer Feedback Scheme (CFS) Annual Report for 2023/24 and the work undertaken by the Customer Feedback, Engagement and Complaints Team. 2. To consider whether they wish to scrutinise in greater depth any matters contained in the report. 3. To form a view on the Authority’s ability to handle complaints effectively.
RESOLVED: 1. To consider and note the 2023-2024 Public Services Ombudsman for Wales’ Annual Report and Annual Letter to this Council. Note: County Borough Councillor G Hopkins left the item during the discussion of this item.
RESOLVED: 1. To review the content of the report and seek assurance that recommendations made by the Internal Audit Service are being implemented within agreed timescales.
RESOLVED: 1. To note the overview of the Council’s risk management arrangements and identify any areas where further information, training or clarity is required; and 2. To review the Council’s updated Strategic Risk Register 2024/25, in line with the Committee’s Terms of Reference, and determine whether it provides the required level of assurance on the arrangements in place to manage the Council’s strategic risks.
The Chair welcomed attendees to the meeting and apologies for absence were received from Mr J Roszkowski and County Borough Councillors A Ellis and R Bevan.
In accordance with the Council’s Code of Conduct, there were no declarations made pertaining to the agenda.
Decision as recorded
RESOLVED to approve the minutes of the meeting held on 19th September 2024 as an accurate record.
It was RESOLVED to approve the minutes of the meeting held on 19th September 2024 as an accurate record.
Decision as recorded
RESOLVED: 1. To note the update.
The Service Director of Finance and Improvement Services advised Members that the Annual Performance Self-Assessment report, which was presented to the Governance and Audit Committee on 19th September 2024 would be presented to Full Council at its meeting on 6th November 2024. Members were informed that there had been no changes to the report presented to the Governance and Audit Committee and that subject to approval by Full Council, the final document would be emailed to Committee Members for their information. The Governance and Audit Committee RESOLVED: 1. To note the update.
Decision as recorded
RESOLVED: 1. To note the update.
Audit Wales provided the Committee with a work programme update for the second quarter of the year, which covered the positions in respect of the Annual Audit Summary; financial audit work; performance audit work; Local Government national studies planned / in progress; other Regulators; Audit Wales national reports and other outputs published since September 2023 / work in progress / planned; and Good Practice Exchange events and resources. In terms of the on-going financial audit work, it was reported that the audit of the Statements of Accounts for both the Council and the Pension Fund would be reported to November’s Full Council meeting. In terms of the audit of the Central South Consortium Statement of Accounts, this had been completed and reported to the October 2024 Joint Committee meeting. Audit Wales fed back that the Council, Pension Fund and Central South Consortium Statements of Accounts were of high quality. Moving onto the Performance audit work detailed within the report, Audit Wales acknowledged Members’ questions at the last Committee meeting in relation to the Unscheduled Care review. Audit Wales advised that colleagues were progressing the compilation of the report and obtaining the necessary clearances as part of the finalisation process, and the report would be shared with the Committee as soon as possible. In terms of the 2023-2024 audit work, Audit Wales reported that the thematic review into Commissioning was at the drafting report stage and, in respect of the Financial Sustainability review, Audit Wales informed the Committee that the Rhondda Cynon Taf Council report had been published and that a national summary report across all Councils in Wales was due in the third quarter. In respect of the 2024-2025 Performance audit work detailed within the report, Audit Wales informed Members that they would shortly be undertaking the fieldwork for the Assurance and Risk Assessment area and for the Well-being Objective Setting local project, the fieldwork had been completed and a report was in the process of being drafted. Members were then referred to the Local Government National Studies contained within the report. Audit Wales reported that the Temporary Accommodation fieldwork was underway and a scoping exercise was scheduled for the Capital Planning in Local Government review. Following questions at the last Committee meeting in respect of the Financial constraints/discretionary Local Government Services study, Audit Wales advised Members that it is anticipated the review would be revised to focus on children’s services, this being informed by consultation with the relevant bodies, and would be confirmed in due course. One Member took the opportunity to thank Audit Wales and Council Officers for their good work, which had been highlighted within the report and the update. One Member raised concerns around winter and social care pressures and asked if Audit Wales could provide an indication of any emerging findings from the review into Unscheduled Care. The Audit Wales officer acknowledged the Member’s concern and advised that he would report back any available updated findings to the next Committee meeting. Referring to the Local Government study into Temporary Accommodation, the Member questioned if the planning process had been taken into account as part of the audit work. The Audit Wales officer advised that he would relay the Member’s feedback to the Audit Wales officers undertaking the review. One Member requested a view from Audit Wales on the adequacy of the Council’s work, whether there were any gaps in terms of risks and if Audit Wales had confidence in the Council to address any emerging issues. Audit Wales spoke positively of their constructive relationship with the Council, which includes regular dialogue. It was explained that Audit Wales conduct their assurance and risk assessment work throughout the year, enabling on-going engagement with the Senior Leadership Team on review findings and comparing views on key risks. Audit Wales also spoke of its close work with regulators, CIW and Estyn, to bring together a broader picture of the Council’s arrangements. The Vice Chair raised the point that the links within the report were inaccessible, and assurance was provided that the issue would be rectified by Council officers. The Chair thanked Audit Wales and the Committee RESOLVED: 1. To note the update.
Decision as recorded
RESOLVED: 1. To note the content of this report and the Social Services Representations and Complaints Procedures Annual Report for 2023/24; 2. To consider whether they wish to scrutinise in greater depth any matters contained in the report; 3. To note the work undertaken by the Customer Feedback, Engagement and Complaints Team; 4. To form a view on the Authority’s ability to handle complaints effectively; and 5. To receive a further update on the work undertaken by service areas to support families, following a rise in finance related complaints in respect of delays in assessments and lack of clarity around charges for care and services.
The Service Director for ICT and Digital Services and the Engagement and Complaints Manager provided the Governance and Audit Committee with an overview of the operation and effectiveness of the Council’s statutory Social Services complaints procedure between 1st April 2023 and 31st March 2024. The report contained information on the background of the Social Services statutory complaints procedure, information on lessons learnt from complaints and performance data for Adults and Children’s Social Services, together with achievements for 2023/24 and future developments. Members were referred to Appendix 1, which provided a detailed analysis about the number and nature of complaints and compliments for 2023/24 and the service areas where they were made. One Member commented that he was pleased to note that most of the complaints made to the Local Authority were dealt with at an early stage. The Member noted that of the Stage 1 complaints that were received across both service areas, 43.54% (64) were responded to within statutory timescales which was a decrease from 45% in 2022/23 and questioned if any action was being taken. The Engagement and Complaints Manager stated that there had been an increase in complex complaints received and explained that in some cases, it was not possible to provide a response within the statutory timescales. Furthermore, it was explained that part of the statutory requirement on complaint handling meant that the complainant should receive a face-to-face meeting or telephone call in the first ten days, with complainant requirements in specific instances also impacting on timescales. One Member took the opportunity to praise the recent Elected Member and Lay Member Complaints Process training session delivered by the Ombudsman, which she described as invaluable. In terms of the report, the Member was pleased to note the overall number of compliments received and that of the 21 complaints made to the Public Services Ombudsman, there were no Ombudsman investigations with all complaints being closed or directed back to the Council for resolution. The Member then noted the increase in complaints received for the Complex Learning Disability Team and questioned if there were any underlying reasons for the increase such as resource issues. The Engagement and Complaints Manager advised that there were no identifiable themes arising from the complaints made to the Learning Disability Team but acknowledged that there had been changes made to the supported living arrangements that may have been a factor. The Committee then raised concerns about the increase of complaints in relation to financial issues and noted that in many cases families were unclear of the process. The Members noted that there had been an increase in complaints received due to a lack of information/communication from 2022/23 to 2023/24. Members emphasised the importance of communication to allay fears, particularly in relation to finances in the current financial climate, and was an area the Committee requested further updates on to ensure services are learning from the complaints received. In response, the Engagement and Complaints Manager explained that financial themes had been identified, whereby clients were left confused when attempting to fill out payment forms, which had resulted in delays. As a result, a process had been put in place to ensure teams were providing financial fact sheets to families and to check in and provide additional support, if the forms were not returned at the appropriate time. However, it was recognised that the complexities of the area meant that there was potentially a knowledge gap for social care staff in terms of the financial aspect. In terms of the general trend of complaints received due to a lack of information/communication, the officer emphasised that often, families are supplied with appropriate information but recognised that it was a stressful situation for them. The Committee was assured that clear information with regards to process is then provided back to the complainant within the Council’s response. One Member took the opportunity to speak of his personal situation, whereby he commended the service area for their work. In response to the Committee’s concerns in relation to the increase in finance related complaints, the Chair suggested a further recommendation, in addition to the four contained within the report, to receive a further update on the work undertaken by service areas to support families, following a rise in finance related complaints in respect of delays in assessments and lack of clarity around charges for care and services, to which the Committee were in favour. The Governance and Audit Committee RESOLVED: 1. To note the content of this report and the Social Services Representations and Complaints Procedures Annual Report for 2023/24; 2. To consider whether they wish to scrutinise in greater depth any matters contained in the report; 3. To note the work undertaken by the Customer Feedback, Engagement and Complaints Team; 4. To form a view on the Authority’s ability to handle complaints effectively; and 5. To receive a further update on the work undertaken by service areas to support families, following a rise in finance related complaints in respect of delays in assessments and lack of clarity around charges for care and services.
Decision as recorded
RESOLVED: 1. To note the content of the report, the Customer Feedback Scheme (CFS) Annual Report for 2023/24 and the work undertaken by the Customer Feedback, Engagement and Complaints Team. 2. To consider whether they wish to scrutinise in greater depth any matters contained in the report. 3. To form a view on the Authority’s ability to handle complaints effectively.
The Service Director for ICT and Digital Services and the Engagement and Complaints Manager provided the Governance and Audit Committee with an overview of the operation and effectiveness of the Council’s Customer Feedback Scheme (CFS) between 1st April 2023 and 31st March 2024. It was explained that the CFS records all Comments, Compliments and Complaints received by both residents of RCT and those people visiting RCT who access the Council’s facilities. It was noted that the scheme does not cover complaints where there are other statutory arrangements in place such as complaints about Social Care or School complaints. It was reported that, during the year 2023/24, the overall number of CFS contacts were 1,103 compared to 796 contacts in 2022/23, and that the number of overall contacts remained low in the context of all contacts recorded by the Council’s Contact Centre, accounting for less than 0.2%. Members were then informed of the following priority areas for improvement during 2024/25: · Complaints Process and Training; · Data and Insight; and · Improved Customer Feedback. The Chair thanked the officers for the update and sought assurance that where improvements are made, there is a process in place for Senior Management to monitor the implementation. The Engagement and Complaints Manager explained that it is the responsibility of the service area to assess feedback and identify any improvements, which is then inputted onto the digital platform and monitored by the Customer Feedback, Engagement and Complaints Team. If a strategic or thematic issue is identified, it would be raised with the relevant senior officers. One Member recognised that Frontline Services were often criticised because of financial decisions made by Members and asked how Senior Management keeps staff morale high in such cases. The Engagement and Complaints Manager stressed that although 5% seems high, the Team considered over 18,000 contacts in relation to Frontline Services, which was relatively low. It was also highlighted that the service area received the highest number of compliments. The Service Director added that Frontline and Waste Management accounted for a high number of contacts and complaints across all Local Authorities. The Governance and Audit Committee RESOLVED: 1. To note the content of the report, the Customer Feedback Scheme (CFS) Annual Report for 2023/24 and the work undertaken by the Customer Feedback, Engagement and Complaints Team. 2. To consider whether they wish to scrutinise in greater depth any matters contained in the report. 3. To form a view on the Authority’s ability to handle complaints effectively.
Decision as recorded
RESOLVED: 1. To consider and note the 2023-2024 Public Services Ombudsman for Wales’ Annual Report and Annual Letter to this Council. Note: County Borough Councillor G Hopkins left the item during the discussion of this item.
The Director for Legal and Democratic Services advised the Committee of the publication of the Public Services Ombudsman for Wales’ (‘PSOW’) Annual Report and Annual Letter to this Council for 2023-2024. During the reporting period, the overall number of complaints about public bodies totalled 2,905. This was an increase of 4% compared to 2022-23 (2,790). During 2023-2024 the PSOW closed 3,020 complaints about public bodies – 6% more than 2022-2023. The proportion of interventions – cases where the PSOW finds maladministration or service failure remained consistent at 20% (19% 2022-2023). The intervention rate for local authorities was 15% - consistent with the previous reporting period at 14%. Of the 2,905 complaints received about public bodies, 44% (1,279) related to health bodies, 13% (380) related to the social housing sector, 39% (1,127) to Principal Councils, 3% (76) related to Welsh Government and its sponsored bodies, During 2023-2024, 64 complaints were received by the PSOW relating to RCT (54 for 2022-2023). The total number of complaints equates to 0.27 complaints per 1000 residents. It was noted that this figure placed the Council in the top quartile for lowest number of complaints per 1000 residents out of the 22 local authorities and that 0.36 complaints per 1000 residents was the average across the 22 LA’s. The highest number of complaints for the Council, by subject, related to how it handled complaints (22%), Children’s Social Services (17%) and Planning and Building control (17%). Of the 63 complaints closed by the PSOW during the period, 26 (41%) were closed after initial consideration, 8 (13%) were considered to be out of jurisdiction and 17 (27%) premature. Those considered to have been premature related to cases where the complainant had not exhausted the Council’s complaints policy. 11 (17%) complaints were resolved through the PSOW ‘early resolution’ process, meaning that the Council agreed to undertake actions to resolve matters without the need for a formal PSOW investigation. In total 17% (11) of the Council’s cases during the period required PSOW intervention, compared against 4% (2) as reported in the previous period. The average intervention rate for local authorities was 13%. The Authority complied with 77% of the PSOW recommendations within the target timescales agreed. The Chair thanked the Director for the update and was particularly pleased to note that from an RCT perspective, the number of complaints per 1000 residents remained low. The Governance and Audit Committee RESOLVED: 1. To consider and note the 2023-2024 Public Services Ombudsman for Wales’ Annual Report and Annual Letter to this Council. Note: County Borough Councillor G Hopkins left the item during the discussion of this item.
Decision as recorded
RESOLVED: 1. To review the content of the report and seek assurance that recommendations made by the Internal Audit Service are being implemented within agreed timescales.
The Internal Audit Manager provided the Committee with a position statement in respect of the status of the recommendations made by the Internal Audit Service. It was noted the recommendations are made at the conclusion of each audit review to identify improvements to be made to mitigate risk and strengthen controls. These recommendations are then included in the final audit reports and recipients are asked to provide a management response to indicate whether they agree to the recommendation, how they plan to implement them and target dates. Those priorities are then organised as high, medium or low priority. Members were directed to Table 1 of the report that highlighted the different priority ratings which are used and the recommendation categorisation. Once the target date for implementation has been reached the relevant Officers are contacted and asked to provide feedback on the status of each agreed recommendation. Members’ attention was drawn to Table 2, which highlighted that there were 7 overdue recommendations. The Officer confirmed that 6 of the 7 outstanding recommendations had since been implemented and 1 target date had been revised. One Member noted that 5 of the 7 previously outstanding recommendations were in relation to a school and sought an update. The officer explained that there had been issues with contacting the school regarding the recommendations and acknowledged that a new Head Teacher had also been appointed. Members were assured that since the time of writing the report, information had since been received to evidence that the recommendations had been implemented. The Chair was reassured that there were no high priority recommendations which remained outstanding and the Governance and Audit Committee RESOLVED: 1. To review the content of the report and seek assurance that recommendations made by the Internal Audit Service are being implemented within agreed timescales.
Decision as recorded
RESOLVED: 1. To note the overview of the Council’s risk management arrangements and identify any areas where further information, training or clarity is required; and 2. To review the Council’s updated Strategic Risk Register 2024/25, in line with the Committee’s Terms of Reference, and determine whether it provides the required level of assurance on the arrangements in place to manage the Council’s strategic risks.
The Head of Procurement Delivery provided the Governance and Audit Committee with an overview of the Council’s risk management arrangements together with the updated Strategic Risk Register for the 2024/25 financial year. The Council’s Risk Management Strategy sets out the framework that is in place in respect of its risk management arrangements. The Strategy is underpinned by a Risk Management Toolkit, which is an operational document to help services identify, assess, manage and monitor risks. Members were informed that the Council’s strategic risks are incorporated into a Strategic Risk Register, which was attached at Appendix 1 to the report. It was explained that the document was updated, reported and scrutinised on a quarterly basis as part of the Council’s performance reporting arrangements, with in-year updates also reported to the Governance and Audit Committee. The Officer informed the Committee that the Strategic Risk Register had been updated at the beginning of the year to consider the Council’s new Corporate Plan Well-Being Objectives. One Member questioned the role of the Council’s Senior Leadership Team in overseeing and agreeing updates to the Strategic Risk Register. The Officer sought to provide assurance to the Member on the process and explained that any changes to the Register are reviewed and challenged by Senior Leadership Team. The Chair thanked the officer for the report and the Governance and Audit Committee RESOLVED: 1. To note the overview of the Council’s risk management arrangements and identify any areas where further information, training or clarity is required; and 2. To review the Council’s updated Strategic Risk Register 2024/25, in line with the Committee’s Terms of Reference, and determine whether it provides the required level of assurance on the arrangements in place to manage the Council’s strategic risks.
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