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SHARED REGULATORY SERVICES JOINT COMMITTEE

 

Minutes of a meeting held on 4th February, 2016.

 

Present

Representing Bridgend County Borough Council - Councillors C.E. Smith and R. Williams;

Representing Cardiff Council - Councillor D. De’Ath (Chairman) and Councillor Ms. J. Parry;

Representing the Vale of Glamorgan County Borough Council - Councillor Ms. B.E. Brooks and Councillor A.G. Powell (Vice-Chairman).

 

 

(a)       Minutes -

 

RESOLVED - T H A T the minutes of the meetings held on 3rd November and 17th December, 2015 be approved as a correct record.

 

 

(b)       Declarations of interest -

 

No declarations were received.

 

 

(c)        Overview and Update on the Development of the Shared Regulatory Services (HSRS) -

 

The report sought to update the Committee on the development of the Joint Service between Bridgend, Cardiff and the Vale of Glamorgan Councils. 

 

In regards to matters relating to Human Resources, by the end of December 2015, over 92% of the structure had been successfully populated across all areas of the service and at all seven ‘ring-fenced’ levels.  This included over 200 employees from across each of the three participating Local Authorities and final arrangements were now being made to recruit to those posts that had not yet been filled as a result of the job matching and internal recruitment process.

 

The Head of Human Resources alluded to the matters considered by the Vale of Glamorgan Council’s Early Retirement / Redundancy (ERR) Committee which had over the last few months considered and approved 17 applications for voluntary / compulsory redundancy.  He reminded the Committee that these were only supported where the applicant had not been successfully assimilated to the new structure and where no suitable alternative post was available.  He anticipated a further meeting of the Committee by the end of February 2016 and the priority over the coming months would be to support the new management team to look at the workforce planning and employee development issues congruent with the successful development of the new service.

 

In response to a question from a Member of the Committee in relation to the nature of the spread of redundancies across three Local Authorities, the Head of Human Resources indicated that the applications received and considered by the ERR Committee had been even across all three partner Authorities.  In addition, the Head of the Shared Regulatory Services also indicated that there had been a total reduction of 43 employees (20% of experienced officers with the loss of their subsequent corporate knowledge and experience).  He anticipated that 15 full time equivalent positions would be advertised shortly with the aim of recruiting staff as soon as practicable.  He indicated that a further report would be made on the subject to the next meeting of the Joint Committee.

 

The Chairman referred to staff training development arrangements and enquired if appropriate measures were in place to address the issue of risk.  In response, the Head of Shared Regulatory Services indicated that a workforce plan had been developed plus an individual analysis had been undertaken of succession planning arrangements to inform a training needs strategy for the coming years.  He anticipated that the new staffing structure would take approximately 12 - 24 months to bed in.  He also had a degree of confidence that his senior management team within the service had appropriate knowledge and expertise to manage risk related matters as the service developed.  He also alluded to the fact that team managers had been proactive in terms of identifying training needs and had indeed provided in-house training to colleagues.  He also indicated that training would be provided from funding secured by the service under the Proceeds of Crime Legislation.

 

The Operational Manager for Neighbourhood Services echoed the comments of the Head of the Shared Regulatory Services in regard to staff being proactive in identifying training needs.  Despite the challenges of harmonising staffing arrangements there had been little decrease in overall performance of his service area.  In response to a question by a Member of the Committee in relation to officers’ degree of confidence in expediting recruitment to vacant posts, the Operational Manager for Commercial Services indicated that 12 posts were currently being advertised and was confident that they would be filled in a timely manner. 

 

The Head of the Shared Regulatory Services’ attention then turned to the ICT and mobile working update and he referred to the development of the SRS Website.  In updating the Joint Committee he referred to the first phase dual language website that had been operational in the final quarter of 2015.  Work had also commenced on the second phase of the website development.  He indicated that this second phase would consider all the feedback received to date and make changes as appropriate and in tandem with this work would be the development of the branding of all documents that were available for download from the website.  He also made reference to the Welsh Language Standards and officers were currently assessing the provision and requirements for downloadable documents.  The second phase would also incorporate changes to the website editing process to train staff so that they could maintain and update the site.  Compliance with the Standard would be in line with the compliance date for Cardiff Council as their date was the earliest of the three Authorities.  Officers were also working closely with Contact One Vale to consider working processes within the service to establish one contact number for the Shared Regulatory Services.

 

In regard to the Business Case for the database, he indicated that during December and January officers had met from all service disciplines with three database providers to ask questions about their different solutions.  Subsequently, the senior management team had met with staff to discuss the different databases and to identify a preferred provider.

 

He also referred to the Business Case which had been developed recommending the preferred provider and the case for a consolidated database to replace the four Flare systems that were currently in place.  The Business Case had been considered by the SRS Management Board on 20th January, 2016.

 

In regard to the SRS technology roll-out / Agile Working, the Head of the Shared Regulatory Services indicated that the laptop pilot stage had moved to full production in November 2015.  To date, 104 laptops had been issued to staff as they had been recruited to the service.  Those officers were now able to access their ICT accounts and requisite databases remotely enabling them to work in the agile manner envisaged.  He also indicated that this process would also be supplemented by software to facilitate the management of staff and to support agile working (‘presence’ software).  In addition, he also indicated that officers were looking at the range of home working software in use across the service currently and were devising a strategy to consolidate into one system. 

 

As for accommodation arrangements, the Head of the Shared Regulatory Services indicated that officers were working on strategies to provide a better understanding of current capacity and alignment of accommodation for the new structure.  This work would also define what ICT was required to support the service in a new location while facilitating an agile workforce.  Officers were looking at three major hubs and had been identifying the ICT requirements on a roll by roll basis which included the establishment of staff placements in respect of office location, hot or fixed desk working while developing regional flexibilities.  Staff user requirements were also being gathered relating to software, hardware and ICT requirements in respect of infrastructure demand and wi-fi connectivity.

 

He anticipated that officers from Cardiff would be decanted to Cardiff County Hall site during April 2016 and Bridgend offices to the Bridgend Civic Offices. 

 

The Head of the Shared Regulatory Services’ attention then turned to Archiving and Migration and indicated that officers had started to assess the data requirements that would migrate to the new database and the data to be archived.  This was regarded as a vital piece of work and was integral to the success of the consolidated database system. 

 

A Member referred to agile working arrangements and enquired if Bridgend’s accommodation strategy had been taken into consideration.  In response the Head of the Shared Regulatory Services indicated that he was aware of Bridgend’s current accommodation strategy and alluded to the fact that former Bridgend staff had been taken into account but on the basis of hot desking arrangements over the forthcoming 6 - 12 months.  This period would allow an assessment to be made of accommodation needs of the service going forward.  In addition, the Head of Bridgend Council’s Regulatory, Partnership and Transformation Service alluded to Bridgend’s accommodation rationalisation strategy which planned to reduce the number of buildings in use by Bridgend Council from three to two.  He assured Members that he was liaising with the Head of the Shared Regulatory Services to ensure the SRS accommodation requirements were taken into account.

 

The Head of Finance referred to the financial monitoring section of the report which covered the period 1st May to 31st December, 2015 and to Appendix 1 to the report.  The report had been prepared from the consolidated figures gathered from each Authority for the above period.  Whilst all staffing costs for the SRS were held within the Vale of Glamorgan Council’s Oracle system, non-staffing costs were currently held remotely by each Authority and details were provided on a monthly basis from finance colleagues at Cardiff and Bridgend Councils. 

 

To summarise the apportionment of costs of the new service, all core costs of the service, which were shared by each Council, were allocated based on population whilst several services were provided uniquely within each Council and these ‘Authority-specific’ services were charged back to the relevant Council at a cost plus an element of management and administration.

 

One-off implementation costs for this service, including redundancy and IT costs were also set out in Appendix 1.  Costs of redundancy were to be borne by the Authority that originally employed the staff whilst ICT costs were recharged to participants on a relative population basis.

 

Overall, the Head of Finance indicated that the service was anticipated to underspend by £300,000 by the year end. 

 

A Member of the Committee enquired as to the reasons for the overspends relating to Licensing and Pest Control budgets (Vale of Glamorgan).  In response, the Head of Finance indicated that the reason for the overspend in regard to the Pest Control Service related to higher staffing costs.  The Operational Manager for Neighbourhood Services indicated that as reported to the last meeting of the Committee, the overspend in relation to Licensing related to income charged for licences in the Vale of Glamorgan.  He indicated that the costs of administering this service were not being fully recovered.  Fees would be reviewed by using the National Licensing toolkit which should prevent challenges to any future fee regime.  Any service changes could be accounted for within the Licensing regime and charging policy by using the toolkit.

 

Performance Monitoring

 

Tabled for the consideration of the Joint Committee were copies of performance information in respect of the three partner Authorities.  The Head of the Shared Regulatory Services indicated that due to the legacy systems of the three partner Authorities meant that there were small differences in the data capture of performance information.  Cardiff and the Vale Councils currently set targets at the beginning of the financial year, whereas, Bridgend Council collected performance data on the basis of accumulated totals. 

 

The performance information covered Quarter 3 for the service.  The information had been categorised by each partner Authority with actual performance to date set against each target based on a Red, Amber and Green system (RAGs).

 

Each Operational Manager (Commercial Services, Enterprise and Specialist Services and Neighbourhood Services) gave a brief overview of their service remit and provided an explanation of service performance against each performance indicator.  Of the seven performance indicators identified as Red and two identified as Amber, the relevant Operational Manager provided the following comments against each of the below matters:

 

BRIDGEND

 

PI Title

 

Comment

PPN/008iN   - The number of new businesses identified which were subject to a risk   assessment visit by or returned self-assessment questionnaire to trading   standards during the year

 

52

Planned   programmed work had been impacted upon as a result of the service bedding   down which also included the re-prioritisation of staff work programmes.  In addition, new legislation in regard to   the Consumer Rights Act had seen a change in the manner in which Trading   Standards enforce their powers.  The   Legislation had placed further requirements on the method of carrying out   inspections which had impacted on current performance levels.  It was anticipated however, that   performance would be addressed during Quarter 4.

PPN/008iD   - The total number of new businesses identified by trading standards

 

196

PPN/008i   - The percentage of new businesses identified which were subject to a risk   assessment visit or returned a self-assessment questionnaire during the year   for trading standards

 

26.5306

 

 

Cardiff

 

PI Title

 

Comment

PPN/001iiN   - The number of high risk inspections of food businesses that were carried   out during the year

 

285

Performance   had been impacted on as a result of staff vacancies.  However, measures had been implemented to   bring back performance on track by utilising external contractors.  During January 2016 a further 100   inspections had been undertaken of Category A and B premises.  However, it was unlikely that the year-end   target would be achieved.  In the short   term the plan was to focus on Category A and B premises and in the future,   consideration would need to be given to the future inclusion of Category C   premises in performance information gathering. 

 

PPN/001iiD   - The number of inspections due on high risk food businesses during the year

 

930

PPN/001ii   - The percentage of high risk businesses that were liable to a programme   inspection that were inspected for food hygiene

30.64516129


 

PPN/008iiN   - The number of new businesses identified which were subject to a risk   assessment visit by or returned a self-assessment questionnaire to Food   Hygiene during the year

 

198

Further   support was being provided to staff within the Cardiff team to undertake   visits.  Category A, B and C premises   would require visits as they were considered high risk.  However, performance was being adversely   affected due to lower self-assessment questionnaire returns.  In addition, the turnover of new business   ownership was also challenging.

 

Members   of the Committee expressed concern and requested an explanation for the low   return of the self-assessment questionnaires.    In response, the Operational Manager indicated this was to do with, in   the main, staff undertaking follow up visits.    A Member of the Committee enquired as to the percentage of actual self-assessment   forms returned.  In response the   Operational Manager was unable to provide this information but agreed to   circulate the information to Members of the Joint Committee.  The Operational Manager confirmed that the   service would be able to identify those businesses that did not return their self-assessment   forms.

 

PPN/008iiD   - The total number of new businesses identified during the year

 

362

PPN/008ii   - The percentage of new businesses identified which were subject to a risk   assessment visit or returned a self-assessment questionnaire during the year   for food hygiene

54.6961326

PPN/001iN - The number of high-risk businesses that were inspected   during the year by trading standards.

 

115

The   Operational Manager indicated that performance had been adversely affected   however, the matter would be resolved by Quarter 4.

PPN/001iD - The number of high-risk businesses that were selected for   inspection at the beginning of the year by trading standards.

 

220

PPN/001i - The percentage of high risk businesses that were liable to   a programmed inspection that were inspected, for trading standards.

 

52.2727

PPN/008iN - The number of new businesses identified which were subject   to a risk assessment visit by or returned a self-assessment questionnaire to   trading standards during the year.

 

23

Performance   would be addressed by project work to improve the performance outturn.

 

A   Member of the Committee enquired of officers if the relevant Scrutiny   Committee at Cardiff Council received performance information.  In response, the Head of the Shared Regulatory   Services indicated that performance information was reported to the Cabinet   and not to the relevant Scrutiny Committees.

PPN/008iD - The total number of new businesses identified by trading   standards.

 

221

PPN/008i - The percentage of new businesses identified which were   subject to a risk assessment visit or returned a self-assessment   questionnaire during the year, for trading standards.

 

10.4072

 

 

Vale of Glamorgan

 

PI Title

 

Comment

PPN/001iiN   - The number of high risk inspections of food businesses that were carried   out during the year

 

251

The   Operational Manager acknowledged current performance to date and indicated   that the Vale of Glamorgan and Bridgend were considered as one region.  Visits would be allocated and performance   was anticipated to outturn on target by the end of Quarter 4. 

PPN/001iiD   - The number of inspections due on high-risk food businesses during the year

 

394

PPN/001ii   - The percentage of high risk businesses that were liable to a programmed   inspection that were inspected, for food hygiene

63.7056

PPN/008iiN   - The number of new businesses identified which were subject to a risk   assessment visit by or returned a self-assessment questionnaire to Food   Hygiene during the year

 

86

The   Operational Manager acknowledged current performance to date and indicated   that the Vale of Glamorgan and Bridgend were considered as one region.  Visits would be allocated and performance   was anticipated to outturn on target by the end of Quarter 4. 

PPN/008iiD   - The total number of new businesses identified by Food Hygiene

 

126

PPN/008i   - The percentage of new businesses identified which were subject to a risk   assessment visit or returned a self-assessment questionnaire during the year,   for Food Hygiene

 

68.254

(Amber)

PPN/001iN   - The number of high risk businesses that were inspected during the year by   trading standards

 

6

Performance   to date represented a snap shot of existing data contained in the Vale of   Glamorgan Council system.  Subsequent   changes in roles had now been identified and outturn was expected to be on   target by the end of Quarter 4.

PPN/001iD   - The number of high risk businesses that were selected for inspection at the   beginning of the year by trading standards

 

9

PPN/001i   - The percentage of high risk businesses that were liable to a programmed   inspection that were inspected for trading standards

 

66.6667

PPN/008iN   - The number of new businesses identified which were subject to a risk   assessment visit by or returned a self-assessment questionnaire to trading   standards during the year

 

208

Performance   to date represented a snap shot of existing data contained in the Vale of   Glamorgan Council system.  Subsequent   changes in roles had now been identified and outturn was expected to be on   target by the end of Quarter 4.

 

A   Member of the Committee reiterated her concern and surprise that Cardiff   Council’s Scrutiny Committee did not scrutinise performance of their services   every quarter.  In addition, another   Member of the Committee suggested that in future it would be helpful if the   Committee was provided the Wales average figures within the data.  The Chairman also suggested that Core dataset   comparisons also be provided in performance data in the future.

PPN/008iD   - The total number of new businesses identified by trading standards

 

379

PPN/008i   - The percentage of new businesses identified which were subject to a risk   assessment visit or returned a self-assessment questionnaire during the year,   for trading standards

 

54.8813

(Amber)

 

The Committee received a brief presentation from the Head of the Shared Regulatory Services on a proposed new performance framework to support the corporate priorities of the SRS.  The service was working to create outcome measures to support the political aspirations of the three Councils taking account of their respective corporate plans. 

 

The premise of the proposals was to develop new outcome based focussed performance indicators where Elected Members and public would have access to live data on performance of the Service.  He considered that the current performance framework did not necessarily reflect accurately the activities of the service and the impact on customers and the public alike who receive / access services.  He referred to a number of potential examples of such outcome based activities. 

 

Following the presentation, a number of comments were made on the proposals as follows:

 

A Member referred to outcome based performance indicators and to the respective Authority’s Corporate Plans and considered the proposals as excellent.  He hoped to see good quality data to enable Elected Members to feed back to their communities and businesses. 

 

Another Member of the Committee, in referring to performance information and to the preponderance of the same, enquired if the service would still be required to collect existing national performance indicators.  He considered that to do so would be a significant draw on available resources of the service.  In response the Head of the Shared Regulatory Services indicated that proposals would develop succinct information, however, his personal view in regard to national performance indicators was that they were not particularly informative to Members and the public. 

 

The Director of Environment and Housing alluded to the fact that the proposals represented an opportunity of the service to be exemplar with performance based on citizen focussed outcomes with aspirations in the future for being the best in the U.K.  He also alluded to governance arrangements and the necessity of the SRS to produce an annual report and touched upon Joint Scrutiny Committee arrangements to monitor at future performance information.  He anticipated that there would be a report on governance arrangements to the next meeting of the Joint Committee.

 

Having regard to the above it was

 

RESOLVED -

 

(1)       T H A T a further comprehensive report on staffing matters including the number of compulsory redundancies be the subject of a further report to the next meeting of the Joint Committee.

 

(2)       T H A T the Operational Manager for Commercial Services be requested to provide information in respect of the percentage of returned self-assessment questionnaires in respect of Food Hygiene during the current year and circulate the same information to the Members of the Joint Committee in advance of the next meeting.

 

(3)       T H A T it be noted that a further report on governance related matters was intended to be reported to the next meeting of the Joint Committee.

 

(4)       T H A T the contents of the report be noted.

 

Reasons for decisions

 

(1)       To ensure that appropriate staff arrangements were in place and that there were no outstanding applications post March 2016.

 

(2)       To provide information sought by the Joint Committee.

 

(3)       In acknowledgement of proposals to submit a report on governance to the next meeting of the Joint Committee.

 

(4)       In acknowledgement of progress made to date.

 

 

(d)       Shared Regulatory Services Business Plan 2016-17 (HSRS) -

 

The purpose of the draft Business Plan as specified by the Joint Working Agreement, was to update the information contained in the previous Business Plan and to identify the proposals for service activities, business and financial objectives, efficiency targets, business continuity planning, risk management, indicative staffing levels and change performance targets, costs and income.  A copy of the draft Plan was attached at Appendix A to the report.

 

It was proposed to consult on the contents of the draft Business Plan with a range of stakeholders and partners.  It was envisaged that such consultation be conducted over a 28 day period and that respondents were able to participate via a range of channels including via the Shared Regulatory Services website, e-mail and in hard copy format.

 

A number of key themes had been distilled and put forward as the Strategic Priorities of the Shared Service namely:

 

  • Safeguarding health and wellbeing
  • Protecting the vulnerable, and
  • Improving the local environment
  • Supporting the local economy
  • It is proposed that these four priorities are all underpinned by a fifth Strategic Priority, that of
  • Maximising the use of our resources.

 

The work programme for the year ahead was also detailed in the draft Plan, but it was likely that comments from the partner Councils and stakeholders may influence the content and focus of the Plan.  All comments received as a result of the consultation exercise would be collated and considered and the draft Business Plan submitted for final approval at the next meeting of the Joint Committee in May 2016.

 

Having regard to the above it was

 

RESOLVED -

 

(1)       T H A T the contents of the report be noted and the Joint Committee endorses the approach proposed for creating the SRS Business Plan for 2016/17.

 

(2)       T H A T the finalised SRS Business Plan for 2016/17 be submitted to the next meeting of the Joint Committee in May 2016 following the completion of the consultation exercise for approval.

 

Reasons for decisions

 

(1)       In acknowledgement of proposals for consultation.

 

(2)       To finalise the contents of the Plan and approve the same.

 

 

(e)       Fees and Charges (HSRS) -

 

The report sought to advise the Joint Committee of the proposed fees and charges for services delivered within the SRS for 2016/17.

 

The Head of the Shared Regulatory Services indicated that where any fees charged resulted in a surplus, that surplus must be used to reduce the fees charged in the following year.  It was possible to extend the reinvestment of the surplus over more than one year, but this would need careful consideration about whether contributors may leave the licensing system over that period and therefore lose out on the return.  Deficits could similarly be recovered, although where there was a significant deficit, Councils may want to consider how recovery could be undertaken over more than one year so as not to financially harm otherwise viable businesses.

 

In addition, to ensure that fees remained reasonable and proportionate, the SRS would establish a regular and robust review process and report the findings to the Joint Committee in the form of an Annual Fees Report.  This annual review would allow for the fine tuning of fees and put in place steps to avoid either a surplus or deficit accumulating in future years.  During the course of the year, the SRS would continue to explore additional areas where charges may be levied for the provision of services.  In the case of charges based on officer time, a rate of £50 per hour, to include overheads would be used.  In addition the Head of the Shared Regulatory Services referred to various functions that fell under the auspices of the SRS as a consequence of legislation enforced by the same.  In referring to the report and the fees therein, he indicated that work would be ongoing through the next financial year to fully understand the costs of the service.  In response to a question from a Member enquiring if fees had been set for the whole of the SRS or individually for each Council, the Head of the Shared Regulatory Services indicated that there was a necessity to account for the costs of each Local Authority and for each service not to cross subsidise each other.  He referred to comments made under a previous report earlier on the agenda relating to the use of the National Toolkit which had been used to calculate the best available information at this time to set fees.  It was important for example, not to charge Cardiff Council for services delivered within the Vale of Glamorgan.  It was also clarified by the Operational Manager for Neighbourhood Services clarified that certain fees outside the scope of the SRS were covered by specific charging regimes that fell under each Council’s Licensing Committee.  In addition, the Operational Manager for Enterprise and Specialist Services alluded to the terms and conditions behind each Local Authority’s fees which required to be harmonised in the future.  The fees highlighted within the appendices to the report had been highlighted to differentiate the fee levels between Cardiff and the Vale of Glamorgan / Bridgend.  She also indicated that nominal fees had been introduced for Pest Control (domestic premises – rats / mice (inside, bed bugs, cockroaches) which was currently free of charge within the Vale of Glamorgan.  The intention of setting a nominal fee was to bring the service charging in line with other partner Councils.

 

In referring to the proposals to introduce a nominal fee as referred to above, a Member enquired of the likely impact of introducing such a charge on Vale residents.  In response the Head of the Shared Regulatory Services indicated that there was a need to charge for services provided by the SRS however, if a resident or tenant could not afford the fee then consideration would be given to waiving the costs on the grounds of hardship where identified.  However, the purpose of setting a nominal fee was to resolve a funding gap in providing this service.

 

Brief discussion touched upon Food Export Certificates, with it being reported there was currently low demand for this service.  Discussion also briefly touched upon fees charged in respect of stray horses and whether there were any particular problems within the SRS as a consequence of stray horses.  In response, the Operational Manager for Enterprise and Specialist Services indicated that the matter of stray horses was dealt with under the Control of Horses Wales Act, which set out a protocol for dealing with stray horses.  The general rule was that the SRS would reclaim the costs associated with the seizing of the horse under the above provisions. 

 

Having regard to the above proposals it was

 

RESOLVED - T H A T the proposed fees and charges for the Shared Regulatory Service for the period 2016/17 as set out in the Appendix to the report be approved.

 

Reason for decision

 

To set fees within the remit of the Joint Committee with the exception of fees associated with alcohol, gambling, taxi licensing, additional licensing scheme charges for houses in multiple occupation and consents issued under the Local Government Act 1982.

 

 

(f)        Compliance and Enforcement Policy (HSRS) -

 

The report sought to advise the Joint Committee of the results of the consultation exercise authorised previously by the Committee on 3rd November, 2015 and sought the approval for the implementation and use of the revised Compliance and Enforcement Policy by the Shared Regulatory Service.

 

RESOLVED -

 

(1)       T H A T the contents of the report be endorsed and the Joint Committee approves the use of the revised Compliance and Enforcement Policy by the Shared Regulatory Service.

 

(2)       T H A T the adoption of this Policy by the respective Councils for those functions undertaken by the Shared Regulatory Service on their behalf be recommended.

 

Reasons for decisions

 

(1)       In acknowledgement of the outcome of the consultation exercise findings.

 

(2)       To adopt the Policy.

 

 

(g)       Internal Audit Report - Shared Regulatory Services (HSRS) -

 

The above report identified a number of areas of good practice by the Shared Regulatory Service including,

 

  • The use of a detailed Joint Working Arrangement and Business Plan to ensure successful implementation of the service;
  • The establishment of a SRS governance framework including elected Members from each of the three Local Authorities;
  • The use of work Streams and nominated leaders to ensure that the delivery programme does not lose momentum.

 

The Head of the Shared Regulatory Services indicated that the Audit Report concluded that the effectiveness of the internal control environment was sound and substantial assurance could be placed upon the management of risks.  He indicated that only one minor recommendation had been put forward by the Internal Audit Service and related to the following:

 

  • Arrangements with external Auditors are yet to be agreed and formalised.

 

Having regard to the above it was

 

RESOLVED -

 

(1)       T H A T the findings of the Internal Audit Report be noted.

 

(2)       T H A T the findings of the second stage report which would involve evidence based testing of several aspects of the service be subject of a further report to the Joint Committee later in 2016.

 

Reasons for decisions

 

(1)       In acknowledgement of the assessment of the effectiveness of the implementation arrangements put in place when creating the Shared Regulatory Service.

 

(2)       To ensure the Joint Committee was apprised of arrangements agreed with external Auditors.

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