Agenda Item No 8

The Vale of Glamorgan Council


Shared Regulatory Services Joint Committee: 4th February 2016


Report of the Head of Shared Regulatory Services


Internal Audit Report - Shared Regulatory Services


Purpose of the Report

  1. This report outlines the findings of an assessment undertaken by the Internal Audit service to determine the efficacy of the governance arrangements set in place for the newly formed Shared Regulatory Service.


  1. The findings of the Internal Audit report are noted.
  2. That the findings of the second stage report, which will involve evidence based testing of several aspects of the service, is reported to the Joint Committee later in the year.

Reason for the Recommendations

To apprise Elected Members on the assessment of the effectiveness of the implementation arrangements put in place when creating the Shared Service.


  1. In November 2015, the Internal Audit service undertook an audit of the implementation and governance arrangements in place to create the Shared Regulatory Service.
  2. The report, appended at Appendix 1, assesses the efficacy of the arrangements put in place by the partner Councils and considers how governance of the shared service may develop in the coming years.

Relevant Issues and Options

  1. The report identifies a number of areas of good practice, 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.
  1. The audit report concludes that that the effectiveness of the internal control environment is sound and substantial assurance can be placed upon the management of risks.
  2. These conclusions were drawn because of the identification of a well-controlled system and only one minor recommendation has been put forward:
  • Arrangements with external Auditors are yet to be agreed and formalised.

Resource Implications (Financial and Employment)

  1. There are no financial implications directly associated with this report.

Sustainability and Climate Change Implications

  1. None

Legal Implications (to Include Human Rights Implications)

  1. There are no legal implications directly associated with this report

Crime and Disorder Implications

  1. None

Equal Opportunities Implications (to include Welsh Language issues)

  1. None

Policy Framework and Budget

  1. This report is a matter for Joint Committee decision

Consultation (including Ward Member Consultation)

  1. None

Relevant Scrutiny Committee

  1. Relevant Scrutiny Committees relating to each Council

Background Papers

Internal Audit report, Shared Regulatory Services, December 2015.

Contact Officer

Dave Holland, Head of Shared Regulatory Services

Officers Consulted

Lee Jones - Head of Service, Bridgend County Borough Council

Tara King - Assistant Director, City of Cardiff Council

Miles Punter, Director Environment and Housing, Vale of Glamorgan Council

Legal Services, Vale of Glamorgan Council

Accountant, Vale of Glamorgan Council

Responsible Officer:

Dave Holland, Head of Shared Regulatory Services