Archived decisions

___
Audit No/ Ref

Actions ongoing


Recommendation

Priority
1 = Low
2 = Med
3 = High

Post responsible

SMT

Comments

Action Date

Chase up Memo(s)

Date Closed

FR907 Security & Password Controls 2003/04

3.11

Removal of Revelation in favour of SAP for higher security.

3

IT Manager

Director of Corporate Services

Part of ICT Strategy.
PRT Note: Revelation not yet completely phased out due to delays in new system development. Now targeted for April 2006. (12/10/05).
PRT Note18/11/05: a future action date to be agreed with Internal Audit meeting to be held 20/12/05. PRT Note 5/01/06 - New action date of May 06 agreed by Internal Audit.
PRT Note 5/06/06 new action date agreed by Internal Audit of Sept 06.

Mar 2005
Sept 2005 May 2006
Sept 2006

11/10/2005
28/04/2006
05/06/2006

PRT Note 01/08/06: Internal Audit are currently undertaking an audit of Security and Password Control as part of the Audit Plan for 2006/07. This recommendation will be covered, and therefore remains ongoing until the outcome of the Audit report.

FR 118 Andover Fire Station 2005/06

3.13

We recommend that wherever possible, all TOIL owing should be kept to less than 30 hours.

2

Station Manager/ All W/T JO's

Head of Financial and Office Services

Unactionable with the current situation with regard to day crewed system. Will change if Andover becomes continuous shift in October 2006.

01/10/2006

TOIL means Time off in Lieu

FR082 WORKSHOPS 2004/05

3.27

Monitoring procedures to be formalised and management information from the TRACE system to be regularly produced and used with the monthly SAP budget reports.

2

Workshop Manager

Deputy Chief Officer

Agreed.
PRT Note: Ongoing MI reports scheduled for November 2005.
PRT Note: Due to the development of other areas of TRACE, these reports have not yet been developed. This work is planned by Workshops Manager for early 2006. PRT will follow up again in late Jan 2006.
PRT Note: 24/01/2006 - New action date agreed with Internal Audit.

Nov 2005 31/03/2006

31/10/2005 13/12/2005 24/01/2006
15/05/2006

Management information from the TRACE system was considered during the Best Value Review of Workshops and has been included as a recommendation made to the Performance Review Committee to urgently address the situation. This forms part of an issue that is being followed up by one of the 'ongoing' recommendations in the Best Value Review of Workshops, (management information). A meeting with the software supplier was help in June 2006, and it is understood that work is currently being undertaken on the system.

3.19

To avoid duplication the two computer systems should be linked.

1

Workshop Manager

Deputy Chief Officer

Owing to cost this option is on hold. Workshop Manager has requested all TRACE & SAP users have their equipment upgraded to save time on data input. PRT note: New line is being installed as part of the IT upgrade, awaiting installation (31/10/05). Still outstanding (18/11/05). New action date agreed.PRT note: 16/05/06 The network upgrade is in progress, and the latest position in respect to the Workshops is that implementation is planned for June 2006

Sept 2005 May 2006June 2006

31/10/200518/11/200516/05/2006

This recommendation was made to avoid duplication of entry made into the SAP (accounting) and TRACE (job costing) system. It is understood that the network upgrade will be required to be implemented first.
Note that both the line installation and the management information are also being followed up by one of the 'ongoing' recommendations in the Best Value Review of Workshops, (item number 2) therefore no new action date has been requested from Internal Audit.

An Internal Audit is currently being undertaken at the Vehicle Workshops, and the above two recommendations will be examined during the review. For this reason, these two recommendations will remain as ongoing until the Internal Audit report is received.

FR003 Follow Up Audit - Temporary, Casual and Agency Staff 2004/05

3.14

Tendering procedures to be followed if expenditure is expected to exceed £5000 to comply with Standing Orders on Contracts.

2

HR Operations Manager

Head of Human Resources & Safety and Risk Management

Agreed. Specific timeframe unknown at present.
06/06/2006 - PRT Note: Action will be taken to resolve this action point by 30/09/2006. A new action date has been requested and received from Internal Audit.

March 2006
amended to
Quarter 3 2006/07

04/04/2006
19/05/2006

Tendering procedures state that if expenditure is expected to be between £5k and £50K tenders should be invited from at least three contractors. The need to tender for the key staff agencies was identified.

FR035 Insurance Costs & Compensation 2005/06

3.33

We recommend that performance indicators relating to claims are set in place, such as response times to initial queries.

2

Head of Financial and Office Services/
Employee Relations Manager/
Fleet Manager.

Director of Corporate Services

Will consider the value of this and include in the Service Order if appropriate.

30/09/2006

FR041 Clothing and Operational Stores 2005/06

3.18

The end of year stock count should be carried out by staff independent of the stores operation.

2

Procurement Manager

Head of Financial and Office Services

Not deemed to be necessary by a contracted/consultancy firm as the cost for such services would be high.

HFRS have agreed to the utilisation of the services of operational support officers to help and assist with the stock checks. This has currently happened in March 2006 and will be pursued for following years.
Further to this, conversations have taken place with County Supplies, part of HCC. They have offered their support and services in them providing a third party stock take during August/September of each year using their stock management team, while their business is running at a slower pace due to School Holidays. This will mean that HFRS will have a third party stock take done at least once a year by County Supplies personnel, although not at the end of each financial year (March) as suggested in this report.

Sep-06

3.18

Procedure notes for stock checking should be compiled.

2

Procurement Manager

Head of Financial and Office Services

No procedure notes have ever been used in any stock Audit that has been carried out by HFRS but the Procurement Manager has always seen the need to provide such written procedures as well as General Stores Procedure Notes.
Further to this, conversations have taken place with County Supplies, part of HCC, who have offered their support and services in having their stock management team not only help with a third party Audit during August/September, but during this first Audit, help with the preparation and clarification of Audit procedures.

Sep-06

3.23

Procedural notes for stores and Interim Stores Management system should be completed in time for the move to the new stores building scheduled for October 2006.

2

Procurement Manager

Head of Financial and Office Services

No procedure notes have ever been used in HFRS other than basic notes on how to use Interim Stores Management system.
The Procurement Manager has always seen the need to provide such procedures as well as General Stores Procedures.
Stores procedures will be reviewed on movement to the new store with a view to putting into place procedures that will be in line with the new working practices that will develop once Supplies and Stores are within the same building.
Due to this change certain roles will change and develop as the new stores becomes mature, therefore the new procedures will take into account these changes and developments.
Interim Stores Management was designed and supported by HCC so there will need to be a review and update of the working notes that exist. This will therefore require support from HCC IT department in the review and writing of new procedures.

Dec-06

3.28

Staff should follow proper procedures when using the area operational stores.

1

Head of Operations

SDO Operations

Operational personnel on stations and operations departments within the Groups to be advised and reminded through Routine Notice of the need to follow procedures in the completion of Service Indents, specifically the guidelines on authorised signatories.
Please be aware that the area operational stores do not fall under the direct control of Stores or Supplies, but contact has been made with the Officer identified and will be copied with this report.

July 2006
01/10/2006

20/07/2006
02/08/2006
10/08/2006
25/08/2006

PRT Note Aug 06 - A request has been made to Internal Audit for an extension of the target date to October 2006

FR011 Payroll 2005/06

3.8

In the absence of a separation of duties between personnel and payroll functions, there should be evidence available of the independent checking undertaken by the Human Resources Officer on payroll input.

3

Human Resources Operations Manager

Head of Safety & Risk Management/Human Resources

HFRS structure of a one stop shop, whereby administrators have been trained to multi skill and take ownership of a case from start to finish, was designed around the SAP Payroll being a live system and the constraints this places on the payroll function at both HCC and HFRS in terms of checking data input.

The Human Resources Officer has reports run periodically to check the accuracy of team members work, we will review the process she completes in light of this additional requirement.

Oct-06

3.30

We recommend that the Human Resources Manager, under advice from the Data Protection Officer reviews access to establish a clear business need to view and amend the info types allowed by their Managers Desk Top access, and to do this to all personnel records in HFRA. If the access to Organisational Management and Managers Desk Top is required then this should be formally authorised by request to the Enterprise Security Team by the Human Resources Manager.

2

Human Resources Operations Manager

Head of Safety & Risk Management/Human Resources

Use of the Employee Self Service/Managers Desk Top is a corporate issue for HFRS that will need to be reviewed following the implementation of improved IT systems.

Currently these facilities are not accessible by all employees.

Sep-06

This recommendation relates to ensuring that users only have the access that they require to undertake their job.

3.16

As previously recommended, the Human Resources Department should be provided with a current list of authorised officers, which indicates the duties they are authorised to approve and the list kept up to date.

2

Human Resources Operations Manager/Head of Finance and Office Services

Head of Financial and Office Services

I understand that the Finance Department are now producing an up to date list of the authorised officers.
PRT Note: Internal Audit has extended the deadline for this recommendation.

30/06/2006
amended to
30/09/2006

20/07/2006

FR319 Hardley Fire Station 200607

3.9

The station inventory should be completed as soon as possible, and that assets are marked and physically verified annually. A record of checking should be maintained for audit purposes.

2

Group/Station Administrator

Head of Financial and Office Services

This will be carried out by the Station Administrator.

30/09/2006

3.19

A quarterly reconciliation to the bank account should be recorded and agreed to the balance in the cash book. In addition, a record of funds held by the Treasurer at his home should be documented and annually an independent person should review the club accounts and verify the records are complete and accurate.

2

Crew, Watch Managers and Treasurer

Head of Financial and Office Services

The quarterly reconciliation will be carried out. The Treasurer will provide the documented evidence of funds held at home. An independent person will review and verify accounting records at the end of the next financial year.

30/07/2006
31/03/2007

N/A

20/07/2006

FR012 Creditors 2005/06

3.5

We recommend that the manual list showing authorised officers and limits is updated and agreed with SAP to ensure SAP controls are correct.

2

Financial Services Office Supervisor.

Head of Financial and Office Services

Financial Services plan to review the authorised signatory list by March 2007. Ref Financial Services Business Plan FS 06/07 03 Petty Cash Processing

March 2007

SAP is the IT system on which the financial accounting system is recorded on.

FR121 Alresford Fire Station 2006/07

3.3

All indents should be ruled off to ensure extra items are not added to the indent by unauthorised officers. In addition, dispatch numbers should be recorded on the blue copy of the indent and all goods should be signed for. Efforts should be made to ensure that a person, other than the authorising officer, signs for the goods received. This will facilitate an adequate separation of duties.

2

Watch Manager

Head of Financial and Office Services

The Officer In Charge will inform all station personnel of this procedure to ensure it is being followed.

When receiving goods, as indicated, a different person to that of authorising officer will sign.

14/08/2006

16/08/2006

3.8

The station inventory should be updated as soon as possible, and that assets are marked and physically verified annually. A record of checking should be maintained for audit purposes.

2

Watch Manager/

Group/ Station Administrator

Head of Financial and Office Services

The Officer In Charge to liaise with Group/Station Administrator to ensure inventory is updated.

31/08/2006

16/08/2006

3.11

All claim forms should be ruled off before being authorised to ensure only legitimate staff make a claim.

2

Watch Manager

Head of Financial and Office Services

The Officer In Charge will ensure that this procedure is followed.

14/08/2006

16/08/2006

FR119 Stockbridge Fire Station 0607

3.8

The vehicle inventory should be is brought up-to-date and include the current vehicle at the Station.

2

Station Manager

Head of Financial and Office Services

Have contacted the officer responsible for maintaining vehicle inventories.

30/09/2006

FR314 Burley Fire Station 0607

3.7

A station inventory must be maintained using the required format. In addition, all assets should be marked and physically verified annually. A record of checking should be maintained for audit purposes.

1

Watch Manager & Group/Station Administrator

Head of Financial and Office Services

The Watch Manager to liaise with the Group/Station Administrator to ensure the station inventory is current and is in correct format.

31/08/2006

3.8

The Station Manager should contact the Operations Department to ensure that the new vehicle inventory is received as soon as possible.

3

Station Manager

Head of Financial and Office Services

Have contacted the Station Manager to action.

30/09/2006

FR096 Corporate Governance 2005/06

3.10

We recommend that there is clear evidence retained of SMT monitoring departmental key tasks during the year.

2

Chief Officer together with Service Management Team

Chief Officer together with Service Management Team

Each plan owner (function head) is responsible for monitoring progress of actions. SMT receives `exception reports' only and these are picked up through the quarterly monitoring of the Integrated Risk Management Plan. We will ensure that the minutes better reflect what is actually practised.

Ongoing

3.18

The complaints procedure should be updated and an owner and a date assigned to the document.

1

Deputy Chief Officer (T/HR/SRM) together with Employee Relations Officer.

At our June 2006 meeting of SMT we discussed our performance indicator (PI) for the number of complaints received - which are always in very few in number. It was agreed that we should receive a more detailed report (at our next quarterly review) of our PIs on the trend in and nature of the complaints received. The opportunity will be taken to review and update our procedure at the same time.

September 2006

3.26

We recommend that a Best Value Performance Plan covering all areas of service delivery is put in place to demonstrate continuous improvement

2

Director of Corporate Services together with the Performance Review Manager.

Director of Corporate Services

It is acknowledged that the original five year Best Value Performance Review Programme has come to an end, but reviews are nevertheless being undertaken on priority areas. In 2005/06 BVRs covered Vehicle Workshops; Service Level Agreements with Hampshire County Council (HCC); and Partnership Arrangements (all referred to in this audit). In addition, the Service is heavily engaged in reviews being undertaken by the South East Fire and Rescue Services Regional Management Board - particularly in the HR and training work streams. These are being given a higher priority during 2006/07 in that they will impact directly on HFRS areas special interest. At the June meeting of SMT it was agreed to scope a potential BVR of the Authority's policies and practices in relation to environmental/sustainability policies and practices. A longer-term programme of reviews will be established with several `follow-on' reviews likely to emerge from the review of Service Level Agreements with HCC.

September 2006

3.36

Consideration should be given to attaining further quality accreditation from external bodies as a means to demonstrate the effectiveness of service delivery.

2

Deputy Chief Officer (T/HR/SRM) together with Senior Divisional Officer (Training);

Deputy Chief Officer (Ops/CFS) together with Senior Divisional Officer (CFS).

Deputy Chief Officer (T/HR/SRM)







Deputy Chief Officer (Ops/CFS)

Attainment of `Investors in People' (IIP) - for the whole organisation - by April 2007 is a firmly established objective in our IRMP.





Attainment of Beacon Status for our fire safety work in schools is being considered for 2007/08, but this is dependent on our capacity to undertake the work and a formal decision being made.

IIP accreditation process underway - for completion April 2007;

Decision to be taken February 2007.

3.41

We recommend that a comprehensive list is maintained of all partnership arrangements in place, which should be reported annually to the Service Management Team.

2

Director of Corporate Services together with the Performance Review Manager.

Director of Corporate Services

The outcomes of the Best Value Review of our partnership arrangements is due to be presented to the Authority in September 2006. This will include the future use of a `checklist' of good practice to determine the robustness of partnership arrangements. This will assist in determining which of our numerous collaborative initiatives with other organisations constitute are genuine `partnerships'.

First report to SMT April then annually

3.42

We recommend that partnership arrangements are clearly documented, including roles and responsibilities.

2

Members of SMT as `owners' of strategic partnerships

Members of SMT as `owners' of strategic partnerships

As per recommendation 3.41 - the checklist will provide a template for documentation.

Ongoing requirement, but first check of compliance in April 2007.

3.56

We recommend that a register of interests should be maintained in which all staff can record declarations.

2

Head of Financial and Office Services.

Head of Financial and Office Services.

We are proactive at maintaining a register of interests for members of Service Management Team, but do not routinely record information for all staff in a register. We will take steps to advise staff of the need to register interests following advice on identified best practice.

Mar-07

3.63

We recommend that an annual report on corporate risks should be presented to Members to provide assurance.

2

Director of Corporate Services together with the Performance Review Manager.

Director of Corporate Services

The Strategic Risk Register was last presented to the full Authority in February 2005. It is reviewed during the year by the Corporate Management Team. The intention is to present the Register to the Authority at its September meeting each year at the start of the budget preparation process in order to pick up any issues requiring additional resources.

Sep-06

FR031 Travel and Subsistence 2005/06

3.21

We recommend that training is provided for Human Resources staff with budget responsibilities on the budget monitoring reports available. A record on the monitoring undertaken should be kept for audit purposes.

3

Human Resources Operations Officer.

Head of Safety and Risk Management/Human Resources

Financial Services can provide training in budgetary control at Service level which reports total expenditure against budget. More detailed reports regarding individuals' expenditure is available from Carplan which could be requested to ensure that individuals are on the correct rate or to compare the travel of similar postholders and this might identify best practice.

April 2007

3.23

Human Resources should continue to develop management information that will highlight trends in mileage carried out in private vehicles and review the policy on essential/leased care users to ensure value for money is being achieved.

2

Deputy Head of Human Resources.

Head of Safety and Risk Management/Human Resources

HR is undertaking a project to review pay and rewards. This may highlight the need to review arrangements for essential/lease car users.
Requirement for Workforce management information has been noted, but is not a priority activity at this time.

Review requirements in September 2007