Archived decisions

Audit No /Ref

Recommendation

Priority

1=Low

2=Med

3=High

Post responsible

SMT

Comments

Action Date

Follow up

Date Closed

CORPORATE GOVERNANCE 2005/06

3.18

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

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

Deputy Chief Officer

At our June 2006 meeting of SMT we discussed our performance indicator for the number of complaints received - which are always very few in number. It was agreed 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

02/10/2006

18/12/2006

22/01/2007

19/02/2007

26/04/2007

09/02/2007 PRT NOTE: The new complaints procedure has been written and is currently being put through the Equality Impact Assessment process.

26/04/2007 PRT Note Now complete

3.42

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

Members of SMT as `owners' of strategic partner-ships

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

Ongoing requirement, but first check of compliance in April 07

N/A

5/04/2007

3.36

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

Director of HR

Deputy Chief Officer (T/HR/SRM)

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

IIP accreditation process underway - for completion Apr 07 - amended to Q3 2007

21/05/2007

Dep. Chief Officer (Ops/CFS) together Area Manager (CFS)

Deputy Chief Officer (Ops/CFS)

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.

Decision to be taken Feb 2007

21/05/07

PRT Note 21/05/2007: The progress towards attainment of IIP is monitored through the Improvement Register, and is therefore being monitored by management. The item will therefore be closed as an audit action point.

DATABASES 2006/07

3.8

Procedures for updating databases should be documented and stored securely. Any database that relies on feeds from other systems should have contingency arrangements in place if that feed is no longer available.

ICT Manager

Director of Corporate Services

Agreed. New database developments will follow Prince2 project management methodology which will ensure that system implementation includes the publication of appropriate documentation.

Immediate

20/04/2007

3.9

Database functions/commands should be documented so support can be maintained where there is absence of key support staff.

ICT Manager

Director of Corporate Services

Agreed. New database developments will follow Prince2 project management methodology which will ensure that system implementation includes the publication of appropriate documentation.

Immediate

20/04/2007

3.16

We recommend that all critical applications are supported by HFRS IT Services/IT Services to ensure that fast and efficient service is provided in event of system problems.

ICT Manager

Director of Corporate Services

Agreed. This is incorporated in the ICT Strategy. Legacy systems developed and supported by other HFRS departments in the past are being phased out.

Immediate

20/04/2007

3.17

It is recommended that build documentation is produced in case of a rebuild being necessary and for ease of duplication if a similar database is needed.

n/a

Director of Corporate Services

Applications are already backed up comprehensively, and will be restored from tape in the event of a system loss.

N/A

3.18

It is recommended that any new database that is going to be produced goes through a standardised and structured project, testing and pilot process to sure adequate resources are available to produce and support the service, documentation is available for technical support and to support the fact a pilot has been carried out and the service meets the needs of its original purpose.

A project plan would also prevent `scope stretch' whereby the original purpose of the database has been surpassed by additional requests for new features/functions.

ICT Manager

Director of Corporate Services

Agreed. New database developments will follow Prince2 project management methodology which will ensure that system implementation includes the publication of appropriate documentation.

Immediate

20/04/2007

3.20

Support documentation should be compiled to ensure services run effectively if the main support contact is unavailable. They should be dated and authored to ensure the information is still relevant.

ICT Manager

Director of Corporate Services

This documentation is already being incorporated in the business continuity plans.

Immediate

20/04/2007

DEBTORS AND CASH INCOME 2006/07

3.15

The prices for emergency catering should be reviewed annually and the pricing policy updated accordingly, even if there is to be no increase. This will avoid any confusion over what the current price is and ensure that staff are using the most up to date pricing policy so that prices are applied consistently.

Deputy Chief Fire Officer/ Specialist Response & Strategic Projects

Agreed.

April 2007

18/04/2007

19/04/2007

SECURITY & PASSWORD CONTROLS 2006/07

3.12

We recommend that job description documentation should use the same titles as those in SAP, all staff must have one attached to them or their role. These should be reviewed at least annually to ensure it reflects current responsibilities and even if no changes are made the date of this review should be noted.

ICT Manager

Director of Corporate Services

ICT Manager working on this.

New PDR systems now require review of job descriptions as part of the annual review process

30/06/2007

20/04/07

April 2007

3.25

We recommend auto update fields for dates of last review are removed from the business continuity documents so that a true date of review can be maintained.

ICT Manager

Director of Corporate Services

Already on master document.

Done

20/04/2007

3.29

We recommend that consideration is given to moving the Novell server at workshops away from water pipes.

N/A

Director of Corporate Services

Workshops moving from Winnal to Eastleigh from which point this problem will no longer exist. No action required.

No action

N/A

3.20

We recommend that if there are water tanks or pipes above the server room (Premises should be able to provide this information) then consideration should be given to water detection equipment being installed.

Property Services Manager

Director of Corporate Services

To be investigated by Property Services Department

April 2007

27/04/2007

15/05/2007

3.14.1

We recommend that the processes for reviewing and taking access on the unused user id reports are documented and implemented to ensure swift removal of Hantsnet ids.

IT Trainer

Director of Corporate Services

There is a process, just needs to be documented and put in procedures file.

Staff changes necessitate new action date.

Procedure added to Helpdesk secure web area

June 2007

31/07/07

27/04/2007

05/06/07

09/06/07

3.14.2

Consideration should be given to including IT Security for users as an induction topic for all new starters. This should promote the policies users are required to comply with and highlight where they can find further guidance.

Help Desk Supervisor

Director of Corporate Services

New staff induction pages are in place on HFRS.net with links to IS Help Desk for advice on pass-words etc. More links to be put in place to further promote IS User Policy and other security advice that exists on IS Intranet pages.

June 2007

27/04/2007

31/05/2007

3.14.3

We recommend that the authorised persons for SAP finance and HR roles document their processes and controls to ensure all authorised persons are consistent in vetting and authorising requests.

Financial Services Manager (F&P roles only)

HR Manager, Workforce Support

Agreed for Finance and Procurement roles.

HR have now drafted their processes which will be documented for use in HR. HR have also been encouraged to refine the way they store requests and will in future store them in the same way as Help Desk.

Access requests now stored in line with Helpdesk system.

Aug 2007

June 2007

05/06/07

01/05/07

3.14.4

We recommend that organisational unit details reports are provided to budget holders regularly (at least annually) so they can review who has access to their organisational unit and request changes if necessary.

Financial Services Manager

Head of Financial & Office Services

This can be done for budget holders with their own unique org unit e.g. IS, Workshops, but for the majority of budget holders, their orders are raised in one org unit (F000) and so this report will show many users that a budget holder would not expect to see. F000 user's access is restricted by the routing record and I am not aware of a SAP report for this.

Action now completed - report sent to budget managers

April 2007

Amended to June 2007

27/04/2007

31/05/07

3.18

We recommend that an audit of who has access to the IT area and server room is undertaken. This must include cleaners, premises staff and contractors. The people with access must be reviewed and all have a justifiable case for having access to the servers.

IT Technician

Director of Corporate Services

Audit to be carried out as recommended.

Also door codes to be changed and documented.

Entry restricted to personal issue door entry cards (IS staff only)

May 2007

27/04/07

31/05/07

PRT Note 21/05/2007: Codes have been changed and review of access is currently underway.

WORKSHOPS 2004/05

3.19

To avoid duplication the two computer systems should be linked.

Workshop Manager

Deputy Chief Fire 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.

31/10/05 PRT note: New line is being installed as part of the IT upgrade, awaiting installation.

Still outstanding (18/11/05) New action date agreed.

16/05/06 PRT note: 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 2006

June 2006

31/10/2005

13/12/2005

24/01/2006

15/05/2006

23/10/2006

23/01/2007

19/02/2007

1/05/2007

PRT NOTE: The Network upgrade mentioned above was completed in November 2006.

It is understood from the Workshops Manager that the option of linking TRACE with SAP is prohibitive due to the cost.

The audit undertaken in 2006 recommended that a post implementation review of the TRACE system be undertaken (rec no.3.10), and is currently in progress. This issue should be considered in this review, and if the decision is taken that it is too expensive then the action will be closed.

PRT NOTE: The Director of Strategic Projects and Specialist Response has now confirmed that a plans are in place to procure a new IT system to replace the TRACE system. A link to SAP will be a requirement of the specification of any new system. For this reason, it is recommended that this action be closed.

WORKSHOPS STORES 2006/07

3.41

We recommend that a user manual should be requested for the TRACE system to ensure methodical control is always maintained.

Workshop Manager

Deputy Chief Fire Officer

Waiting for a response from TRACE.

31/03/2007

23/01/2007

13/02/2007

March 2007

3.10

We recommend that steps are taken to establish the functionality of TRACE as part of a post system implementation review to ensure the system meets the business requirements of Workshop stores.

Workshop Manager

Deputy Chief Fire Officer

Agreed

31/03/2007

23/01/2007

13/02/2007

26/04/2007

24/05/2007

3.12

We recommend that the agreement between the Authority and the contractor used to collect scrap metal should be formalised, indicating the methodology behind the valuation of metal waste and payment rates applicable to scrap retrieved. This should be periodically reviewed for best value purposes.

Workshop Manager

Deputy Chief Fire Officer

Agreed

31/12/2006

23/01/2007

13/02/200

26/04/2007

24/05/2007

3.20

We recommend that year end stock taking is undertaken by staff who are independent of Workshops. In addition, consideration should be given to establishing a rolling programme of stock checking to confirm the accuracy of stock records and to investigate any discrepancies.

Workshop Manager

Deputy Chief Fire Officer

Agreed

31/03/2007

23/01/2007

13/02/2007

09/05/207

21/05/2007

3.37

We recommend that the policy for the sale of old/redundant stock should be formalised, agreed with the Finance Department and written down in procedures, to include supporting the Benevolent Fund.

Workshop Manager

Deputy Chief Fire Officer

Policy agreed and in place 30/05/07

31/03/2007

26/04/2007

20/05/07

PRT Note: The policy was received by the Performance Review Team for comments (27/02/2007). The item will be closed once confirmation is received that it has been agreed by Financial Services and issued.

PRT Note : Awaiting confirmation from Workshops Manager that the policy is now in place

3.23

A full audit trail should be maintained of adjustments to stocks and write-offs.

Workshop Manager

Deputy Chief Fire Officer

Agreed

31/03/2007

23/01/2007

13/02/2007

26/04/2007

24/05/2007

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.

Procurement Manager

Head of Finance & 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 operational support officers to assist with the stock checks. This happened in March 2006 and will be pursued for following years. Also, conversations have taken place with HCC County Supplies who have offered support and services in providing a third party stock take during Aug/ Sept of each year using their stock management team, while their business is running at a slower pace due to school holidays. This means 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.

Sept 2006

02/10/2006

08/05/2007

09/05/2007

PRT NOTE: The end of year stock count will be undertaken by Operations rather than Stores staff. HCC staff may be used when they are available during August/ September. Will be followed up in April 2007, after year end.

PRT Note 09/05/2007: The end of year stock take was supported by current and temp staff. County Supplies have offered their support, but have not been used to date. Management have taken the decision that this is not necessary at present.

CREDITORS 2006/07

3.16

We recommend that staff are reminded that when goods are received with a delivery note, the goods are checked and the delivery note is signed.

Financial Services Manager

Head of Financial & Office Services

Agreed.

April 2007

N/A

16/03/2007

3.8

Purchase Order Requests should be retained by Community Fire Safety to confirm that the goods or services have been requisitioned and authorised by separate and appropriate officers, prior to the official order being raised.

N/A

Disagreed. Purchase order request forms are filed with the copy orders in the Supplies Department so no need for Community Safety to retain as well.

n/a

N/A

3.10

The Premises Administrators should continue to retain the requests received for orders to be raised to confirm adequate segregation between requisition and ordering. Official confirmation such as an e-mail should then be obtained from the station receiving the goods to confirm receipt by the Premises Administrators. Therefore supporting their role as they are ordering and receipting the goods on SAP.

Property Services Manager

Agreed.

April 2007

10/05/2007

URBAN SEARCH AND RESCUE TEAM 2006/07

3.7

In conjunction with Human Resources, contracts for wholetime staff should be issued as soon as possible.

N/A

Already completed

N/A

3.8

Progress should be monitored to ensure that a procedures document is completed according to the plan.

Group Manager

USAR

Director of Strategic Projects and Specialist Response

GM Civil Protection and SM USAR are progressing this

First draft due 31/4/07

24/04/2007

21/05/2007

PRT Note 21/05/2007 - Procedure notes have been developed and being maintained on the network. This is a living document that will be updated as and when necessary.

3.15

Only one claim pad for retained duties should be used at any one time, all claims should be filed in numerical sequence and the reasons for missing claims established to ensure that no claims can be made that have not been officially authorised and that all claims can be accounted for.

SM USAR

Already completed. Only one pad in use. Missing items occurred due to spoiled claims being destroyed rather than kept. Staff now trained in the correct procedure.

Completed

24/04/2007

3.6

The remaining job descriptions should be completed without further delay to ensure clarity of roles.

Group Manager

USAR

Director of Strategic Projects and Specialist Response

The USAR team are currently keeping a log of all their various activities to help inform this process. Once completed meaningful Job descriptions will be produced jointly by Group Manager and Human Resources

30/5/07 to allow for the current process

24/04/2007

22/05/2007

3.23.1

Clarification needs to be obtained on the future use of the USAR funds which are transferred to HFRA balances at the end of the financial year as such balances would now appear to be lost to the USAR Team.

Group Manager

USAR & Director Of Corporate Services

Director of Strategic Projects and Specialist Response

This is currently addressed as necessary by senior management and the GM. When the method of funding by DCLG changes from Section 31 grants to the Rate Support Grant clarification will be sought.

Ongoing

24/04/2007

22/05/2007

3.23.2

All budget holders, including the USAR Team, should provide the Financial Services Officer with the regular budgetary monitoring information that is requested.

Group Manager

USAR

Director of Strategic Projects and Specialist Response

GM Civil Protection to comply

Ongoing

24/04/2007

22/05/2007

3.23.3

A revised 2006/2007 USAR budget should reflect any underspends that require Committee approval for carry forward into the following financial year.

Group Manager

USAR

Director of Strategic Projects and Specialist Response

GM Civil Protection to revise 2006/7 budget and arrange for approval for carry forwards.

1/3/07

24/04/2007

22/05/2007

3.23.4

A draft 2007/2008 budget for the USAR Team should now be in place.

Group Manager

USAR

Director of Strategic Projects and Specialist Response

GM Civil Protection to produce budget for 2007/8

1/5/07 to allow for DVLG information

24/04/2007

22/05/2007

3.23.5

An estimate should be made of the additional expenditure incurred by the HFRA as a result of the USAR Team in order that these costs can be reflected in the USAR budget.

Group Manager

USAR

Director of Strategic Projects and Specialist Response

All expenditure incurred by the USAR Team to be coded to the USAR budget so previously hidden costs can be identified.

Ongoing

24/04/2007

22/05/2007

3.23.6

Due to the complexity and uncertainty of the funding streams, the USAR Team should give increased priority to the financial and budgetary aspects of running the Team.

Group Manager

USAR

Director of Strategic Projects and Specialist Response

GM Civil Protection will prioritise budgetary aspects of his role and seek assistance to improve this area.

Ongoing

24/04/2007

22/05/2007

PRT Note 21/05/2007 - Administrator will be attending a financial training course in the week commencing 29/05/2007, and will therefore provide assistance to the Group Manager in budget monitoring.


Audit No/Ref	_ Recommendation	Priority 1=Low 2=Med 3=High	Post responsible	SMT	Comments	Action Date	Follow up	Date Closed
OVERTIME 2005/06
3.10	We recommend that the Authority complies with the Working Time Directive and a record is kept of individual employee hours worked to ensure compliance.	3	Deputy Head of HR	Head of HR	The Working Time Directive steering group is currently working on a project to produce recommendations for the monitoring of employees hours and various other contractual aspects. They have been advised of the comments contained in this report. This item has been added to the Strategic Risk Register.	Ongoing June 2007	15/05/2007	15/05/2007
PRT Note: A paper was presented to SMT in May 2007 and will be presented to Human Resources Committee in June 2007. A Service Order has been written and will be put in place from 1^st July 2007. TOIL hours of Grey book staff and Flexi hours of Green book staff are managed locally. The issue will continue to be monitored on the Strategic Risk Register.
3.10	The overtime hours of the employee outlined in the report should be reduced immediately, in line with the Directive.		Head of IT Services	Director of Support Services	Ref the employee outlined - agreed and actioned.		18/12/2006	19/12/2006
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 Finance & Office Services	Unactionable with the current situation with regard to Day crewed system. Will change if Andover becomes continuous shift in October 2006.	Oct 2006	05/12/2006 24/01/2007 13/04/2007	15/05/2007
PRT Note: The station will now commence continuous crewing in April 2007. The limit for the accumulation of TOIL is now 50 hours and the levels are being monitored by the Station Manager. This item will be closed upon confirmation that all TOIL levels have reduced. 15/05/2007 PRT Note: Now that crewing arrangements have changed, TOIL levels, which in some cases are still high, are being managed by the Station and Group Managers. It is proposed that this item now be closed from a reporting point of view, but it will be continued to be monitored by Performance Review Team


Audit No/Ref	_ Recommendation	Priority 1=Low 2=Med 3=High	Post responsible	SMT	Comments	Action Date	Follow up	Date Closed
PROPERTY MANAGEMENT 2005/06
3.21	It is recommended that: · the Property Services Manager should be designated as Energy Conservation Officer for HFRS, and this additional responsibility included in a revised job description. In this role he will have responsibility for monitoring energy usage and promoting energy efficiency		Property Services Manager	Director of Corporate Services	Accepted, but there are both capacity and resource implications in developing this role. Specific actions will nevertheless be developed as part of the Best Value Review of Environmental Impact and Energy Conservation agreed by Performance Review Committee in Sept 2006.	31/03/2007 to 31/03/2008		15/05/2007
	· HFRS should consult with the Energy Conservation Section of PBRS in order to determine the optimum way forward to utilise the current available data on energy and water usage. This should form the basis of an effective process for the monitoring of these costs throughout the Service.
	· HFRS should set itself some realistic and achievable targets to reduce energy and water costs.
PRT Note 15/05/2007: the Best Value Review of the Environmental Impacts of the Service and Energy Conservation has been approved and work is currently underway. The review will include the issues raised in this recommendation For that reason it is proposed that the item be closed as an action point.


Audit No/Ref	_ Recommendation	Priority 1=Low 2=Med 3=High	Post responsible	SMT	Comments	Action Date	Follow up	Date Closed
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 of the monitoring undertaken should be kept for audit purposes.	3	Human Resources Operations Officer	Head of 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. This might identify best practice.	April 2007	15/05/2007	23/05/2007

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