Archived decisions
Audit No /Ref |
_ Recommendation |
Priority 1=Low 2=Med 3=High |
Post responsible |
Service Management Team |
Response |
Action Date |
Follow up |
Date Closed |
BEAULIEU FIRE STATION/ NEW MILTON FIRE STATION/ HYTHE FIRE STATION/ HAMBLE FIRE STATION/ GOSPORT FIRE STATION/ SOUTHSEA FIRE STATION/COPNOR FIRE STATION - All 2007/08 | ||||||||
3.9 |
We recommend that all station items are adequately marked both visibly and invisibly to act as both a deterrent and aid recovery. |
2 |
Station Managers |
Assistant Chief Officer - Service Delivery Response |
The service order SO/2/4 is being updated. The changes to security marking means that all items will be marked with a visible adhesive label and should be marked - HFRS followed by the Station number. |
31/03/2008 |
31/12/2007 |
31/03/2008 |
HUMAN RESOURCES 2006/07 | ||||||||
3.25 |
To ensure that delays are minimised, procedures should be reviewed for the issue of conditional offers and contracts. |
2 |
Human Resources Managers (Workforce Support and Planning) |
Director of Human Resources |
A delay in the Issue of contracts delay is not acceptable. Work allocation within the Workforce Support team is under review to address this issue. |
October 2007 |
16/10/2007 |
10/03/2008 |
3.3 |
As soon as practically possible, updated guidelines, flowcharts and procedural notes, setting out the responsibilities of each team should be produced, and any transitional problems resolved. |
2 |
Human Resources Managers - Workforce Support + Planning |
Director of Human Resources |
Agreed |
31/03/2008 |
17/10/2007 15/01/2008 |
16/04/2008 |
INDENTS 2007/08 | ||||||||
3.6 |
Only one Indent pad should be used at a time. |
1 |
Procurement Manager and Station Managers, HQ Dept Managers and Officers in Charge at Retained Stations |
Head of Finance & Office Services/ Area Manager Service Delivery Response |
Agreed, Guidance notes have been amended to reflect this control criteria. All stations that have 2 pads will be told to exhaust this until only one pad remains. And that this becomes a requirement in the future and is now reflected in the guidance notes. |
1/04/2008 |
N/A |
1/04/2008 |
3.7 |
Indent pads at Fire and Rescue Headquarters should be locked away when not in use. |
2 |
Procurement Manager and Station Managers, HQ Dept Managers and Officers in Charge of Retained Stations |
Head of Finance & Office Services/ Area Manager Service Delivery Response |
Partly agreed that indent pads when not in use should be controlled and stored securely. This point will be reiterated within the amended guidance notes and communication with Station Managers. |
1/04/2008 |
N/A |
1/04/2008 |
3.8 |
All copies of Service Indent Vouchers must be retained by the relevant area. |
2 |
Station Support Manager / Station Managers/ Officers in Charge of Retained Stations |
Head of Finance & Office Services/ Area Manager Service Delivery Response |
Agreed. All blue copies should remain with stations / departments for audit purposes and to annotate indent dispatch numbers on once goods are delivered. This again has been reflected in amended guidance notes and communications with Station Managers and administrators. |
1/04/2008 |
N/A |
1/04/2008 |
3.9 |
Service Indent Vouchers should be completed correctly to include date, requisitioning officer, goods required and quantity. |
2 |
Procurement Manager and Station Managers, HQ Dept Managers and Officers in Charge of Retained Stations |
Head of Finance & Office Services/ Area Manager Service Delivery Response |
Agreed, Guidance notes were written highlighting this requirement. This again has been reflected in amended guidance notes which hopefully simplify this requirement and re-iterate it to all managers. These new guidance notes will be updated on the intranet and circulated to all managers. |
1/04/2008 |
N/A |
1/04/2008 |
3.17 |
Once goods are received, the despatch note and indent reference, this should be documented on the Service Indent Voucher. |
2 |
Station Support Manager / Station Managers/ and Officers in Charge at Retained Stations |
Head of Financial & Office Services/ Area Manager Service Delivery Response |
Agreed. |
1/04/2008 |
N/A |
1/04/2008 |
3.19 |
Despatch notes relating to office or vehicle supplies should be signed by the person checking and receiving the goods. For items requested by firefighters at stations, the despatch note should be signed and returned to the Administrator to retain on file. |
2 |
Station Support Manager / Station Managers/ Officers in Charge Retained of Stations |
Area Manager Service Delivery Response |
Agreed |
1/04/2008 |
N/A |
1/04/2008 |
FINAL ACCOUNTS AUDIT 2006/07 | ||||||||
R1 |
Fixed Assets Work in Progress Ensure processes are in place to identify assets and part projects to be transferred out of fixed assets work in progress at the appropriate time |
N/A |
Principal Accountant/ Head of Office and Business Services |
Director of Corporate Services |
Processes will be reviewed to ensure that elements of large capital projects are identified when they become operational and are valued so that users are charged for the use of assets as part of the cost of service delivery. |
31/03/2008 |
05/02/2008 |
14/05/2008 |
R2 |
Goods Received Clearing Account Progress has been made on clearing matched entries in the clearing account, but aim to ensure that all items more than 3 months old have been cleared. |
N/A |
Financial Services Manager |
Director of Corporate Services |
A new report has been developed which will facilitate clearing matched entries. Also further training has been commissioned from Hampshire Systems Training Team |
31/03/2008 |
05/02/2008 |
05/02/2008 |
SERVICE ORDERS 2007/08 | ||||||||
3.9 |
All Service Orders should include a review date to ensure that they are reviewed regularly ensure that they incorporate the current information. |
2 |
Helpdesk Supervisor |
Head of Financial & Office Services |
This will be incorporated into the spreadsheet by Hampshire Fire & Rescue Services Information Services Department when they design the product. |
1/03/2008 |
30/04/2008 |
30/04/2008 |
3.10 |
All Service Orders should be reviewed promptly when due. |
2 |
Central Services Assistant |
Head of Financial & Office Services |
The Central Services Assistant will have a mechanism, either built into the spreadsheet or via Outlook, that will flag up on a monthly basis Service Orders that need to be reviewed within the next couple of months. The Central Services Assistant will then be responsible for logging an audit trail until the Service Order(s) has been reviewed. |
1/03/2008 |
30/04/2008 |
30/04/2008 |
DEBTORS AND CASH INCOME 2007/08 | ||||||||
3.3 |
We recommend that staff involved in work connected with the debtors' function should be reminded of the importance of Financial Regulations in their area of work. |
2 |
Financial Services Manager |
Head of Finance & Office Services |
Agreed. |
March 2008 |
N/A |
21/02/2008 |
3.4 |
We recommend that all job descriptions should be dated and review dated to confirm current job practices. |
1 |
Information Services Manager Business Education Unit |
Director of Corporate Services Assistant Chief Officer Community Response |
Community Safety Support - done Others - agreed. |
Immediate March 2008 |
15/02/2008 15/02/2008 29/05/2008 |
15/02/2008 29/05/2008 |
3.16 |
We recommend that the receipt book should be ruled-off after the entries relating to each banking. We also recommend that two people should be present in the Information Services Department when income is collected, and all income should be banked within seven days of receipt. |
Financial Services Officer Information Services Manager / Information Services Senior Administrator |
Director of Corporate Services |
Already being done The Information Services Department has already implemented a two person present when opening all cash payments and all Information Services staff have been briefed of that procedure. All mobile phone bills and payments are now processed and passed to Financial Services within five working days. With regards to recording receipt numbers, again this will be reviewed in the Jan/Feb pro-active audit mentioned above. |
Immediate |
15/02/2008 |
29/05/2008 | |
3.13 |
We recommend that Service Orders should be updated to include that personal cheques may not be cashed under any circumstances |
2 |
Financial Services Officer |
Head of Finance & Office Services |
Agreed |
March 2008 |
15/02/2008 |
29/02/2008 |
3.20 |
We recommend that consideration should be given to the updating of Financial Regulations to incorporate an upper limit of £5,000 instead of £3.000, to be consistent with Hampshire County Council, who are an integral element of the write-off procedure. |
1 |
Financial Services Manager |
Head of Finance & Office Services |
Agreed |
March 2008 |
N/A |
13/02/2008 |
WORKSHOPS 2007/08 | ||||||||
3.11 |
We recommend that surplus, obsolete, damaged and out of date stock should be identified and investigated on a regular basis and evidence of this retained. Further consideration should be given to reducing stock holding levels further with the use of call-off arrangements with suppliers. |
3 |
Fleet Maintenance Centre Manager |
Director of Strategic Projects & Specialist Response |
Agreed Stores Manager has carried out stock movement exercise and identified potential stock for disposal. This will be reviewed and treated correctly. Parts retrieved/ repaired will be taken into stock or disposed. |
14/04/2008 |
24/01/2008 |
07/05/2008 |
3.15 |
We recommend that a regular, annual, write-off of obsolete stock should be undertaken and recorded by staff independent of the stores. All written-off stock should be promptly removed from the stores for resale or destruction. |
2 |
Fleet Maintenance Centre Manager |
Director of Strategic Projects & Specialist Response |
Agreed. Once merged with HQ Stores, their procedures will be followed. |
14/04/2008 |
24/01/2008 |
07/05/2008 |
3.2 |
We recommend that formal contractual agreements should be set up for all external services/work on behalf of the Fire Authority. These should be signed by both parties to the agreement. |
3 |
Workshop Manager |
Director of Strategic Projects & Specialist Response |
A contract will sent to all Workshop non HFRS customers covering costs, liability etc.& review date. Workshop orders will contain the standard terms & conditions. |
31/03/2008 |
24/01/2008 |
07/05/2008 |
3.3 |
We recommend that current detailed job descriptions should be compiled for each workshops employee. These should be dated and reviewed regularly. |
1 |
Workshop Manager |
Director of Strategic Projects & Specialist Response |
Agreed. |
April 2008 |
24/01/2008 |
7/05/2008 |
3.4 |
We recommend that Personal Development Review Portfolios are completed in full, to include copies of job descriptions. |
1 |
Workshop Manager |
Director of Strategic Projects & Specialist Response |
Agreed. |
April 2008 |
24/01/2008 |
7/05/2008 |
3.38 |
We recommend that outside customers should be requested to complete an indemnity absolving the Fire Authority against loss/claim in the event of fuel contamination or health and safety issues. |
2 |
Workshop Manager |
Director of Strategic Projects & Specialist Response |
This will be added to the contract for non-HFRS customers (3.2) |
31/03/2008 |
24/01/2008 |
09/06/2008 |
FOLLOW-UP PROPERTY MANAGEMENT & CAPITAL CONTRACTS 2007/08 | ||||||||
3.8 |
Clear timescales for the completion of the strategy should be set in order that Members are aware of the operational and financial consequences of the outcomes of the strategy, which can then be incorporated in the corporate planning process for 2008 and the budgetary considerations for 2009/2010. |
3 |
Property Services Manager |
Director of Corporate Services |
The overall strategy and process has been agreed by the Authority, but the full detail in the supporting Register has not, so far, been presented in full to Members. This will be undertaken via the Asset Management Working Group before the start of the next budget planning cycle. |
30/06/2008 |
N/A |
June 2008 |
COPNOR FIRE STATION 2007/08 | ||||||||
3.31 |
The Station Manager should contact the Social Club Treasurer to ensure he receives all records to be able to produce the end of year accounts and ensure all funds are secure and accounted for and that the intervening years accounts have been approved and reported to members. |
3 |
Station Manager |
Assistant Chief Officer Community Response |
Agreed |
30/06/2008 |
13/05/2008 |
09/06/2008 |
PAYROLL 2007/08 | ||||||||
3.5 |
We recommend that the Workforce Support Section should not accept `post-it notes' as a recognised document of payroll input. |
2 |
Human Resources Manager |
Director of Human Resources |
Agreed - Process flow review nearing completion, template of required information in use. WFS staff informed of position and instructed not to accept informal documentation. |
May 2008 |
13/05/2008 |
13/05/2008 |
3.6 |
We recommend that the Workforce Planning Section should issue contracts of employment, rather than Workforce Support as part of the Human Resources function. |
2 |
Human Resources Manager |
Director of Human Resources |
We are content that there is sufficient separation of duties under the current arrangements. Planned developments to utilise the SAP recruitment module will further enhance this separation and internal monthly audit-style reports being run by the management Information Systems section to provide additional security/scrutiny in this area. |
N/A |
N/A |
N/A |
3.8 |
We recommend that all sickness absence forms should be authorised and care taken to ensure all are entered on the SAP financial system. |
2 |
Human Resources Manager |
Director of Human Resources |
Accepted -All staff responsible for sickness input to be informed this is a priority. Also, a trial of MSS/ESS including direct managerial sickness input is being undertaken with a view to rolling out by the financial year end. |
April 2008 |
N/A |
16/05/2008 |
3.9 |
We recommend that in the absence of the Chief Fire Officer, a senior manager be designated to authorise the sickness absence of the Director of Human Resources. This should be documented appropriately in confirmation of this revision to procedure |
2 |
Human Resources Manager |
Director of Human Resources |
Agreed - this will be arranged for the short term, however, the introduction of MSS could obviate the requirement for this in the future. |
April 2008 |
13/05/2008 |
13/05/2008 |
3.14 |
We recommend that in accordance with Service Orders 1/2/4 paragraph 2.2, line managers should complete forms FM/1/1/4 on an employee leaving the Authority to ensure all elements of the exit procedure are captured and there is accuracy in the final payment. |
2 |
Human Resources Manager |
Director of Human Resources |
Regular reminders have been issued in Routine Notices. This will be continued. |
Ongoing |
13/05/2008 |
13/05/2008 |
3.15 |
We recommend that the Workforce Planning Section should be requested for early notification of a new employee's commencement, in order that the payroll may be expedited promptly. Confirmation of authorisation should be recorded on all copy appointment letters. |
2 |
Human Resources Manager |
Director of Human Resources |
Agreed - This point should be resolved when the outcome of the process mapping/review is completed shortly. |
April 2008 |
13/05/2008 |
13/05/2008 |
3.16 |
We recommend that all employees' contracts of employment should be signed on behalf of the Authority and copies of all confirmation of appointment letters held on file should be signed/initialled to confirm authorisation and complete the audit information trail. |
2 |
Human Resources Manager |
Director of Human Resources |
Agreed - Workforce Support and Workforce Planning staff will be advised to ensure this is actioned on all occasions. |
April 2008 |
13/05/2008 |
13/05/2008 |
3.8 |
Clear timescales for the completion of the strategy should be set in order that Members are aware of the operational and financial consequences of the outcomes of the strategy, which can then be incorporated in the corporate planning process for 2008 and the budgetary considerations for 2009/2010. |
3 |
Property Services Manager |
Director of Corporate Services |
The overall strategy and process has been agreed by the Authority, but the full detail in the supporting Register has not, so far, been presented in full to Members. This will be undertaken via the Asset Management Working Group before the start of the next budget planning cycle. |
30/06/2008 |
N/A |
19/06/2008 |
COMMUNITY FIRE RISK MANAGEMENT INFORMATION SYSTEM (CFRMIS) 2007/08 | ||||||||
Personal data should be encrypted in the database by the application. The software supplier should be approached to determine the cost, and this should be considered against the risk and impact to HFRS of this data being abused. |
2 |
CFRMIS Development Officer |
Assistant Chief Officer - Community Safety Service Delivery |
The software supplier has no plans to encrypt data. They advise that encryption of data could `lock down' the system to an unmanageable level. Access to personal data is restricted and their view is that the level of confidentiality within the role of database administrators should be sufficient to maintain security of the data. We agree with their views. |
Not Accepted |
N/A |
N/A | |
3.6 |
SAP leaver reports should be dealt with promptly. |
2 |
Senior Admin Manager/CFRMIS System Administrator |
Assistant Chief Officer - Community Safety Service Delivery |
Procedures are in place to manage the SAP leaver reports. These procedures are regularly monitored. The recent restructure of the Helpdesk will ensure that reports are dealt with promptly. |
Immediate |
N/A |
06/06/2008 |
3.6 |
The support and service provided by the supplier should be monitored and if problems are not being resolved in good time or are costing too much then management should consider renegotiating an Service Level Agreement that fits the level of support required better for a lower overall cost. |
The level of support received from Innogistic meets our current needs. We have an effective working relationship and report mechanism with Innogistic. The annual maintenance cost is relatively low in comparison to the level of support received. The Auditor's comments have been noted. |
Not Accepted |
N/A |
N/A | |||
3.9 |
We recommend that the circumstances behind the apparent loss of Fire Damage reports at Fareham station should be investigated, in order to ensure that accurate incident data is recorded |
2 |
Station Manager in conjunction with Performance Review Team |
Director of Corporate Services |
This has been investigated and discussed with the Station Manager, who advises that there is no longer an issue in respect to Fire damage Reports at Fareham Fire Station. |
Immediate |
N/A |
3/06/2008 |
3.10 |
We recommend that the level of stats produced for Andover station should be investigated, in order to ensure that sufficient management information is produced. |
2 |
Performance Review Team Manager |
Director of Corporate Services |
An investigation into this is currently being made and actions will be put in place to resolve any issues or concerns. |
Quarter 1 2008/09 |
N/A |
3/06/2008 |
3.14 |
We recommend that the Fire & Rescue Service Plan should include a reference to Use of Resources as an integral part of the planning process. |
2 |
Director of Corporate Services |
Director of Corporate Services |
The Fire and Rescue Service Plan 2008-11 makes reference to the flexible and efficient use of resources. |
Immediate |
N/A |
3/06/2008 |
SECURITY & PASSWORD CONTROLS 2006/07 | ||||||||
3.22 |
We recommend that a programme to test the contingency and recovery plans is developed. |
2 |
Information Services Manager |
Director of Corporate Services |
Testing will form part of Business Continuity Programme. |
Dec 2007 revised to Quarter 4 2008/09 in line with corporate business continuity plans |
17/10/2007 |
09/06/2008 |
Secretarial/WP/C/HFRA/Governance HFRA Governance 26 6 08 Internal Audit Appx 2 - Actions completed NW/JMW/16/6/08