Archived decisions
Audit Ref No |
Recommendation |
Priority 1=Low 2=Med 3=High |
Post responsible |
Service Management Team |
Response |
Action Date |
Follow up Date |
Date Closed | |
WORKSHOPS 2007/08 - now called Fleet Maintenance Centre | |||||||||
3.33 |
We recommend that the Fleet Management system should be substituted for a more robust and suitable system at the earliest opportunity. |
3 |
Fleet Maintenance Centre Manager |
Director of Strategic Projects and Specialist Response |
New Fleet Management system currently being sourced. |
September 2008 extended to 01/04/2009 Further extended to quarter 3 2009/10 |
12/08/2008 09/02/2008 |
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Performance Review Team comment: The requirement for a new Fleet Management system has been included in a recent external review of the Fleet Maintenance Centre. A report on the outcomes of this review, including its conclusions in respect to the IT system is to be reported to the Performance Review and Scrutiny Committee on 14th September 2009. | |||||||||
FOLLOW-UP PROPERTY MANAGEMENT & CAPITAL CONTRACTS 2007/08 | |||||||||
3.6 |
Consideration should be given to developing a computerised system with appropriate linkages to the individual details in the property register to the overall summaries contained in the property strategy. |
3 |
Property Services Manager in conjunction with Information Services Manager |
Director of Corporate Services |
Agreed, we identified this as something we wanted to do once we were happy that the format of the register is working well. Given the flow of information, we will consider whether the condition survey data could be sent to us as a set of linked spreadsheets. |
31/03/2009 extended to quarter 3 2009/10 |
31/12/2008 20/02/2009 20/04/2009 28/08/2009 |
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3.6 |
In the longer term, consideration should be given to introducing an asset management system (linked to the Hampshire County Council computer system) in order to support the Property Strategy and Register. |
1 |
Property Services Manager in conjunction with Information Services Manager |
Director of Corporate Services |
We have already looked at a property management application used by Hampshire County Council, but concluded that its current state of development would add little real value. We will continue to monitor application development as part of SAP exploitation. |
31/03/2009 extended to quarter 3 2009/10 |
31/12/2008 20/02/2009 20/04/2009 28/08/2009 |
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3.7 |
The details contained in the property strategy should be compatible with the terrier of Hampshire Fire & Rescue Service properties maintained by Property Business and Regulatory Services (PBRS) in their IT system. |
3 |
Property Services Manager in conjunction with Information Services Manager |
Director of Corporate Services |
Agreed and the solution is linked to comments made in 3.6 and 3.7 above. |
31/03/2009 extended to quarter 3 2009/10 |
31/12/2008 20/02/2009 20/04/2009 28/08/2009 |
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PAYROLL 2007/08 | |||||||||
3.2 |
We recommend that all job descriptions should be reviewed annually to ensure documented responsibilities are current. |
1 |
Human Resources Manager - Workforce Support |
Director of Human Resources |
Project is already underway to bring all green book job descriptions up to date and present in a new, clearer, standard format. |
June 2008 extended to 31/08/2008 further extended to 31/03/2010 |
06/06/2008 07/08/2008 03/02/2009 29/06/2009 28/08/2009 |
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Performance Review Team comment: The project is well underway for the review of job descriptions. | |||||||||
COMMUNITY FIRE RISK MANAGEMENT INFORMATION SYSTEM (CFRMIS) 2007/08 | |||||||||
3.2 |
A decision should be made as to how important logging of accessing individual records is to the Service. If the controls are complied with then only authorised users and IT staff should have access to the data. These should only be people with a business requirement to see the data. |
2 |
CFRMIS Development Officer |
Assistant Chief Officer - Service Delivery (Community Safety) |
The software supplier is currently developing an auditable security system which will enable more effective control and monitoring of authorised/unauthorised access. |
April 2009 Extended to April 2010 |
20/02/2009 |
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Performance Review Team comment: In the interim period, until an update to the system is available from the supplier, confirmation has been received that there is a robust procedure for the control of access to, and removal from the system. | |||||||||
PROCUREMENT 2008/09 | |||||||||
3.4 |
All job descriptions that are not current should be reviewed and updated as soon as possible. |
1 |
Procurement Manager and Human Resources department |
Head of Financial and Office Services |
Agreed |
June 2009 Extended to 31/12/2009 |
29/06/2009 27/08/2009 |
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Performance Review Team comment: Job descriptions have been reviewed for the administrator posts. The outcomes of the review of the Fleet Maintenance Centre may have an impact on the roles of the Stores staff, and so the Procurement Manager has requested to extend the target date. | |||||||||
3.8 |
We recommend that future revisions of the contract tested in the audit, or similar agreements, should specify the monitoring of performance to ensure that all elements of the operation are monitored, as appropriate, and the resultant outcomes examined and actioned. |
2 |
Procurement Manager and the Service Delivery Directorate who will be involved in future contract arrangements |
Head of Financial and Office Services |
Agreed, this current contract is mature, and has been running since 2003. The contract expires in September 2010 and will be up for renewal or re-tender, and any future contracts will be subject to a more robust contractual document than the one currently inherited and operating. This will also document agreed Key Performance Indictors for the period of the contract. |
September 2010 (start) |
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3.9 |
We recommend that, in respect to the contract tested, the liaison meetings between the contractor and the Service are formalised, either through the taking of minutes or formal notes at all meetings, to ensure all actions are carried out. |
1 |
Procurement Manager and the Service Delivery directorate who will be involved in future contract arrangements |
Head of Financial and Office Services |
Not agreed at this time, This contract is mature, and has been running since 2003, and expires in September 2010 and will be up for renewal or re-tender. Any future contracts will be subject to a more robust contractual document than the one currently inherited and operating. The current quarterly meetings are reviews based on forward looking requirements of the Service and due to the maturity of this relationship very few actionable actions take place. Any future contracts will require a far more proactive management and this will be both actionable and documented. |
September 2010 |
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3.10 |
We recommend that the annual orders spreadsheet should be reviewed to ensure that official orders are placed annually, as appropriate. In addition, educational courses and franking machine replenishments should be supported by annual orders. |
2 |
Procurement Manager and the new role of the Contracts Compliance Officer when in post |
Head of Financial and Office Services |
Agreed, the current annual order register was initiated to help assist with forward planning but has become unmanageable within the current climate and resource level. There are now provisions to employ a Contracts Compliance Officer and one of their many roles will involve the management and updating of this document for all annual orders and contracts starting from April 2009. |
April 2009 Extended to April 2010 |
20/04/2009 27/08/2009 |
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Performance Review Team comment: The Contracts Compliance officer is now in post. The annual orders spreadsheet will now be reviewed over the coming months, with the expected deadline for completion of April 2010. | |||||||||
3.11 |
We recommend that the monitoring of performance should be specified in the contract tested during the audit, to ensure that all elements of the operation are monitored as appropriate, and resultant outcomes examined and actioned. |
2 |
Procurement Manager and the Service Delivery directorate who will be involved in future contract arrangements. |
Head of Financial and Office Services |
Any future contracts will require a far more proactive management review and this will be both actionable and documented in these contract review meetings as well as the review of any Key Performance Indicators (KPI's) required to manage the contract. A range of current KPI's have been developed to assist with this contract as it has developed, these include spend, garment status, condemned garments, number of garments processed by garment type etc. |
January 2010 |
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COMMUNITY FIRE SAFETY 2008/09 | |||||||||
3.16 |
Inventories should be in place for all areas relating to the Community Safety Directorate and guidance should be sought from the Inventories Service Order relating to Authority procedures. The inventory should include: make, model, serial number, cost, date of purchase, disposal date and the location. |
2 |
Group Managers Community Safety |
Director of Service Delivery |
All Community Safety items will be inventoried in accordance with Service policy. This will be achieved in conjunction with the Senior Administration Manager. An electronic system of inventory records will be explored. |
01/02/2009 extended to 30/04/2009 further extended to 30/09/2009 |
03/02/2009 29/06/2009 26/08/2009 |
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3.17 |
Annual checks should be carried out and evidenced by an independent member of the team to ensure that all items can be accounted for. |
2 |
All Community Safety Group Manager's |
Director of Service Delivery |
A system of independent checks and recording will be instigated and managed by each Group Manager. |
Commence April 2009 to 30/09/2009 |
03/02/2009 29/06/2009 26/08/2009 |
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3.18 |
In accordance with the Authority's Inventory Service Order, items should be visibly marked as a security measure. |
2 |
Group Managers Community Safety |
Director of Service Delivery |
All identified community safety items will be security marked in accordance with HFRS policy. |
01/02/2009 extended to 30/04/2009 extended to 30/09/2009 |
03/02/2009 29/06/2009 26/08/2009 |
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FUEL ISSUES 2008/09 | |||||||||
3.9 |
We recommend that consideration is given to completing analysis of fuel usage on a quarterly basis with examination of unusual trends in usage being followed up where necessary. |
2 |
Fleet Manager |
Director of Strategic Projects and Specialist Response |
Agreed - Fuel management system will provide a long-term solution, until such time a more rigid system of manual monitoring, including random sampling, will be introduced. |
new software system will satisfy requirements Provisional target date quarter 3 2009/10 |
02/02/2009 |
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HUMAN RESOURCES 2008/09 | |||||||||
3.3 |
We recommend that the Service Order reference SO/1/1/1, relating to the recruitment of firefighters should be updated, and care taken to ensure that relevant Human Resources service orders remain current at all times. |
1 |
Human Resources Manager (Workforce Planning) |
Director of Human Resources |
The whole Recruitment Service Order is currently being reviewed, which will encompass the elements covered for firefighter selection in SO/1/1/1. This particular service order has been superceded by the national guidance documents including procedures for the national firefighter selection tests. |
June 2009 for completion extended to 31/03/2010 |
29/06/2009 21/08/2009 |
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Performance Review Team comment: The Human Resources Manager has confirmed that this service order is still under review and will take into account the national selection tests. It is anticipated that the work will be completed by the end of this financial year. | |||||||||
3.7 |
Consideration should be given to the market testing of suppliers providing an advertising role for vacant posts in the press in order to ensure continued value for money. |
2 |
Human Resources Manager (Workforce Planning) |
Director of Human Resources |
We will liaise with our Hampshire County Council (HCC) colleagues to check the tendering arrangements that are currently in place and check the date of review. We currently adopt the same supplier as HCC. |
explore options in September 2009 |
21/08/2009 |
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3.19 |
Sufficient and prompt evidence should be held in the Workforce Planning section of staff terminating their employment in order that newly vacant posts may be known and the recruitment process not delayed. |
2 |
Human Resources Manager (Workforce Planning and Support) |
Director of Human Resources |
Workforce Support action all leavers and notify workforce planning of leavers. It is the responsibility of the line manager to instigate arrangements for a replacement and the new procedures will assist in this process. |
review in June 2009 adjusted to complete in 30/04/2010 |
29/06/2009 |
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Performance Review Team comment: The Human Resources Manager has confirmed that this action relates to the review of the service order mentioned in recommendation reference number 3.3 which is currently under review. Until this is complete she wants to keep this action open. | |||||||||
3.22 |
We recommend that Station Administration staff should be afforded `read only' access to the Human Resources `Access' database to ensure sound security of data. |
2 |
Human Resources Manager (Workforce Planning) |
Director of Human Resources |
This aspect is being processed with the IT helpdesk team. |
Review June 2009 |
29/06/2009 1/09/2009 |
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3.24 |
We recommend that the retention and disposal of documents scheduling policy should include reference to the retention of electronic records and be issued as a Service Order following finalisation of the current draft version. |
2 |
Human Resources Manager (Workforce planning) |
Director of Human Resources |
Agreed |
Ongoing |
03/02/2009 10/09/2009 |
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IT STRATEGY AND MANAGEMENT 2008/09 | |||||||||
3.13 |
We recommend that departmental plans include a clear section where there is an ICT requirement to achieve the improvements outlined in the Plan. |
2 |
Director of Corporate Services |
Director of Corporate Services |
We improved the format of our `briefing sheet' for describing proposed corporate objectives in September 2008. This includes a section on `resource implications' and the owner of the proposed objective is expected to identify human, physical, ICT and financial implications associated with the proposed objective. We will re-emphasis at Service Management Team level the importance of considering the Information and Communications Technology (and other resource implications) and also recommend that the use of the enhanced briefing sheets is used in medium-term, departmental, and business planning processes. |
March 2009 extended to 30/11/2009 |
03/02/2009 26/08/2009 |
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Performance Review comment: The ICT Manager now reports to SMT quarterly and is able to remind managers of this requirement before next years plans are completed. We will close the action once those plans start to be compiled. | |||||||||
BUSINESS EDUCATION 2008/09 | |||||||||
3.7 |
We recommend that management review the charge levied to business annually to ensure that the fee is in accordance with market prices. |
2 |
Business Education Manager |
Assistant Chief Officer - Community Safety |
We will Investigate the charges made by other organisations. Fee will be adjusted upon consultation with function management. |
01/042009 extended to be completed by 1/04/2010 to fit in the financial year |
20/04/2009 30/06/2009 |
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DATA QUALITY 2008/09 | |||||||||
3.6 |
A process for the formal monitoring of internal controls for data input systems should be established and documented to include responsibilities. |
3 |
Performance Review Team |
Director of Corporate Services |
In the case of Fire Damage Reports (FDR's) which were the subject of this test, we have moved to an electronic system of reporting called the Incident Recording System. A formal quality assurance process has been implemented for this process. Principles for good practice for the monitoring and responsibility of internal controls for data input systems will be included in the Data Quality Policy and Strategy. |
31/12/2009 |
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3.9 |
Procedures should be introduced to clearly document the approval required by senior management prior to the release of data reporting externally. |
2 |
Performance Review Team |
Director of Corporate Services |
The Data Quality Policy and Strategy will state the approval process required prior to the release of data this is to be reported externally. |
31/12/2009 |
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3.12 |
The Data Quality Statement should be made available to all staff once approved and should be reviewed on an annual basis to ensure that it remains up to date and includes reference to national standards. |
3 |
Performance Review Team |
Director of Corporate Services |
The Data Quality Strategy, once approved will be made available to staff, and reviewed on an annually basis. |
31/12/2009 |
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3.13 |
Formal processes should be put into place for the monitoring and reporting of compliance with data quality policies and procedures to ensure the Authority is working towards current legislation. |
3 |
Performance Review Team |
Director of Corporate Services |
A Data Quality Policy and Strategy will be put in place to set standards required and monitor against them. |
31/12/2009 |
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3.14 |
Procedures should be introduced to document the formal review of information systems processes, which should in turn be reported to Senior Management. |
2 |
ICT Manager |
Director of Corporate Services |
The Service has gained accreditation under ISO 27001 in terms of information security. We have systems in place that support this in terms of IT security. There is also an Information Security Forum in place that meets regularly to oversee the monitoring of information security issues. Consideration is being given to achieving ISO 27001 for the whole organisation. |
31/03/2010 |
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HIGHTOWN FIRE STATION 2008/09 | |||||||||
3.13 |
The authoriser should sign overtime claims and also put their service number on the claim so that they can be identified. |
1 |
Service Delivery Admin |
Assistant Chief Officer - Service Delivery Response |
Agreed |
30/09/2009 |
25/08/2009 10/09/2009 |
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3.23 |
Access to the inventory records should be restricted to designated staff and that the track changes facility is enabled. |
2 |
Service Delivery Admin |
Assistant Chief Officer - Service Delivery Response |
Service Delivery Admin is currently reviewing the Service Order and procedure which is being piloted at a wholetime station. It will then be rolled out to all stations. |
30/09/2009 |
25/08/2009 10/09/2009 |
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3.25 |
Full details should be recorded for all inventory items e.g. full description of asset, serial numbers, date of receipt and any disposals. |
2 |
Service Delivery Admin |
Assistant Chief Officer - Service Delivery Response |
Service Delivery Admin is currently reviewing the Service Order and procedure which is being piloted at a wholetime station. It will then be rolled out to all stations. |
30/09/2009 |
25/08/2009 10/09/2009 |
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3.27 |
The inventory list should be fully reviewed and updated, to include all items deemed portable and attractive. |
2 |
Service Delivery Admin |
Assistant Chief Officer - Service Delivery Response |
Service Delivery Admin is currently reviewing the Service Order and procedure which is being piloted at a wholetime station. It will then be rolled out to all stations |
30/09/2009 |
25/08/2009 10/09/2009 |
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3.33 |
Spot checks should be done on the indent pads to ensure that requests are appropriate and authorised and that pages run sequentially. |
1 |
Station Manager |
Assistant Chief Officer - Service Delivery Response |
Spot checks are carried out by the Station Manager monthly. |
30/09/2009 |
25/08/2009 10/09/2009 |
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WINCHESTER FIRE STATION 2009/10 | |||||||||
3.18 |
We recommend that the current imprest level of £150 should be reduced to £100, in view of the reduced average monthly expenditure |
2 |
Senior Station Support |
Assistant Chief Officer - Service Delivery Response |
Agreed a request will be made |
January 2010 |
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3.37 |
To ensure that transactions are recorded correctly, we recommend that the social club account is reconciled monthly to the bank statement. |
2 |
Station Manager |
Assistant Chief Officer - Service Delivery Response |
All monthly bank statements are collated and reconciled against a spreadsheet annually, this can be done monthly. |
30/09/2009 |
26/08/2009 10/09/2009 |
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3.38 |
We recommend that receipts should be completed for all cash income for the social club, to comply with Financial Regulations. |
1 |
Station Manager |
Assistant Chief Officer - Service Delivery Response |
Spreadsheet kept of membership and cash income, but no cashbook kept. |
30/09/2009 |
26/08/2009 10/09/2009 |
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3.41 |
We recommend that an annual Audit Certificate for the social club should be sent to Headquarters, to comply with Service Orders. |
2 |
Station Manager |
Assistant Chief Officer - Service Delivery Response |
Agreed |
30/09/2009 |
26/08/2009 10/09/2009 |
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3.43 |
We recommend that the station payphone should be removed in view of it not being used and the rental costs being incurred by the Authority. |
2 |
Station Manager |
Assistant Chief Officer - Service Delivery Response |
Agreed - will contact Service Headquarters |
January 2010 |
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INSURANCE 2008/09 | |||||||||
3.12 |
We recommend that a document is produced to detail the claims procedure; this should be made available to a number of staff to ensure adequate cover is available during periods of absence of key personnel. |
2 |
Performance Review Manager and Deputy |
Director of Corporate Services |
Agreed |
Quarter 2 2009/10 |
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3.16 |
We recommend that a value is placed against all items lost as part of an insurance claim. The claim should be supported with details of replacement values and confirmatory detail regarding the listed items i.e. inventory lists. |
3 |
Performance Review Manager and Deputy |
Director of Corporate Services |
Agreed - processes will be put in place to ensure that wherever practical, claims are supported with replacement values |
Quarter 2 2009/10 |
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3.25 |
We recommend that the procedure for the recording of uninsured losses is reviewed to ensure that this is effective and maximises the income received. |
1 |
Performance Review Manager and Deputy |
Director of Corporate Services |
Agreed |
Quarter 2 2009/10 |
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RISK MANAGEMENT 2008/09 | |||||||||
3.6 |
We recommend that a follow-up review is completed to confirm that the risk is still being managed and can remain on the "green register". |
1 |
Deputy Performance Review Manager |
Director of Corporate Services |
There is currently a system in place to refer the `green risk register' to Service Management Team annually for confirmation that the scoring is still appropriate. The current process to ensure that risks on the `green register' are still being managed appropriately will be further strengthened by undertaking a follow up review on an annual basis. The review will be evidenced. |
31/12/2009 |
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STORES 2008/09 | |||||||||
3.8 |
We recommend that the principle of stock valuation based on the latest procured price should be incorporated into Financial Regulations, to ensure that this policy continues in practice. |
2 |
Procurement Manager Head of Financial and Office Services |
Head of Financial and Office Services |
Agree, the stock value is based on latest purchase prices and there is an internal Supplies procedure for correcting and inputting the latest purchase prices on ISM and this is driven though training and this guidance. This principle is not documented within the finance regulations which are due to be reviewed on 31-03-2010. |
July-2009. March-2010 |
26/08/2009 |
29/08/ 2009 | |
3.9 |
We recommend that an independent stock take should be arranged to protect the role of the Stores Supervisor in his provision of a continuous verification of stock. |
2 |
Procurement Manager to co-ordinate. |
Head of Financial and Office Services |
Not deemed to be necessary as the costs of using such a contracted / consultancy firm might outweigh the risks, but the Service has reviewed and agreed to the utilisation of the services of operational support officers to help and assist with the stock checks. This happened in March 2007 and will be pursued for following years but is dependent on operational workloads and availability of individuals. Further to this, conversations have taken place and an option has been reviewed to use corporate services staff and possibly the personnel reserve to perform such checks. |
March 2010. |
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UNOFFICIAL FUNDS 2009/10 | |||||||||
3.3 |
We recommend that the Service Order is amended to include a date by which audited accounts should be sent to headquarters for review. This should ensure the timely receipt of the audited accounts. |
1 |
Financial Services Officer |
Head of Financial and Office Services |
Agreed. |
31/10/2009 |
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3.5 |
The Service Order should be amended to reflect that it applies to all types of funds so that staff become aware of the procedures to administer their fund. |
1 |
Financial Services Officer |
Head of Financial and Office Services |
Agreed. |
31/10/2009 |
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3.7 |
We recommend that a list is collated by the central officer and includes the names of the social funds treasurer and the member of staff who administers the fund. This should be updated annually by collecting the information together with the audit certificate. |
2 |
Accountancy Assistant |
Head of Financial and Office Services |
Agreed |
31/10/2009 |
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3.9 |
The members should agree a constitution for all social clubs and unofficial funds. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder will be sent out. |
31/10/2009 |
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3.12 |
There should be a segregation of duties between the collection and banking of income and the record keeping of transactions. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder requesting that all Social clubs have this in place will be sent out. |
31/10/2009 |
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3.14 |
All social club accounts and unofficial account should be audited in a timely manner. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder for social clubs to do this will be sent out. |
31/10/2009 |
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3.16 |
The accounts for the social funds should be set up as dual signatory accounts. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder for social clubs to do this will be sent out. |
31/10/2009 |
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3.18 |
Three members of staff should be set up as signatories and this should be reviewed periodically to ensure that this is still current. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder for social clubs to do this will be sent out. |
31/10/2009 |
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3.20 |
Records should be kept for all transactions. This should include income, expenditure and running total as minimum requirement. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder for social clubs to do this will be sent out. |
31/10/2009 |
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3.22 |
All firefighters who are involved in the administration of social funds should read the service order to be aware of procedures. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder for social clubs to do this will be sent out. |
31/10/2009 |
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3.24 |
An independent person should audit all social and unofficial funds annually. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder for social clubs to do this will be sent out. |
31/10/2009 |
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3.26 |
All social clubs should hold an annual meeting for their members to approve the accounts. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder for social clubs to do this will be sent out. |
31/10/2009 |
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3.28 |
Regular reconciliations should be carried out as part of the record keeping. |
2 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder for social clubs to do this will be sent out. |
31/10/2009 |
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3.30 |
Cheques should not be pre-signed. |
3 |
Financial Services Officer/ Accountancy Assistant |
Head of Financial and Office Services |
A reminder will be sent out. |
31/10/2009 |
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