Decisions

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Decisions published

27/07/2020 - Risk Management Update ref: 913    Recommendations Approved

Decision Maker: Audit Committee

Made at meeting: 27/07/2020 - Audit Committee

Decision published: 05/08/2020

Effective from: 27/07/2020

Decision:

The report of the Management Team provided an update on the risk management process and the Strategic Risk Register (SRR).

 

Members were advised that the Covid-19 outbreak and its ongoing impact across the Borough Council’s service areas, businesses and the wider community had been added to the SRR.  A number of risks had been re-categorised as RED and included:

 

-          Financial position/budget deficit

-          Brexit impact and economic uncertainty (impacted by the coronavirus pandemic)

-          Corporate Strategy

-          Savings and Transformation Strategy

 

A schedule of ongoing risks and risks identified by Service Management Teams and Management Team since the last report to this Committee in January 2020 were set out in Annex 2 of the report.

 

Members noted that a number of current mitigation measures set out in Annex 1 had been overtaken by events.  For example, the likelihood of a No Deal Brexit.  However, Members were assured that the risks to the organisation were reviewed and monitored regularly. 

 

RESOLVED:  That the escalation of a number of key risks to RED (summarised above and set out in paragraph 1.3.4) as a consequence of the coronavirus pandemic be noted and acknowledged. 


27/07/2020 - Internal Audit Charter ref: 915    Recommendations Approved

Decision Maker: Audit Committee

Made at meeting: 27/07/2020 - Audit Committee

Decision published: 05/08/2020

Effective from: 27/07/2020

Decision:

The report of the Chief Audit Executive presented the Internal Audit Charter for Member consideration and approval.

 

For 2020-21 the Charter had been reviewed comprehensively against both the Public Sector Internal Audit Standards (PSIAS) and guidance provided by the Institute of Internal Auditors and, as a result, some changes had been made.

 

The Internal Charter had been prepared with due consideration to proper practice and it was considered that adequate action had been taken to minimise the risk that external assessment could consider the Charter to not meet proper practice.  It was reported that the Management Team had approved the initial Charter on 10 March 2020.

 

RESOLVED:  That the Internal Audit Charter, attached as Annex 1 to the report, be approved and noted.


27/07/2020 - Internal Audit and Fraud Plan 2020/21 ref: 916    Recommendations Approved

Decision Maker: Audit Committee

Made at meeting: 27/07/2020 - Audit Committee

Decision published: 05/08/2020

Effective from: 27/07/2020

Decision:

The report of the Chief Audit Executive presented the Internal Audit and Fraud Plan for 2020/21 which had been developed using a risk-based approach.  Significant risk areas and priorities had been identified through a risk assessment which included reviews of the Strategic and Service Risk Registers, analysis of the wider environment, use of organisational knowledge and discussions with Service Heads and Directors.  The Plan had been reviewed and endorsed by the Management Team.

 

Members asked a number of questions related to financial controls for charging for garden waste and reconciliation’s, debt collection and the prevention of fraud related to Single Person Council Tax Discount.   These were addressed by Officers and Members were reassured by the responses which confirmed that robust control measures were in place. 

 

RESOLVED:  That the Internal Audit and Fraud Plan for 2020/21, as set out in Annex 1 to the report, be approved. 


27/07/2020 - Review of the Effectiveness of Internal Audit ref: 917    Recommendations Approved

Decision Maker: Audit Committee

Made at meeting: 27/07/2020 - Audit Committee

Decision published: 05/08/2020

Effective from: 27/07/2020

Decision:

The report of the Chief Audit Executive informed the Committee of the findings of the annual review of the effectiveness of the Internal Audit function.  Members were advised that the Management Team had concluded that the opinion on the effectiveness of the Internal Audit function in place for the year 2019/20 was Good.

 

Members welcomed the inclusion of a specific review of ethics and values for consideration in annual planning for future years.

 

RESOLVED:  That on the basis of the findings of the review, the opinion that the effectiveness of Internal Audit function for the year 2019/20 was Good be endorsed.


27/07/2020 - Members Assurance on Compliance with International Standards on Auditing ref: 918    Recommendations Approved

Decision Maker: Audit Committee

Made at meeting: 27/07/2020 - Audit Committee

Decision published: 05/08/2020

Effective from: 27/07/2020

Decision:

The report of the Chairman of the Audit Committee explained how those charged with governance were required to provide assurance to the external auditor under International Standards on Auditing.  Members considered the question asked and accompanying response which had been agreed with the Chairman and noted that the Management Team was also required to provide assurance in this regard and that this was the subject of a separate report.

 

RESOLVED:  That the response set out in Annex 1 to the report be endorsed. 


27/07/2020 - Statement of Accounts and External Auditors report on the Outcome of the Audit of Statement of Accounts 2019/20 ref: 919    Recommendations Approved

Decision Maker: Audit Committee

Made at meeting: 27/07/2020 - Audit Committee

Decision published: 05/08/2020

Effective from: 27/07/2020

Decision:

The report of the Director of Finance and Transformation presented an unaudited set of Accounts for 2019/20 in the format specified by the Code of Practice on Local Authority Accounting in the United Kingdom.  The Annual Governance Statement (referred to at Minute AU 20/17) accompanied the Statement of Accounts. 

 

The Committee was reminded that responsibility for approval of the Statement of Accounts was delegated to the Audit Committee under the Council’s constitutional arrangements.  In response to the Covid-19 pandemic the deadline for approval and publication of an audited set of accounts for 2019/20 had been moved from 31 July to 30 November 2020.

 

In addition, the report of the external auditors (published as a supplement to the main report) set out progress in delivering their responsibilities in auditing the Borough Council’s accounts.

 

It was anticipated that an audited set of accounts would be presented for approval at the next meeting of the Audit Committee.  At the current time, no significant concerns had been raised by the External Auditors. 

 

Members were advised that the extent of the adverse financial impact arising from the Covid-19 pandemic would not be known for some time.  However, in all likelihood the Borough Council’s reserve balances would be very much reduced from that assumed in February 2020, as part of the budget setting process, and as a result would have an adverse impact on the scale and timing of the savings to be achieved.

 

Finally, Members supported the comments of the External Auditors in acknowledging the performance of the Finance Team in delivering a complete and good quality set of financial statements on the same timescales as in previous years despite the difficulties caused by the Covid-19 pandemic and asked that their appreciation be recorded.

 

RESOLVED:  That

 

(1)             the Statement provided by the Director of Finance and Transformation in support of assertions made in the Statement of Responsibilities for the Statement of Accounts, as set out at Annex 2 to the report, be noted;

 

(2)             the (unaudited) Statement of Accounts 2019/20 as currently presented be noted;

 

(3)             the External Auditors progress on the audit of the Statement of Accounts for 2019/20 (published as a supplement to the main report) be noted;

 

(4)            in all likelihood, the Covid-19 pandemic would have a significant impact on the Borough Council’s reserve balances and as a result, in turn, have an adverse impact on the scale and timing of the savings to be achieved be noted.       


27/07/2020 - Annual Governance Statement 2019/20 ref: 914    Recommendations Approved

Decision Maker: Audit Committee

Made at meeting: 27/07/2020 - Audit Committee

Decision published: 05/08/2020

Effective from: 27/07/2020

Decision:

The report of the Management Team presented the Annual Governance Statement for the year ended 31 March 2020 which was required to be certified by both the Leader of the Council and the Chief Executive to accompany the Council’s Statement of Accounts 2019/20.

 

The Annual Governance Statement had been prepared by way of a self-assessment questionnaire and supporting evidence and was intended to demonstrate that there was a sound system of corporate governance in place throughout the organisation.

 

Members were pleased to note that no significant governance issues had been identified and there were no other areas identified for improvement.  However, it was reported that the recent introduction of Emergency Provisions for Decision Taking (as set out in Part 7 of the Constitution)  to address any governance issues arising from a no-deal Brexit had proved beneficial during the current coronavirus pandemic.   In addition, the introduction of ‘virtual meetings’ had meant some changes to protocols and procedures, as set out in the ‘Protocol for Use of Videoconferencing Facilities’ published as a supplement to the Constitution in May 2020. 

 

RESOLVED:  That the Annual Governance Statement for the year ended 31 March 2020, as set out at Annex 1 to the report, be endorsed. 


28/07/2020 - Planning Enforcement Section 215 Protocol ref: 912    Recommendations Approved

Decision Maker: Cabinet Member for Strategic Planning and Infrastructure

Made at meeting: 28/07/2020 - Planning and Transportation Advisory Board

Decision published: 31/07/2020

Effective from: 08/08/2020

Decision:

(Report of Director of Planning, Housing and Environmental Health)

 

The report sought approval for the adoption of a Planning Enforcement Section 215 Protocol intended to provide a clear and transparent framework in respect of how the Service would decide whether to take action to serve formal notices, in particular how sites would be assessed to establish whether such action was appropriate and proportionate and whether any other powers held by the Council should be called upon as an alternative.  It was noted that, given the high number of complaints the enforcement team receive on such matters, the Protocol would ensure that Council financial and personnel resources were properly focused.

 

The request to amend paragraph 4.2 of the Protocol to emphasise liaison with Environmental Health on measures to address overgrown gardens and pest control, where appropriate, was noted. 

 

Following consideration by the Planning and Transportation Advisory Board, the Cabinet Member for Strategic Planning and Infrastructure resolved that:

 

The Planning Enforcement Section 215 Protocol, as set out at Annex 1 to the report, be approved with effect from 1 September 2020.