Agenda and minutes

To approve as a correct record the Minutes of the meetings of this Committee held on 23 November 2015, 09 December 2015 and 05 January 2016.

The Minutes of the meetings held on 23 November 2015, 09 December 2015 and 05 January 2016 were approved as a true and correct record and signed by the Chairman.

In relation to Minute 14 (23 November 2015 meeting) ‘Risk Management – Revised Approach’ it was noted that James Cole was attending the Risk Management Group and that he would provide feedback to the Committee in due course.

To remind Members of the need to record the existence and nature of any Personal, Disclosable Pecuniary or other interests in items on the agenda, in accordance with Members’ Code of Conduct.

There were no declarations of interest received.

Purpose: To consider the Forward Plan for the next 12 months.

The Committee considered the Governance and Ethics Committee Forward Plan (Agenda Item 4). Members requested that an update from Councillor Cole on the Risk Management Group be added to a future agenda (November 2016).

RESOLVED that the Governance and Ethics Committee Forward Plan be noted.

Purpose: To present the Monitoring Officer’s quarterly report.

The Committee considered a report (Agenda Item 5) concerning local and national issues relating to ethical standards. The report brought to Members’ attention any complaints or other problems within West Berkshire.

The Monitoring Officer brought the following key points to the attention of the Committee.

During Quarter 3 of 2015/16 one formal complaint had been received by the Monitoring Officer. This was a marked reduction on quarter two when 15 formal complaints had been received. Following the initial assessment by the Monitoring Officer, in consultation with the Independent Person, no further action was taken on the complaint (NPC5/15).

The investigation into a complaint against a parish councillor (NPC4/15) had been completed and would be discussed at an Advisory Panel meeting on the 11^th February 2016. The Advisory Panel would then make a recommendation to a special meeting of the Governance and Ethics Committee.

Dispensations were granted to seven Members in relation to the A339/Fleming Road Junction Compulsory Purchase Order during Quarter 3 of 2015/16 and a further two dispensations were granted in January 2016 in relation to the same matter. A dispensation was also granted to all Members present at the December 2015 Council meeting to discuss matters pertaining to Council Tax.

The number of declarations of gifts and hospitality by District Councillors increased significantly during Quarter 3 of 2015/16. This could be as a result of the annual reminder sent out before the Christmas period by the Monitoring Officer.

No training has been undertaken during this period and the next session would take place before the District Parish Conference on the 22 March 2016.

A task group has been set up to review the Code of Conduct and would report back to the April 2016 meeting.

At the time of writing the report a number of parishes had not as yet submitted their Register of Interest Forms. The Monitoring Officer was pleased to note that this situation had now been remedied and all forms had been received and would be placed on the Council’s website in due course.

Councillor Bridgman commented that not all Members were aware of the requirement to declare gifts and hospitality where they were offered but declined. The Chairman noted that the Code of Conduct and Gifts and Hospitality Protocol were currently being considered by a Task Group and these issues would be discussed there and perhaps altered.

RESOLVED that the report be noted.

Purpose: To review and amend sections of the Scheme of Delegation in light of legislative changes and current practice.

The Committee considered a report (Agenda Item 6) setting out proposed amendments to the Scheme of Delegation as part of the annual review of the Council’s Constitution in light of legislative changes and current practice. 

David Holling explained that the report proposed amendments to Part 3 of the Constitution, the Scheme of Delegation. The Scheme of Delegation summarised which part of the decision-making process (e.g. the Council, Executive, the Area Planning Committees, Licensing Committee/ Sub-Committee, the Governance and Ethics Committee and the Personnel Committee) was responsible for which function. This Scheme also set out the extent to which the powers and duties of the Council were delegated to Officers.

All Directors and Heads of Service had been asked to advise of any changes they required to the Scheme to ensure that the Council's Constitution was as up to date as possible. The report proposed a small number of changes for the Governance and Ethics Committee to consider prior to making a recommendation to Full Council. These were set out below:

The Head of Highways and Transport

·         Changes proposed to strengthen paragraph 3.12.2 (Transport) in relation to Concessionary Fares.

The Head of Human Resources

·         Changes proposed to paragraph 3.1.3 (Responsibility for Council Functions) to align the Constitution with the Discretionary Compensation Payments Policy. Requests for the Council to make enhanced severance payments or grant premature retirements on the grounds of efficiency would be considered and approved on an individual basis by the Personnel Committee. Where the total cost to the Council of a termination would exceed £10,000, the costs must first be approved by the Executive. Below £10,000, the costs must be approved by the Chief Executive in consultation with the Leader and Shadow Leader of the Council.

·         It was proposed that the final bullet point under section 3.3.3 (Human Resources) be removed as Corporate Directors and Heads of Service had no delegated powers with regard to approval of compensation payments.

The Head of Finance

·         It was proposed that the ninth bullet point in section 3.5.3 (Finance General) be deleted.

·         Paragraph 3.5.7 (Local Government Finance Act 1988) third paragraph would be updated in line with legislative changes.

The Head of Adult Social Care

·         An additional paragraph 3.7.3 (Better Care Fund) be included to allow the Head of Adult Social Care to approve Better Care Fund performance reporting to NHS England in consultation with the Chairman and Vice-Chairman of Health and Wellbeing Board.

The Head of Care Commissioning Housing and Safeguarding (CCH&S)

·         Paragraph 3.8.10 (Energy Act 2011) to be deleted as the Council no longer had the Community Interest Company for Green Deal.

·         An additional paragraph 3.8.10 (Disability) to be included appointing the Head of CCH&S to also act as a deputy in all matters in which it was appropriate for the Council to act and in accordance with any Court Orders made by the Court of Protection (paragraph 3.7.2). The Head of ASC needed it for Health and Welfare orders and the Head of CCH&S needed it  ...  view the full minutes text for item 25.

Purpose: To update the Committee on the outcome of internal audit work carried out during the first half of 2015-16.

The Committee considered a report (Agenda Item 7)which provided an update on the outcome of internal audit work carried out during the first half of 2015/16.

Ian Priestley informed Members that The Public Sector Internal Audit Standards, as adapted by CIPFA's "Local Government Application Note" required the Chief Internal Auditor to make a formal report annually to the Council in order to present an opinion of the Council’s internal control framework. In addition to the formal annual report the Chief Internal Auditor provided an interim report to the organisation in the course of the year.  The interim report aimed to address emerging issues in respect of the whole range of areas to be covered in the formal annual report. This report provided an interim view looking at the first six months of the year.

A summary of the internal audit work that was currently underway was set out in Appendix A. Details of completed work was set out in Appendix B. Two follow up audits had been given an unsatisfactory opinion – Archiving of Council Records and Personal Budgets (Direct Payments).

The Heads of ICT and Corporate Support and Adult Social Care had therefore been invited to attend the meeting to answer any questions Members had in relation to the Archiving of Council Records and Personal Budgets (Direct Payments).

It was noted that time would be given for the recommendations from the audit to be sorted and then a follow up audit would take place. Julie Gillhespey explained that the follow up was a snapshot at the time the follow up was undertaken, and only one follow-up was undertaken unless they were specifically asked to carry out a further one. Ian Priestley advised that it was not planned to re-audit in respect of Personal Budgets (Direct Payments), and that due to a lack of resources in future follow-ups would be undertaken on a risk based approach.  He noted that in 1998 the team had comprised ten auditors and there were only four in the current cohort.

Ms Gillhespey also explained that Portfolio Holders were given a copy of the draft audit report and worked with Heads of Service and Corporate Directors, if appropriate, to agree a way forward. Where unsatisfactory follow ups occurred the Heads of Service were asked to attend Governance and Ethnics Committee meetings to provide reassurance that they were addressing the issues raised by the auditors. Mr Priestley mentioned that the bi-annual Internal Audit reports were also presented to Corporate Board, Operations Board and Governance and Ethics Committee meetings. He therefore wanted to reassure the Committee that there was a lot of Member involvement in the audit process.

Mr Priestley noted that no fundamental weaknesses had been identified in the Council’s internal control framework through the work carried out by Internal Audit. Overall the internal control framework remained robust.

Archiving of Council Records

Ms Gillhespey explained that the main issue with this area was that some of the records in storage did not have a destruction dates  ...  view the full minutes text for item 26.

Purpose: The purpose of the report is to approve the Accounting Policies that will be used to produce the Annual Accounts for the year ended 31 March 2016.

The Committee considered a report (Agenda Item 8) which sought approval of the Accounting Policies that would be used to produce the Annual Accounts for the year ending 31^st March 2016.

Officers explained that in the past the Accounting Policies had been approved at the same time as the final Annual Accounts. It had since been recommended that Members should have an opportunity to discuss the Accounting Policies prior to the production of the Annual Accounts.

The purpose of the Statement of Accounting Policies was to explain the basis of measurement that had been used in the preparation of the Financial Statements. They gave the reader of the Annual Accounts vital background information on the different Accounting Policies in place and helped the reader to follow the main Statements. The Financial Statements were produced in accordance with the code of practice, and then audited by the Council’s external auditors KPMG.

RESOLVED that the Accounting Policies for producing the Annual Accounts for the year ending 31^st March 2016 be approved.