Agenda and draft minutes

Councillor Julian Thompson-Hill, Lead Member for Finance and Assets

Anthony Veale – Wales Audit Office

The following declarations of interest were made in respect of agenda item 5: CSSIW Inspection of Domiciliary Care Services –

Councillor Alice Jones declared a personal interest as a former Chair of the Regulator Panel (Care Council of Wales) and a former Lay Assessor CSSIW.

Councillor Jason McLellan declared a personal interest in respect of discussions on Welsh Government Policy under this item because he was an employee of the Welsh Government.

No urgent matters had been raised.

To receive the minutes of the Corporate Governance Committee meeting held on 28 September 2016 (copy enclosed).

The minutes of the Corporate Governance Committee held on 28 September were submitted.

Accuracy –

Page 8: Item 6 Budget Process 2017/18 – The Chair referred to discussions regarding the budget process and asked that the minute be amended to include his view, as expressed at that meeting, that a budget workshop should have been held between July and November for elected members to in order to scrutinise the ongoing efficiency savings.

Matters Arising –

Page 11: Item 8 Estyn Report on GwE Regional Consortium – The Chair confirmed that the Head of Education Service’s report to the Scrutiny Chairs and Vice-Chair’s Group on progress regarding the Estyn recommendations would likely be submitted to the next meeting in January.

Page 12: Item 9 Corporate Safeguarding Update Report – With regard to the committee resolution to receive a further progress report, members were advised that the Corporate Safeguarding Panel were working on the content for the training module which would likely be launched at the end of March.  Consequently a progress report back to the committee could be scheduled in the work programme for April.  The Chair also referred to the comprehensive report received at a recent Council Briefing meeting regarding the Rotherham case which highlighted the importance of embedding corporate safeguarding principles across the authority.

Page 13: Item 10 Ysgol Mair Rhyl – Internal Audit Report Update – The Chair confirmed that he had sent a letter of appreciation to the Headmaster as agreed.

RESOLVED that, subject to the above, the minutes of the meeting held on 28 September 2016 be received and approved as a correct record.

To consider a report by the Head of Community Support Services (copy enclosed) regarding an inspection of domiciliary care services for older people undertaken in Denbighshire as part of a national inspection.

The Chair welcomed Vicky Poole (Regional Director) and Christine Jones (Area Manager) from CSSIW who had been invited to attend the meeting for this item.

The Head of Community Support Services (HCSS) introduced the report (previously circulated) regarding an inspection of domiciliary care services for older people undertaken in Denbighshire as part of a national inspection.  The report included responses to the issues identified in CSSIW’s inspection report together with actions to address specific concerns.  The full national report had been attached to the report (Appendix 1) together with the detailed report of Denbighshire’s inspection (Appendix 2).

In presenting the comprehensive report the HCCS drew attention to the following –

·         the context of Denbighshire’s inspection as part of a larger national review of domiciliary care provision in November 2015 involving six local authorities

·         the purpose of the inspections to assess the success of local authorities in achieving outcomes for people by evaluation of  the efficiency and quality of the domiciliary care they commissioned

·         concerns raised by officers regarding the lack of evidence to support the findings in Denbighshire’s draft report with the final report being published on CSSIW’s website with few changes and without officers’ comments

·         the issues officers believed to be inaccurate as detailed in paragraph 4.3.3 of the report [numbered 1 – 7] highlighting each individual issue together with Denbighshire’s response thereto

·         the findings in Denbighshire’s inspection report having been fed into the national review and conclusions as contained within the Executive Summary

·         the risks to the domiciliary care market and the planned actions to address them, all but one having been discussed with the inspector.

The HCCS elaborated upon the issues which officers believed to be inaccurate which had been detailed in paragraph 4.3.3 of the report numbered 1 – 7 –

1.     Denbighshire did not have a robust, detailed Market Position Statement

Denbighshire, alongside all other local authorities in North Wales was in the process of working with the Institute of Public Care to refine their Market Position Statement (MPS).  Expert advice was to keep the MPS short and to the point with detailed information kept separately.

2.    Denbighshire’s method of mini-tendering for individual packages of care was not producing sustainable outcomes.  Providers were asked to submit a rate ‘equal to or lower than’ our indicative rates

The inspector did not provide evidence to support this statement.  The statement about submission of rates was factually incorrect – providers were asked to tell the council if they could meet the requirements of the package and how much it would cost.  In line with best value, if there was more than one provider able to meet the requirements, the lowest bid was accepted.  The report suggested the main focus was cost which was not the case.

3.    Denbighshire funded a retainer while an individual was in hospital but stopped after 2 weeks, resulting in the possibility of a new provider picking up the care on discharge

Denbighshire was one of only a few local authorities to fund a retainer of any length while an individual was in hospital and, while the report appeared to criticize that approach, the authority believed it to be good practice.  Despite the issue that any longer retainer becomes unsustainable, an individual’s needs would have changed during a longer stay in hospital and a new care and support plan would be required.

4.    Denbighshire commissioned calls of 15 minutes which were seen to be wrong

The new Regulation and Inspection Act detailed in what circumstances 15 minute calls could be commissioned.  Officers had reviewed every care and support plan that included 15 minute calls  ...  view the full minutes text for item 5.

To consider a report by the Deputy Monitoring Officer (copy enclosed) on the Council’s use of its powers of surveillance under RIPA (Regulation of Investigatory Powers Act 2000).

A report was submitted (previously circulated) on the Council’s use of its powers of surveillance under RIPA (Regulation of Investigatory Powers Act 2000) as required under the Home Office Code of Practice.

The Head of Legal, HR and Democratic Services provided an overview of RIPA and explained how powers under that Act could be used by the council together with the processes in place.  Since the last report only one covert surveillance operation had been conducted involving the sale of age restricted products such as tobacco or alcohol (juvenile test purchase).  Regular in-house training sessions were provided to officers using those powers with the next session planned for 30 March 2017.  The role of the Council’s RIPA Working Group was also explained and the Group continued to meet as required.

RESOLVED that the Annual RIPA (Regulation of Investigatory Powers Act 2000) report be received and noted.

At this juncture (11.05 a.m.) the meeting adjourned for a refreshment break.

To receive the Certificate of Compliance (copy enclosed).

The Certificate of Compliance issued by the Wales Audit Office on Denbighshire’s Annual Performance Report 2015/16 was submitted (previously circulated) for information.

Mr. Gwilym Bury, Wales Audit Office explained the background to the issue of the annual certificate as required under the Local Government Measure 2009.  Denbighshire had always complied with the Measure and produced a bilingual annual performance report which was published on its website within the timeframe.

RESOLVED that the Certificate of Compliance issued by the Wales Audit Office be received and noted.

To receive a report by the Head of Internal Audit Services (copy enclosed) updating members on Internal Audit progress.

The Head of Internal Audit (HIA) submitted a report (previously circulated) updating members on Internal Audit progress in terms of its service delivery, assurance provision, reviews completed, performance and effectiveness in driving improvement.

Internal Audit progress reports had previously been shared with members outside the formal agenda with only audits having a ‘low’ or ‘no’ assurance rating being discussed at committee.  To provide a more balanced view and allow the committee to formally monitor Internal Audit’s progress and performance a new style progress update had been designed to be presented to each committee meeting.

The HIA guided members through the report which provided an update as at the end of October 2016 on –

·         Internal Audit reports recently issued (Payments of External Providers – Community Support Services; Housing Allocations & Voids; Public Transport)

·         Follow up of previous Internal Audit reports (Strategic HR; Management and Administration of Legal Services)

·         Progress in delivering the Internal Audit Operational Plan 2016/17

·         Internal Audit performance standards

The following matters were raised during debate –

·         some discussion focused on audit reports recently issued in respect of ‘Payments to External Providers – Community Support Services’ and ‘Public Transport’ and the need to ensure that regular financial checks were carried out to certify that providers were financially sound and not experiencing financial difficulties that may lead to problems in continuation of the service.  It was noted that the issue was more of a problem for service areas which relied heavily on a small number of providers and the need for financial checks had been referenced in the Procurement Review and Contract Procedure Rules

·         the importance of business continuity planning was highlighted and the committee was advised that each service was responsible for developing its own business continuity plan to deal with potential risks to their particular service areas.  There would also be a corporate business continuity plan.

·         members discussed the progress in delivering the Internal Audit Operational Plan for 2016/17 given the capacity issues arising from periods of maternity leave within the team covering the current and next financial year resulting in the third revision of the Plan.  The Plan was well underway and the HIA was confident that it would be completed in order for him to provide an annual audit opinion at the end of the financial year

·         with regard to the management of voluntary school funds detailed in the Plan, the HIA explained that in light of the low assurance rating he would be developing new guidance for schools on how to manage funds effectively to be in place by 1 April 2017.  It was agreed that a follow up on the effectiveness of the new guidance in schools be undertaken after approximately six months’ implementation and the findings reported back to the committee.

Members felt the report format was clear, comprehensive and easy to read and asked that future reports to committee also contain the following information (1) Follow up of previous Internal Audit reports – to include a table showing all audits with an action plan that had not been fully completed, and (2) Progress in delivering the Internal Audit Operational Plan 2016/17 – to include audit completion dates.

The Chair urged members to read all internal audit reports circulated to them to identify good practice and borderline cases which may warrant further consideration by the committee.  The HIA added that contact details were included on the reports and he encouraged members to contact the relevant auditor if they wished to discuss the report further.  Councillor Alice Jones welcomed the report and paid tribute to the work of the Internal Audit team in providing  ...  view the full minutes text for item 8.

The Corporate Governance Committee Forward Work Programme was presented for consideration and members noted the following additions –

·         Domiciliary Care Services Actions Update – April

·         Corporate Safeguarding Progress Report – April

RESOLVED that, subject to the above additions, the Corporate Governance Committee’s forward work programme be approved.

RESOLVED that under Section 100A of the Local Government Act 1972, the Press and Public be excluded from the meeting for the following items of business on the grounds that it involved the likely disclosure of exempt information as defined in Paragraph 14 of Part 4 of Schedule 12A of the Local Government Act 1972.

To consider a confidential report by the Traffic, Parking and Road Safety Manager (copy enclosed) providing an update on the remedial actions taken since the publication of the Parking Services Audit.

The Traffic, Parking and Road Safety Manager (TPRSM) submitted a confidential report (previously circulated) updating members on the remedial actions taken since the publication of the Parking Services Audit in August 2016.

The Parking Services Audit had identified eight issues resulting from certain flaws in some areas of the existing processes.  The TPRSM elaborated upon the remedial actions being taken to improve processes and mitigate against the identified risks, clarifying particular issues in response to members’ questions thereon.

During a lengthy debate the following actions were agreed –

(1)  Monitoring of Pay by Phone mobile phone parking payments – it was agreed that a financial check be carried out on the service provider and regularly thereafter in accordance with good practice and that clarification be sought regarding the clause provisions for breach of contract

(2)  Staff Permit System – this matter was of specific concern to the committee who noted that a draft report regarding the process had been submitted to the Head of Planning and Public Protection.  It was agreed that members be provided with a copy of the final version at the earliest opportunity.

RESOLVED that the report be received and noted and a further progress report on actions be submitted to the next meeting of the committee in January 2017.

The meeting concluded at 12.25 p.m.