Appendix A UPDATES ON IMPLEMENTATION OF INTERNAL AUDIT RECOMMENDATIONS – September 2012 NN/11/12 Development and Building Control Recommendation 1 - Review of Procedural Guidance. The process maps for planning applications and enforcement referred to under that recommendation were last reviewed in April/May 2010 and new pre-application and “Do I need planning permission” process maps were done in April 2012. They are likely to be reviewed again when we look at our business processes following the management changes and the outcome of the Pay and Grading Review. This low priority recommendation has now been dealt with. Recommendation 2 – National Requirements Check. It is proposed that quarterly checks are carried out on a random set of applications to monitor checking against the National requirements Checklist. To begin July 2012. This low priority recommendation has now been dealt with. Recommendation 3 – Monitoring of Outstanding Planning Enforcement Cases. Managers have set up monthly caseload update meetings with the Enforcement officers. There are quarterly reports to Development Committee on cases more than 3 months old. The team still currently has limited resources although at a recent meeting of the Scrutiny Committee a report on the teams’ workload was presented and the provision of additional temporary resources was agreed to assist with the case load backlog. The most appropriate form of additional resource is being considered. Several meetings have been held (and will continue to be held) with the complete group of officers involved in the enforcement functional to discuss process/procedural matters. Crystal Reports are used by the team and managers to monitor workloads and progress. Actions have been undertaken in response to this medium priority recommendation and caseload monitoring will need to be on-going. Recommendation 3 – Reconciliation of Income Received by the Planning Department Meetings have taken place regarding this audit recommendation and it was agreed that a monthly report from the general ledger be produced by the Accountancy Section and given to the Technical Officer (Development Management) who will produce a Chrystal report regarding the fees entered on the Planning Departments Acolaid system and compare the two reports to ensure that the amounts can be reconciled to the General Ledger. A further meeting will be arranged to determine if the system is working or if any further work needs to be undertaken. Appendix A Recommendation 5 – Legal fees for Section 106 Agreements A revised time sheet has been produced to ensure that an accurate record of the time spent by the Planning Legal Manager on the preparation of S106 Agreements is kept, that the charges are calculated in accordance with the current charging rates and the correct invoice raised and a record kept on the appropriate file. The monitoring of the recovery of all payments in relation to invoices raised within the Authority is done by the Exchequer Section and any non-payments are advised to the relevant Department for further instructions as to how to proceed. Updated procedure notes have been done. This recommendation has now been dealt with. Recommendation 6 – Monitoring of Section 106 Agreements Several meetings have been held (and will continue to be held) with staff involved in the Section 106 process. Written guidance on Section 106 procedures has been prepared and documents amended as necessary and further work is being undertaken regarding the use of the Acolaid system in recording Section 106 Agreements and monitoring conditions and trigger points for compliance. The issue of detailing the roles and responsibilities for monitoring the key requirements of Section 106 Agreements is currently on hold pending the outcome of the current BPR relating to PA’s and Democratic Services. Building Control The Building Control and Access Manager reports that there is only one outstanding low priority recommendation relating to the updating of procedural and work practice notes. This is an on-going process and is being undertaken as and when time permits. When updates are completed the date is recorded on the document for future reference. Computer Audits NN0917 Cedar E-Financials, Password file encryption key: this will be reviewed as part of the system upgrade later in the year. The revised deadline will be 30 November 2012. It needs to be noted that the following recommendations were all allocated to Kate Wilson who has left the Authority, so alternative arrangements are in place to finish the outstanding recommendations when possible: NN1022 Asset Register update, this is nearly complete but not yet finished due to availability of staff. Kate Wilson has left, plus a member of the team is off long term sick, meaning that the priority is on fixing day to day user calls. The scheduled completion date is 30 September 2012. NN1117 Intrusion Detection system. The licence for this functionality has been provided as part of the new firewall installed in June 2012. It will be switched on once the MPLS internet connection is not the primary link to Kings Lynn for the Revenues Appendix A and Benefits service, to ensure that it doesn’t cause any unscheduled disruption to service. NN1117 Network Strategy. The new Corporate ICT strategy is still in draft and on hold pending the completion of the Management restructure. A Technical Infrastructure guide which includes the Network strategy will be updated once the strategy has been agreed. To enable the ICT service to plan in the meantime an internal IT Technical plan is in use. These documents do exist and can be inspected on request. NN/11/01 Environmental Services (Information from TEN system) Procedural Guidance Procedural guidance has been reviewed and updated and is subject to periodic review under Departmental Quality Management system to ISO 9001:2008. BSI have tested the document control under the standard and are satisfied that this is adequately managed. Audit Trail for Licence Fees Some problems. Register of Contaminated Land Sites All potential contaminated land site the Council are aware of are on the CLAND system. 99% of sites have been inspected and risk assessed, only outstanding ones are where access is proving difficult. Any new sites will be entered and risk assessed as they are identified. Contract with Norstead Kennels Contract awarded and signed. Pest Express Contract Updated schedule for contract being agreed with Pest Express, specifically around reporting of jobs received and time between visits, prior to formal contract paperwork being signed. NN/12/03 Waste Management Contract Performance Indicator Review and Monitoring The primary KPI being applied to the assessment of the performance of the contract has been determined to be the number of Defaults issued under the contract in respect of Cleansing activities. This covers the following functional areas: Street Cleansing; Litter Bin Emptying, Emptying of Dog Waste Bins and cleaning of Public Conveniences. The target for the service is 0 (Nil). A Default may arise because of an irredeemable breach, a serious service failure whose remedy is insufficient to overcome the failure, and failure to comply with a Rectification issued by the Authorised Officer to remedy a defect in the service. Details have been agreed for Appendix A the monitoring of fuel use on the contract and that a base level of 1 December 2011 will be used. The KPI for the number of missed bins will be maintained for the year as set out at the previous levels. Rationalisation of KPI measures allows greater focus on necessary outcomes at this stage of the contract. Cleansing and waste proforma monitoring sheets have been developed and are completed on monitoring visits by NNDC staff. Reporting is through the Performance Monitoring Report, Cabinet and Scrutiny as well as the Strategic Board. System Integration and Validation Checks The Improvement Plan for the year will be used to address the potential conversion of NNDC to Whitespace for the collection, storage and sharing of data to remove the risks associated with data integration which is proving less than satisfactory. Trade Waste Arrears Recovery Migration to the use of Whitespace for trade waste management as mentioned item above will lead to a more consistent ability to track and resolve issues debt recovery.