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_2b_ Anx 2 Audit Recommendation Tracking

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					AUDIT RECOMMENDATION TRACKING                                                                                   Annex 2

          Audit           Outstanding Action     SDP                              Comments                      Priority
Proposed Items not to be taken forward
Insurance (March 2004)   Introduction of a   Accountancy        The Council's current insurance providers have High
                         claims register                        detailed schedules of the Council's claims
                                                                history, and this can be requested at any time

Concessionary Travel       Concessionary Fares To be            A national scheme is timetabled for 2008, but   Medium
Fares (December 2003)      travel policy       determined       no clear guidance on the policy is currently
                                                                available
Concessionary Travel       Customer focused       To be         as above                                        Medium
Fares (December 2003)      approach               determined
Concessionary Travel       Risk assessment on     To be         as above                                        Medium
Fares (December 2003)      the scheme             determined
Concessionary Travel       Service                To be         as above                                        Medium
Fares (December 2003)      improvements -         determined
                           efficiency and
                           customer focused


Outstanding Actions to be taken forward to 2007/08
Cash & Banking           Review of the        Accountancy       Deadline Amended. The Council's contract is Medium
(December 2003)          Banking Contract                       due for renewal in March 2007, there are no
                                                                proposal for undertaking a full tender at this
                                                                stage due to a pending collaborative banking
                                                                contract.

Public Conveniences        Procedures, roles      Environmental Deadline amended to March 2008.                 Medium
(February 2004)            and responsibilities   Operations

Estates & Property         Rent arrears policy    Property      Deadline amended. Resourcing issues within Medium
Management (March                                 Services      the Property Services department
2004)
Insurance (March 2004)     Procedures for         Accountancy   Deadline Amended - Resourcing issues            Medium
                           amendments to                        within Accountancy Services.
                           Insurance policy
Asset Management &         Day-to-day             Accountancy   Deadline Amended - Resourcing issues            Medium
Inventories inc Vehicle    procedures for capital               within Accountancy Services, and now taken
Fleet & Property (April    assets                               forward into 2007/08 SDP
2004)
Car Loans (April 2004)     Update of Financial    Accountancy   Deadline Amended - Resourcing issues            Medium
                           Regulations                          within Accountancy Services, and now taken
                                                                forward into 2007/08 SDP
Internet & E-mail (May     Update IT Code of      ICT           Deadline amended to April 2007 - Interim        Medium
2004)                      Practice                             security related policies are being prepared.

Human Resources (Jan       EDR Action Plans       Human         No update has been provided                     Medium
2005/PWC follow up         returned to HR         Resources
review July 2006)          promptly
Contracting - Compliance   Proforma checklist     Accountancy   Deadline Amended. No formal procedures         Medium
with contract procedures   for compliance                       have been established, but compliance is to be
(October 2004)                                                  raised at March Corporate Working Day
                                                                training.
AUDIT RECOMMENDATION TRACKING                                                                                    Annex 2

           Audit           Outstanding Action     SDP                            Comments                       Priority
Contracting - Compliance   Spot checks on     Accountancy       Deadline Amended - requires formal              Medium
with contract procedures   compliance                           procedures to be in place, but continual
(October 2004)                                                  monitoring of capital expenditure compliance is
                                                                undertaken, and Managers

Budget Setting &           Policies and          Accountancy    Deadline Amended - No formal procedures       Medium
Budgetary Control (PWC     procedures                           exist, but reports to Council outlined the
July 2006)                 documenting budget                   assumptions in establishing the budget, and
                           setting and budgetary                key controls. Managers were issued with
                           control process                      Budget Packs at the start of the process, and
                                                                Corporate Working Day training will expand on
                                                                key controls for 2007/08

Budget Setting &           Prioritisation process Accountancy   Deadline amended. Due to current financial         Medium
Budgetary Control (PWC     for Capital projects                 climate, no prioritisation will take place outside
July 2006)                                                      of zero-based budgeting exercise. Delay to
                                                                Sept 07.

Budget Setting &           Virement              Accountancy    Deadline Amended - The Temporary                 Medium
Budgetary Control (PWC     authorisation                        Virement Policy is reported to A&G on
July 2006)                                                      26.03.07, and training will be given to
                                                                Managers in 22.03.07. This should ease the
                                                                issue of formal sign off under existing policy

Implementation of the new Automate systems       Revenues &     Deadline Amended. Major slippage has          Medium
Revenues & Benefits       interfaces             Recovery       occurred due to lack of resource. Outstanding
System August 2004)                                             actions within this implementation have been
                                                                individually named and carried forward on the
                                                                2007/8 SDP, deadline amended to October
                                                                2007.

Risk Management follow     Training on Risk      Performance & Deadline Amended - Rolling out awareness of Medium
up (May 2005)              Management            Improvement risk management issues at team meetings and
                                                               via zero based budgeting exercise.
Online IT Risk          Reissue Anti Fraud       Human          No update has been provided                      Medium
Assessment (March 2005) Strategy                 Resources

Online IT Risk          Software guidance        ICT            Deadline Amended to April 2007                   Medium
Assessment (March 2005) notes

Online IT Risk          Re-issue Information ICT                Deadline Amended to April 2007                   Medium
Assessment (March 2005) Security strategy

Public Conveniences        Adherence to H&S      Environmental Deadline amended to September 2007.               Low
(February 2004)            requirements          Operations

VAT Healthcheck (April     Update of Financial   Accountancy    Deadline Amended - Resourcing issues             Low
2004)                      Regulations                          within Accountancy Services, and now taken
                                                                forward into 2007/08 SDP
Human Resources (Jan       Review of Personnel Human            No update has been provided                      Low
2005/PWC follow up         files               Resources
review July 2006)
AUDIT RECOMMENDATION TRACKING                                                                                  Annex 2

           Audit           Outstanding Action     SDP                              Comments                     Priority
Contracting - Compliance   Non compliance     Accountancy       Deadline Amended -A payment slip is not         Low
with contract procedures   checks through                       necessary for the POP batches, and as such it
(October 2004)             Creditors Clerk                      is not possible for them to be checked in the
                                                                same way as manual batches. A review on
                                                                how this can be undertaken without requiring
                                                                additional resource if necessary, and as such a
                                                                revised completion date is now given.
Contracting - Compliance   Training on Contract Accountancy     Deadline Amended - Handbook needs to be        Low
with contract procedures   Management                           developed in association with Legal Services
(October 2004)

NNDR (PWC follow up        Reconciliation of Efin Accountancy   Deadline Amended - Reconciliation for          Low
review July 2006)          to Academy                           January 2007 is currently being undertaken,
                                                                and procedures are being established as part
                                                                of this work

Budget Setting &           Formal Team          Accountancy     Deadline Amended - due to the small number Low
Budgetary Control (PWC     meetings and                         of staff in the section, team meetings have
July 2006)                 minuted actions                      been very informal and have not been
                                                                minuted. This has worked well to develop the
                                                                team, but it is recognised that this is not ideal
                                                                for the future, and a revised approach will be
                                                                launched over the coming months.


Budget Setting &           Asset basis for       Accountancy    Deadline amended. A review on the approach Low
Budgetary Control (PWC     calculating recharges                to recharges will be undertake in Spring 2007.
July 2006)                                                      This will adopt a SLA approach. Deadline
                                                                delayed to Sept 07 to align with zero based
                                                                budgeting strategy

Improving the Recovery of Payment method        Revenues &      Deadline Amended - Ongoing project which       Low
Arrears (August 2004)     options available     Recovery        has taken low priority. Project to be
                                                                recommenced from April 2007 as detailed in
                                                                07/08 SDP

Partnership Breakthrough Prioritise actions    Strategy         The BAP assembly meeting now receives a six Low
(May 2005)               which strengthen the                   monthly progress report and incorporates a
                         full assembly and the                  specific theme (e.g. Community Safety, health)
                         theme groups.                          with a workshop to encourage interaction. A
                                                                discussion on the effectiveness of the Themed
                                                                Groups took place at the Feb 07 meeting of
                                                                the BAP Exec Board

Partnership Breakthrough Propose and agree      Strategy        The BAP assembly meeting now receives a six Low
(May 2005)               actions                                monthly progress report and incorporates a
                                                                specific theme (e.g. Community Safety, health)
                                                                with a workshop to encourage interaction. BAP
                                                                Exec Board expanded and Community
                                                                Strategy review underway


Completed Actions
Concessionary Travel       Independent          To be           Complete - MCL are the service providers for   Medium
Fares (December 2003)      validation of        determined      the administration of the scheme. This is in
                           payments                             association with Lincolnshire authorities
AUDIT RECOMMENDATION TRACKING                                                                                   Annex 2

          Audit           Outstanding Action      SDP                      Comments                   Priority
Insurance (March 2004)    Risk Management    Performance & Complete - Strategy approved by Cabinet    Medium
                          Strategy and Risk  Improvement January 2007. Annual review by January 2008.
                          Management Policy

Strategic & Business      Options appraisal     Accountancy   Complete - Financial training is to be carried Medium
Planning (PWC follow up   training                            out at the March Corporate Working Day. This
review July 2006)                                             will touch on the need for option appraisals,
                                                              and identification of list of key staff to offer
                                                              assistance will be noted.
Community Development     Establish mechanism Community       Complete - Mechanism established to review        Medium
(PWC follow up review     for reviewing CVS   Cohesion        CVS reports annually
July 2006)                reports

Budget Setting &          Budget sheets to be Accountancy     Complete -Budget sheets have been                 Low
Budgetary Control (PWC    signed off by Budget                distributed to Managers for final sign off, but
July 2006)                Manager                             sign off during the process has also been
                                                              undertaken
Budget Setting &          Action Plans to       Accountancy   Complete - summary of actions sent to             Low
Budgetary Control (PWC    Heads of Services                   Heads/Directors at the end of each quarter.
July 2006)
Budget Setting &          Budget training for   Accountancy   Completed - Training will be undertaken as    Low
Budgetary Control (PWC    managers                            part of the Corporate Working Day on 22.03.07
July 2006)

Community Development     Action plans and      Community     Complete - Joint team with neighbouring           Low
(PWC follow up review     minuted meetings      Cohesion      authorities to review actions and progress
July 2006)                                                    against SLA's

				
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