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ENVIRONMENT & TRANSPORT DIRECTORATE

Directorate / Service Corporate Governance Questionnaire 2005

For completion by Chief Officers and return to Peter Frost, Audit Services by 23December 2005

Requirement Yes/no

Source of evidence Contact name,number and job title

Management structures and reporting lines

1 There is a clearly defined management structuresupported by organisation charts for all roles.

Yes Human Resources aredeveloping structure charts

through the new HR system.

Paul LowesCSD (HR) Business

PartnerExtn 5835

2 The structure is regularly reviewed. Yes Assistant Directors andThird Tier Managers

3 The Chief Officer is supported by a DirectorateManagement Team.

Yes Schedule of fortnightlymeetings

Lucy RobinsonDirector ofEnvironment &

TransportExtn 4376

4 DMT meet regularly, with planned agendas. Themeetings are minuted, with actions clearly noted.

Yes Notes of Meetings "

5 The personal responsibilities of senior officers areclearly identified.

Yes Job Specifications; CoreCompetencies and SeniorManager Competencies


PartnerExtn 5835

Departmental corporate governance questionnaire 2005 1 of 18

APPENDIX 4(ii)


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Requirement Yes/no


6 There is a documented scheme of delegatedauthority in place, which is updated to reflectchanges in staffing or service delivery and whichprovides managers with the power needed toconduct business.

Yes Scheme of Delegation ofFinancial Management

Sue GarbettCSD (Finance) BusinessPartnerExtn 5674

7 The nominated Section 151 Officer has appointeda suitably qualified and experienced seniormanager who is given responsibility for thefinancial affairs of the department.

Yes Eric Prince AssistantDirector (StrategicFinance, OtherServices)Extn 4268

8 Decisions made by managers/committees arerecorded and communicated to the appropriate

member of staff to action.

Yes Divisional Team Meetingminutes.

Virement procedures.

Assistant Directors

9 There is a mechanism for keeping staff informedof decisions made by the departmentalmanagement and key issues.

Yes Notes of DMB and otherimportant issues are cascadeddown the management network.

AssistantDirectors/Third TierManagers

10 Effective communication is in place to keep staffinformed of new and existing corporate anddepartmental policies / procedures / issues.

Yes Cascaded from DMB throughDivisional Team Meetings

"

11 Each member of staff have clearly defined jobdescriptions and set performance targets whichare updated annually.

Yes JDs on record.Targets within PDR.Divisional business plans assign

responsibility for priorities.

Assistant Directors andThird Tier Managers

12 Appraisals of staff performance are carried out atleast annually.

Yes Relevant paperwork Assistant Directors

13 New staff receive appropriate induction/trainingto perform their roles.

Yes Induction checklist.Corporate induction event for all

Assistant Director PAsAssistant



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Requirement Yes/no


new staff. Directors/Third TierManagers

14 The department has a staff training plan toaddress skill gaps identified through theperformance development and service planningprocesses.

PDR training requirements arecollated to address this issue. Ahigh level directorate trainingplan has been produced but isnow due for renewal as part ofour approach to workforceplanning.

"

15 Existing staff have training plans in place toenable them to perform their function.

Yes Within PDR and DivisionalBusiness Plans

Assistant Directors

16 Training plans include training on:

improving performance

Yes The directorate training plan

addresses some of these issues.Management development hasincluded departmental eventson performance.

Assistant Directors

corporate governance Staff are regularly encouragedto attend council committeemeetings as part of theirtraining. Corporate governanceissues form a regular part of ADand senior managementmeetings.

"

conduct and reporting concerns at work Human Resources haveproduced advice on this.

"

risk. The Corporate Risk Manager hasattended numerous

"



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Requirement Yes/no


management team meetings totrain managers in corporate riskmanagement processes.

Strategy and planning17 Are there controls in place to ensure that all

services are delivered within the rules of the SCCConstitution?

Yes Constitution set down andavailable on the web site.


TransportExtn 4376

18 There is a directorate / service strategy lastingthree years or more, which is updated annually,with clear links to the corporate objectives.

No Service Plan covers one yearbut we are corporately about toembark on three year planning.

"

19 The directorate / service strategy is based onindividual service plans for all services within thedepartment.

Yes Divisional Business Plans Assistant Directors

20 Service plans include: a detailed budget workforce plan performance indicators clear measurable actions with evaluation

criteria, time scales and responsibleofficers

Yes A more uniform approach is tobe taken across all Directoratesto Business Planning in2006/07.Action Plans and KeyPerformance Indicators areincluded in Business Plans.


TransportExtn 4376

21 Service plans reflect consideration of corporateobjectives and policies (e.g. sustainability,equalities)

Yes "

22 Service plans reflect consultation with service Yes The key service targets are "



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Requirement Yes/no


users and other stakeholders. governed by variousconsultations.

23 The departmental strategy and annual serviceplan has been agreed by the DMT.

Yes "

24 The service plan is monitored by DMT on aregular basis (at least half-yearly) and action istaken where targets are not likely to be met.

Yes "

25 Performance indicator information (national andlocal performance indicators) is collected andused for monitoring performance on an ongoingbasis.

Yes Quarterly reports to DMB,looking at performance andaction is agreed wherenecessary to get performanceon track.

Belinda GodboldResearch & MonitoringManagerExtn 4303

26 Budgets are regularly monitored and reallocatedin line with revised risk/resource needs.

Yes Monthly reporting to DMB. CSDalso supports quarterly budgetmeetings for each service in theDivisions.


27 BVPIs are reviewed regularly to monitorprogress of performance and update actions andperformance indicators.

Yes Quarterly reporting to DMB.In the Environment Divisionthere are quarterly budget andperformance meetings for eachservice.Action agreed where necessaryto get performance on track.DMB also receive an annualreport on the quartile position ofBVPIs that is cascaded to seniormanagers to assist target

Belinda GodboldResearch & MonitoringManagerExtn 4303Belinda GodboldResearch & MonitoringManagerExtn 4303



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Requirement Yes/no


setting.28 Best value reviews are carried out in line with

corporate procedures, with actions plans drawnup and monitored.

Yes Where appropriate.Local best value reviews arenow the main vehicle forchange.

Assistant Directors

Risk management29 There is an embedded risk management process

in the directorate / service, following corporateguidance, which ensures that all directorate /service risks are identified and reviewed at leastannually and supported by an action plan to

address weaknesses.

Yes Risk Register Martin FisherCustomer RelationsOfficerExtn 4299

30 The risk management process ensures that:

managers are accountable for managing theirrisks

staff receive appropriate training onmanaging risk

there is a timetable for identification andevaluation of risks

risks assessments cover all areas of activity,

identify all risks (including emerging risks)and are carried out at least annually byappropriate staff

scoring is consistent across the department

Yes

Yes

Yes

Yes

Yes

Yes

YesNo

Yes

Quarterly Process

Although RMG have access toregister.

Martin FisherCustomer RelationsOfficerExtn 4299



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Requirement Yes/no


risks are identified via normal managementprocesses

an annual report is presented to the corporateRisk Management Group

an action plan ensures that high level risksare managed and monitored

key risk indicators are documented andmonitored.

Yes High level risks escalated to

corporate list

31 A system of internal control is established andincludes specific controls to mitigate risks.Controls are owned by managers and reviewedindependently by internal audit, external audit or

other forms of inspection.

Yes Action Plans Risk Owner as definedin the Risk Register

32 Risk assessments are undertaken before thecommencement of major projects and included inreports on which the decision to proceed isbased.

Yes e.g. Waste Project, CommitteeReports

Project Lead

33 Risk assessments are regularly reviewed duringthe life of major projects.

Yes e.g. SLRR Scrutiny WorkingGroup Report

The Waste Programme Boardreviews red risks at each of itsmeetings.

Project Manager

34 Potential partners are required to produce andsubmit risk assessments. Yes e.g Reconstruction of BallingdonBridge "

35 Partnerships are reviewed in terms of risk beforethey are entered into and the risks are reviewed.Where possible risks are shared (through

Yes e.g Suffolk HighwaysPartnership tender process.e.g DEFRA funded in-vessel

"



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Requirement Yes/no


contractual arrangements). composter at Lackford. Theproject involved a contractorand 2 District Councils. A risklog was used to allocate risks.

Ethics:36 Codes of conduct / other relevant statutory

regulations governing conduct e.g. National CareStandards Commission are in place and havebeen agreed by staff.

Yes SCC Constitution Lucy RobinsonDirector ofEnvironment &

TransportExtn 4376

37 Breaches in the code of conduct / other

regulations are identified,documented andaction is taken to address the breach.Yes Lucy Robinson

Director ofEnvironment &

TransportExtn 4376

38 Departmental managers and staff are aware ofhow to report any concerns identified.

Yes "

39 Where issues are reported:- records are kept of incidents records are kept of actions taken cases are reviewed by departmental

managers.

Yes "

40 Arrangements are in place and staff are aware ofthe need to declare interests, such asrelationships with members or interests insuppliers /contractors.

Yes Brian FosterSenior Buyer,Environment &

Transport



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Requirement Yes/no

Source of evidence Contact name,number and job titleExtn 5189

41 Arrangements are in place and staff are aware ofthe need to declare gifts and hospitality receivedassociated with conducting their duties.

Yes Register maintained. Martin FisherCustomer RelationsOfficerExtn 4299

Service delivery42 SLAs/Trading agreements are in place for all

services delivered across the County Council /other public sector clients, and there are propercontrols to ensure that all changes are properlydealt with.

Yes Most support services aresupplied by Customer ServicesDirect and SLAs have recentlybeen developed for these.

Al CollierHead of TransformationExtn 5088

43 Do you currently hold a quality accreditation e.g.ISO, Chartermark or service specific?

Yes Certain service specific ones arein place.

Assistant Directors

44 Re-accreditation takes place regularly in line withagreed accreditation timescales.

Yes Assistant Directors

45 Are there controls to ensure that all services aredelivered within the framework of compliancewith relevant legislation and/or best practiceguidance, and/or policy?

Yes Assistant Directors

46 Are there procedures in place to ensureprocesses are amended appropriately forchanges in legislation and/or best practiceguidance, and/or policy?

Yes "

47 Are there adequate contingency procedures toensure that services can be resumed in case ofemergency? If so, are these contingency

Yes Risk Management Action Plan "



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Requirement Yes/no


procedures well communicated to all staff?48 The directorate / service maintains a list of the

partnerships it has in place.Yes List Peter Jasper

CSD (Finance) BusinessPartnerExtn 4274

49 There is a contractual agreement in place for allpartnerships, covering: constitution legal, financial and personnel responsibilities roles and responsibilities budgetary and accounting arrangements the monitoring of service delivery.

Yesforsome

e.g Brandon Country Parkmanaged in conjunction withForest Heath DC.

Assistant Directors

50 The framework of each partnership is clearlydocumented and agreed by both parties.

Yesforsome

Assistant Directors

51 Partnership agreements outline legalresponsibilities in respect of: health and safety data protection employment legislation.

Yesforsome

Secured via the procurementadvice when setting up apartnership

Assistant Directors

52 Partnership agreements include clear aims and

objectives, which are measurable.

Yes

forsome

Assistant Directors

53 Partnership agreements include clear Yes e.g Suffolk Highways Assistant Directors



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Requirement Yes/no


performance measures, which are reported onregularly and action plans drawn up to addressissues where performance is poor or whereobjectives are not met.

forsome

Partnership

54 Business / service continuity plans have beendrawn up for all critical service areas and theplans are subject to regular testing and regularreview.

Yesforsome

Assistant Directors

Performance management:55 There is a clearly defined performance

management framework that identifies:

all sources of performance measures who is responsible for achieving each

performance measure who is responsible for collating the data for

each one who determines and approves the

performance measures who receives reports on performance how

often how data quality is assured

how performance data are captured and theirintegrity maintained

how poor performance is addressed how performance is driven upwards over time.

Yes Overall performancemanagement process set up

with target owners and regularmanagement reports.

Belinda GodboldResearch & Monitoring

ManagerExtn 4303



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Requirement Yes/no


56 Key performance indicators have beenestablished and approved for each serviceelement and are included in service plans.

Yes Belinda GodboldResearch & MonitoringManagerExtn 4303

57 A robust monitoring system has been approvedand implemented.

Yes Quarterly reports to DMB "

58 There are regular reports on progress ondelivering approved key performance indicatorsand their continued suitability for securingcontinuous improvement.

Yes "

59 Actions are identified as a result of performancereviews.

Yes "

60 Delivery of these actions is regularly monitored. Yes "61 Benchmarking exercises are carried out to

compare methods and efficiency of servicedelivery.

Partial

"

62 The Council maintains an objective andprofessional relationship with its externalauditors and statutory inspectors.

Yes "

63 External assurance reports / Statement ofInternal Control are reviewed by appropriatemanagement and action plans for improvementare drawn up and monitored where necessary.

Yes "

Policies and procedures64 There are clearly defined policies and procedures

for both financial and non-financial systems,Yes Scheme of Delegation of

Financial ManagementSue GarbettCSD (Finance) Business



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Requirement Yes/no


which are available to all members, managersand staff and which are updated regularly bynominated officers and approved by memberswhere necessary.

PartnerExtn 5674

65 Policies are communicated to departmental staff. Yes "66 Polices are amended in line with legislation /

government standards.Yes "

67 A complaints / compliments procedure is in placewhich is based on the corporate complaintsprocedure.

Yes 'M' track system that is beingreplaced by the new CustomerServices systems.

Liz CheneryCustomer RelationsOfficerExtn 4270

68 Complaints and actions taken as a result of

complaints, are reviewed regularly at a seniorlevel.

Yes Assistant Director and

Management Teams

Assistant Director

69 There are procedures to ensure timely responsesto customer and stakeholder queries?

Yes Assistant Director andManagement Teams

"

70 The directorate / service is aware of thecorporate sustainability policy and has plans toaddress the issues.

Yes DMB and DivisionalManagement Teams

Fran ToomeyAssistant Director(StrategicDevelopment)Extn 4830

71 The department is aware of the corporate e-government policy and action plan and has plansto meet the objectives.

Yes DMB and DivisionalManagement Teams

Matt HardingCSD (ICT) BusinessPartnerExtn 5699

72 Managers are aware of, and are using, thecorporate standards for Records Management

Yes Policy held on SCC Intranet;developing local directorate

Rebecca AtkinsonBusiness &



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Requirement Yes/no


under the Freedom of Information Act, 2000. infrastructure and proceduresbased on corporate policy tofacilitate move to electronicrecords management systems.

Programmes ManagerExtn 4828

73 Each operational unit creates adequate, accuraterecords, for all its relevant activities, andmaintains them in a formal system from whichinformation can be retrieved quickly and easily.

Yes E&T Manual Filing System.

File structures are beingreviewed in line withdevelopments for electronicrecords management.

Sally DickersonCustomer RelationsManagerExtn 4269

Rebecca AtkinsonBusiness &Programmes Manager

Extn 4828

74 The movement and location of records iscontrolled with sufficient security for each unitssize and functions.

Yes Sally DickersonCustomer RelationsManagerExtn 4269

75 All units are aware of and using the most up-to-date versions of corporate policies for theretention of their records, where these havebeen drawn up by the Records ManagementService.

Yes Information Agents areidentified for all service areas toensure effective links betweencorporate Records Managementand individual services.

Rebecca AtkinsonBusiness &Programmes ManagerExtn 4828

76 Staff have been made aware of the importanceof good records management in their trainingconcerning Data Protection, Freedom ofInformation and the Environmental Information

Yes Information Agents Sandra GraffhamCommunicationsManagerExtn 4395/Rebecca



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Requirement Yes/no


Regulations. AtkinsonBusiness &

Programmes ManagerExtn 4828

77 A key contact has been identified to take leadresponsibility for Freedom of Information in thedepartment.

Yes Sandra GraffhamCommunicationsManagerExtn 4395

78 The department has access to publishedFreedom of Information Act guidance whichidentifies the requirements for all staff to follow

and which agrees to the corporate requirements.

Yes "

79 All staff are aware of the Freedom of InformationAct requirements and the action they must takeif an enquiry is received.

Yes "

80 A record is maintained of all Freedom ofInformation enquiries and records theinformation to be made available.

Yes "

81 Evidence is recorded to show all Freedom ofInformation enquiries have been cleared.

Yes "

82 There is a finance manual in place which isavailable to all staff.

Yes Intranet, Scheme of ResourceManagement


83 The department has appropriate policies andprocedures in place to ensure equalities in its

Yes Corporate policiesCorporate Competency




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Requirement Yes/no


treatment of staff and customers. PartnerExtn 5835

84 A health and safety policy is in place and staffand managers are aware of their responsibilities.

Yes Departmental Statement andPolicy in Core Safety Manual

Martin FisherCustomer RelationsOfficerExtn 4299

85 The directorate / service carries out annualreviews of health and safety (all locations).

Yes Directorate & Divisionalmeetings

"

86 There is an action plan in place to address healthand safety issues with responsibilities andtimescales assigned.

Yes Minutes of meetings "

87 Delivery of the health and safety action plan and

emerging issues are regularly monitored.

Yes Directorate & Divisional

meetings

"

Financial Controls88 Are there controls to ensure all income (i.e. fees,

charges etc.) is:- at appropriate levels / rates? collected? banked intact?

Yes Income rates reviewed eachyear as part of the budgetexercise.

Collection arrangementsregularly reviewed by internalaudit.


89 Are there controls to ensure all expenditure isproperly authorised? Yes Adherence to the Scheme ofDelegation of FinancialManagement

Eric PrinceAssistant Director(Strategic Finance,Other Services)



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Requirement Yes/no

Source of evidence Contact name,number and job titleExtn 4268

90 Are there controls to ensure all assets are: properly recorded? Safeguarded?

Yes Inventories, eg ROLMIS, Sage,TechnopolyStock Records


91 Are there controls to ensure the accuracy offinancial information held within the department?

Yes Budget management reportingarrangements regularlyscrutinise financial information


92 Are there controls to ensure all transactions areprocessed accurately, completely and on atimely basis?

Yes SLAs with CSD which are closelymonitored

Clive WelhamTransaction ManagerExtn 5683

93 Are there controls to ensure that all of thebusiness system output is fit for purpose (i.e.accurate, complete and relevant)

Yes CSD have daily procedures forensuring control totals, errorsuspense etc. are accurate andup to date.

Duane HowardRecording ServicesManagerExtn 4541

Questionnaire completed by (if not by Chief Officer) ______Eric Prince________________________

Date: ________11 January 2006__________________

Confirmation:



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I confirm that the questionnaire has been completed correctly and provides an accurate record of thecontrols in place.

Chief Officer: __________________________________________

Date: __________________________________________

Received by Audit Services:

Signature: __________________________________________

Date: __________________________________________


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