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No. | Item |
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APOLOGIES To receive apologies for absence. Minutes: None to note Councillor Edgar Owen and Councillor Arwyn Herald Roberts were welcomed
to their first meeting of the Committee.
Condolences were
extended to Sharon Warnes on the recent loss of her husband and to Luned Fôn Jones (Internal Audit Manager) as her brother had passed away recently. |
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DECLARATION OF PERSONAL INTEREST To receive any declaration of personal interest. Minutes: Item 7. Local Government Act 2021 -
Self-assessment / Subject: ·
Cllr Menna Baines - Local Member / Ysgol y Faenol
Governor / Member of Pentir Community Council / Chair
of the Canolfan Penrhosgarnedd
Management Committee ·
Cllr Elwyn Jones - Pentir Community Council
Clerk They were not prejudicial interests and
therefore they did not have to leave the meeting. |
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URGENT ITEMS To note any items which are urgent business in the opinion of the Chairman so they may be considered. Minutes: None to
note |
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The Chairman shall propose
that the minutes of the meeting of this committee, held on May 25th
2023, be signed as a true record. Minutes: The Chair accepted the minutes of the previous meeting of this
committee, held on 25 May 2023, as a true record. |
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IMPLEMENTING THE DECISIONS OF THE COMMITTEE PDF 279 KB To consider the report and offer comments Decision: Minutes: A report was submitted
providing an outline of how the Council's departments had responded to the decisions of the
Governance and Audit Committee so that
Members could be assured that their
decisions were addressed. It was noted that the report gave Members an
opportunity to consider the
decisions made with the intention of removing the item / decision when the action had been completed. Gratitude was expressed for the report. In response to an observation regarding the long-term
absence of staff in the Internal Audit Service, it was noted that staff within the service had stepped up and that there was good management of delivering statutory duties. In response to an observation regarding exit interview arrangements, it was noted that the matter was now on the work
programme of the Human Resources Service. RESOLVED:
To accept the report. |
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ANNUAL REPORT OF THE GOVERNANCE AND AUDIT COMMITTEE 2022-23 PDF 311 KB To consider, offer comments
and approve the report Additional documents: Decision: To accept and approve the Annual Report Note: To include the details of relevant training courses attended by
Members Minutes: The annual report was submitted by the Committee Chair. It was
highlighted that this was the first time for the report to be submitted and
this in response to a strong recommendation by CIPFA which noted that the
Committee should prepare an annual report that provided assurance to everyone
who was responsible for governance that it achieved its purpose and could show
impact. The purpose of the report was to encompass the work of the Committee
over the 2022-23 year and to highlight how the Committee had achieved its
statutory duties and added value to the governance arrangements of Cyngor
Gwynedd. The Chair welcomed observations from Members before submitting it for
the Full Council's approval on 28-09-23. The Head of Finance Department was
thanked for his work of preparing the report and also
the Cabinet Member for Finance - Councillor Ioan Thomas for the special
collaboration between him and the Committee. The Council Leader, Councillor
Dyfrig Siencyn was also thanked for being part of the Committee's arrangements
and his willingness to submit reports for observations. The Head of Finance added that the report responded to the statutory
requirements of Welsh Government and had been set out in accordance with the
Committee's functions (some mandatory functions and others as functions
appointed by the Cyngor Gwynedd Constitution). Attention was drawn to the
effectiveness of the Committee and the intention of submitting a report to the
next meeting regarding undertaking a self-evaluation of the Committee's work -
this was perceived as good practice, an important step forward and of
assistance to the Members. During the ensuing discussion, the following
observations were noted: ·
That training
sessions on specific fields had been beneficial - a suggestion was made to
include these details in the report. ·
Arlingclose training was
appreciated - a suggestion was made that all Councillors should receive this
training. ·
Welcomed the report and thanked the Chair for
her work and guidance during the year. In response to a question regarding the meaning of the statement 'that savings will not have an uneven
impact across the County' (para 18), it was explained
that the observation had been made by the Committee when discussing the impact of savings. The observation was added to the final report that was submitted to the Cabinet and the Council. RESOLVED: To accept and approve the Annual Report. Note: To include the details of relevant training courses attended by Members. |
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LOCAL GOVERNMENT AND ELECTIONS WALES ACT 2021 - SELF-ASSESSMENTS PDF 401 KB To consider the contents of the draft document for 2022/23 and propose any comments
and recommendations. Additional documents:
Decision: Minutes: In accordance with a new statutory requirement
under the Local Government
and Elections (Wales) Act 2021, a report
was submitted by the Council
Leader, Councillor Dyfrig Siencyn reporting
on the Council's Annual Performance and Self-assessment looking back at 2022/23. He suggested that the statutory requirement was an addition to the industry of 'words' and questioned whether or not it added value. However, it had to be accepted that there
was importance in undertaking continuous self-assessment, the need for a robust system and an opportunity for the Executive to hold a conversation about the satisfaction of requirements during the financial year. The team of chief officers who had prepared the Self-assessment and
the Committee were thanked for their
work of reviewing the report and offering observations / recommendations on the changes to the conclusions or actions the Council intended to take. The challenge of explaining
the 'work of the Council';
the challenge of setting budgets and the need for the public to understand this was highlighted. It was also noted that a number
of the amendments identified
in the 21/22 self-assessment
remained in the report because a number of the amendments were long-term issues, and it was
in December that the self-assessment for 2021/22 was published. Reporting progress within the amendments will be submitted during the year. Workshops would be held during
23/24 to discuss the progress
within the amendments and a
performance update would be submitted within the year. Gratitude was expressed for the report. During the ensuing discussion, the following observations were made by members: ·
That the word
'suitable' was debatable in the context of '...difficult to attract suitable
lay and elected members to be on the committee...' ·
A suggestion was
made to include a brief explanation of the evidence before the conclusions -
unlikely that some would open every link in the report and/or ensure that the
summary was brief and effective that would summarise the evidence - easier for
the public to understand. It was accepted that this was not practical for this version of the
report, but it was agreed to consider this for the next version. ·
There was a need to
ensure that documents / evidence sources were up-to-date
(a number of the links were for 2021/22 reports - this was a weakness). It was noted that this document was prepared before
a number of other documents/sources of evidence for
the year in question were adopted. As a result it was
not possible to include links even though there was collaboration between the
authors when compiling the report. ·
County residents had an understanding of the Council's work fields but
perhaps not the complexities - a responsibility here to explain the Council's
work to residents. ·
There was a need to raise awareness and engage with new electors - school
children. · A request for the working group of officers who developed an efficient framework to measure value for money ... view the full minutes text for item 7. |
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STATEMENT OF ACCOUNTS 2022/23 (Subject to Audit) PDF 121 KB To receive and note the Council’s Statement of
Accounts (subject to audit) for 2022/23. Additional documents: Decision: Minutes: The Cabinet Member for Finance took the opportunity to thank all staff
at the Finance Department for their commitment to ensure that the Council's
(draft) Accounts Statement had been submitted to Audit Wales since the end of
June, and this within a very short period. He gave members an update on their
responsibilities and thanked them for the good collaboration. The Assistant Head of Finance Department - Accountancy and Pensions
explained that the accounts would usually be submitted before the summer, but
as there had been no Committee meeting in June, this was the first opportunity
to submit them. It was added that there had been an extension again this year
to the statutory timetable to audit accounts, with the intention of completing
the audit and this Committee approving the accounts in December. Members were reminded that the end of year financial position for
2022/23 had been submitted to the Committee o 25 May in the form of a simple
out-turn report, but the Statement of Accounts, for external and governance
purposes, had to be completed in CIPFA standard form. It now appeared as a
lengthy and technically complex document. The content of the report was reported upon explaining that six sets of
accounts for 2022/23 were being completed: 1. Cyngor
Gwynedd 2. Gwynedd
Pension Fund 3. GwE (substantially-sized joint committee and therefore Full Statements had been prepared) 4. North
Wales Ambition Board (substantially-sized
joint committee and therefore Full Statements had been prepared) 5. Gwynedd
Harbours and 6. Gwynedd
and Anglesey Joint Planning Policy
Committee (submitted to a meeting of the Governance and Audit Committee on 25 May 2023). Reference was made to the Narrative
Report that provided information about the Accounts and on the vision and priorities of Gwynedd, the Financial Strategy
and the financial performance
measures. Members were guided through
the report and details were provided on
some elements: ·
Summary of capital
expenditure. Capital expenditure amounted to £37 million during the year compared
to £37 million in the previous year as well. ·
The main financial
statements included Income and Expenditure Statement, Balance Sheet, Cash-flow
etc. ·
Movement in Reserves
Statement which was an important statement and summarised the Council's
financial position. It was highlighted that the Council's general balances were
£7.9 million at the end of March 2023, namely the same level as March 2022.
That Reserves highlighted a reduction in the £106 million funds at the end of
March 2022 compared to £104 million by the end of March 2023. ·
School balances
where a reduction of £4.8m was seen in school balances - £17 million at the end
of March 2022 compared to £12 million by the end of March 2023. · There had been a considerable shift in the balance sheet position by March 2023 compared to the previous year due to Pension Liability. It was explained that the matter was not unique to Gwynedd but rather a general picture due to market conditions. On 31 March 2023, the Council had ... view the full minutes text for item 8. |
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TREASURY MANAGEMENT 2022/23 PDF 296 KB To consider
and note the report for information Decision: Minutes: The Investment Manager presented a report on the actual results of the Council's
treasury management during 2022/23, against the strategy approved by the Full
Council on 3 March 2022. It was reported that the year had been a very busy and
prosperous one for the Council's treasury management activity as the activity
had remained within the constraints originally set. It was confirmed that there
were no defaults by institutions in which the Council had deposited money with. It was reported that £1.8m in interest had been received on investments,
which was higher than the £0.4m included in the budget. It was noted that the interest income was
substantially higher than the budget as the budget had been set in a period
where the basic rate was 0.75%; by March 2023, it was 4.25%. On 31 March 2023, the Council was in a very strong position with net
investments, which had resulted from a high level of investments and
operational capital. This included £57 million of the Ambition Board's funding
and £18 million of the Pension Fund. In the context of investments, it was reported that the Council had
continued to invest with Banks and Building Societies, Financial Market Funds,
Pooled Funds, Local Authorities and the Debt
Management Office. It was noted that the pooled funds were mid/long-term
investments which brought in a very good income level, and with the Council's
funding levels healthy, the Investment Unit was considering a further
investment in these funds in the near future. In the context of the compliance report and indicators, it was reported
that all activities had complied in full with the
CIPFA code of practice and the Council's treasury management strategy - this
was good news and showed that there was robust management of the funding.
Reference was made to the indicators where it was highlighted that every
indicator complied with the expectation except for one (Interest Rates
Disclosure). It was explained that this indicator had been set during low
interest conditions in March 2022 and, therefore, it was reasonable that the
amounts were so different. Gratitude was expressed for the report. In response to a question regarding the need to re-set the indicator
that did not comply, it was noted that Arlingclose
suggested the indicators that should be used. The observation was accepted as a
fair one and as the 1% interest condition was now irrelevant to current
circumstances, the observation would be highlighted to Arlingclose
at their next meeting. In response to a question regarding borrowing to other Councils, it was noted that the Council continued to do so and to Councils that were safe. It was noted that Arlingclose had a list of those Councils where they should not invest. In response to a question regarding the section 114 notice and the likelihood that councils, which had previously borrowed, would have the right not to repay the loan, it was noted that Arlingclose had confirmed that those Councils would have to repay the loan, which was different to ... view the full minutes text for item 9. |
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ANNUAL COMPLAINTS AND SERVICE IMPROVEMENT REPORT 2022/23 PDF 116 KB To accept the report and provide any comments or recommendations regarding the complaints system which results from receiving the Annual Letter of the Ombudsman for Wales for the year 2022/23. Additional documents: Decision: Minutes: A report was submitted by the Head of Corporate Support Department who
presented the observations of the Ombudsman for Wales on the Council's
arrangements and performance in relation to dealing with complaints and service
improvements during 2022/23 thus highlighting successes, challenges
and developments. Members were reminded that the Committee had a statutory
requirement to ensure that the Council had effective arrangements in place to
deal with complaints. It was added that there had been no change in the
procedure or the Concerns and Complaints Policy during 2022/23 and, therefore,
the content of the Ombudsman's letter was based on the Policy adopted by the
Council in 2021. It was reported that the Annual Letter had been received on 17 August
2023. Reference was made to some comments and recommendations made by the
Ombudsman, which included, “I would encourage Cyngor Gwynedd, and specifically
your Audit and Governance Committee, to use this data to better understand your
performance on complaints and consider how well good complaints handling is
embedded throughout the Authority”. Reference was made to the relevant training that Committee Members had
received (Overview of good practice in Improving Services of Complaints -
November 2022) along with an observation that an amended letter had been
received rectifying an error to statistics of the Code of Conduct Complaints. Gratitude was expressed for the report. In response to a comment that the number of complaints had reduced and whether or not the reason for this was accurate recording,
it was noted that the record was realistic and that every complaint received
was recorded (before being referred to the relevant service). It was added that
the content of the complaints was the Cabinet's responsibility and that the
Committee was responsible for ensuring the Council's arrangements in response
to complaints. In response to an observation that 17% of complaints had been received
for 'Complaints Handling', it was noted that this was either because the
Ombudsman's Office dealt with complaints differently to the Council or that the
relevant service had not fully responded / understood the procedure. It was
reiterated that training was being encouraged and that lessons were being
learnt. It was also noted that some services were worse than others, it was
noted that every service was improving and that some were being targeted to
receive further training. In a response to an observation about a further / detailed report, it was noted that there was no intention to submit more information as the responsibility of the Committee was to ensure effective arrangements within the Council to deal with complaints. In response to an additional observation regarding what services needed to do to improve response, this year, in accordance with the statutory requirement, it was noted that the Cabinet verified the role of services, and that the Committee was responsible for verifying the contents of the letter. In response, the Chair noted that a snapshot of what was submitted to the Ombudsman was before the Committee and that there was no information about the procedure. ... view the full minutes text for item 10. |
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AUDIT WALES REPORTS - Q1 Update PDF 208 KB To provide an
update to the Committee on the
Audit Wales work programme for Quarter
1 . Additional documents: Decision: DECISION To accept the
reports Note: 11b - suggestion to include names / examples of Gwynedd Social
Enterprises in the response in order to understand the
broader context Minutes: Alan Hughes and Yvonne
Thomas (Audit Wales), Dewi Wyn Jones (Council Business Support Service Manager)
and Jennifer Rao (Business Support Officer) were welcomed to the meeting to
submit their observations / responses. a)
Quarter 1 Update Submitted - a quarterly update
(up to 30 September 2023) on the work programme and timetable of Audit Wales. A
discussion was held on the financial audit and local performance audit work,
highlighting that the Annual Report would be published in November 2023. The Audit Manager, Audit Wales
drew the Committee's attention to one error in the report submitted. Where the report noted "The Annual Form
of the Joint Planning Policy Committee has not yet been received", they
had actually received the Annual Form of the Joint
Planning Policy Committee on 13 June 2023. Reference was made to the
Digital Themes Review highlighting that the first draft of the review had been
shared with the Council. It was added that a Scrutiny Efficiency Review had
been completed and that discussions had been held on 06-09-23 to agree on the
final report. It was intended to submit the final report to the next meeting of
the Committee. Reference was made to planned local government national studies,
along with national reports and other outputs that had been published by Audit
Wales since June 2022, which included 'A missed opportunity? - Social
Enterprises'. Gratitude was expressed for the
report. In response to an observation that there was no
reference in the update to the recent concrete crisis (safety of public
buildings constructed using RACC aerated concrete), it was noted that audit
schemes would adapt as the need arose and as the matter was ongoing, it was
likely to influence future schemes. |
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To consider
and accept the report Additional documents:
Minutes: It was reported that the
Governance and Audit Committee had a duty to review and assess the risk
management arrangements, internal control, performance management and the
Council's corporate governance and as part of that duty, there was an
expectation to consider the reports of external review bodies such as Audit
Wales, Estyn and Care Inspectorate Wales. In addition,
committees were expected to assure themselves that arrangements were in place
to monitor and evaluate progress against any recommendations in those reports. The 'Missed opportunity? - Social Enterprises' report was
submitted, along with the response of managers who outlined what the Council
intended to do to respond to the recommendations within the report. It was explained that the work
of developing a strategy and vision had commenced by holding a joint
face-to-face meeting with representatives from the Third Sector Liaison Group
in Gwynedd. A workshop had been held where attendees (Third Sector, Officers and Councillors) were given an opportunity to contribute
towards the development and co-production of priorities for action. The next
step would be to analyse the observations gathered, to hold another meeting in
October to develop the vision in full and to share a further update with the
Committee within 6 months. Gratitude was expressed for the report. In response to a question
regarding what a social enterprise was, it was noted that a recent meeting was
held with third sector organisations that are part of the Gwynedd Third Sector
Liaison Group who represent people in society - examples in Gwynedd would be Mantell Gwynedd, GISDA, Menter Fachwen. In an additional observation, a suggestion was
made to list examples of social enterprises in the managers' response document in order to understand the broader context. The Audit Wales
Officer added that it was difficult to set a definition of the term, but that
it was a not-for-profit body to ensure social value. Reference was made to 1.24
of the report where it was noted that the best websites by local authorities
included a 'clear definition noting what is a Social Enterprise'. In response to an observation
that the report was generic and that it was not suggested that an opportunity
had been missed, it was noted that there was conflict between local and
national work, and although the report seemed generic, that recommendations led
to local opportunities. During
the ensuing discussion, the following observations were made by members: ·
That the work of
social enterprises was very commendable; however, as Local Authorities disposed
of assets and lost control, this could lead to enterprises dismantling the work
of Local Authorities. ·
That there were good
examples of social enterprises in the county and if they were managed
correctly, the social benefit was a positive one. RESOLVED to accept the report. Note: 11b - suggestion to include
names / examples of Gwynedd
Social Enterprises in the response in order to understand
the broader context |
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RECOMMENDATIONS AND IMPROVEMENT PROPOSALS OF EXTERNAL AUDIT REPORTS PDF 21 KB To consider that
appropriate arrangements are in place in order to ensure that the improvement proposals
that arise from external audit reports are implemented. Additional documents: Decision: Minutes: Members were reminded that the item was to be considered as a governing role
and not as a scrutiny role with a request that the Committee should be
satisfied that there were appropriate arrangements in place to ensure that
improvement proposals arising from external audits should be realised. It was noted that the work of responding to most of the improvement
proposals was continuous work and that the Governance Group chaired by the
Corporate Director had been addressing the improvement proposals and the
progress of the recommendations. It was reiterated, in relation to those proposals
where the conclusion noted 'completed', that these categories, following
feedback from the Committee, had now been separated into two parts to reflect
whether the recommendations had been realised or if they were ongoing work for
the department. Gratitude was expressed for the report. During the ensuing discussion, the following
observation was noted: ·
That a number of
reports were likely to return. In response to an observation that there was a slippage to the Human
Resources Information System Report, although there was a clear slippage, it
was noted that the report states that it is anticipated that the work programme
of responding to the recommendations would be completed by the end of March
2024. On a local level, it was added that an officer would be appointed to
examine the actions and that a 'managers' response' document would be prepared
to ensure Council ownership of the work; on a national level, an officer would
be identified if relevant. RESOLVED to accept the report. |
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REVIEW OF THE CONSTITUTION PDF 338 KB To support the proposed
amendments to the Constitution
and recommends to the Full Council that they
be adopted. Additional documents: Decision: To support the proposed change to the Constitution and recommend to the
Full Council that they are adopted. Minutes: Submitted – the report of the Monitoring Officer highlighting elements of the Constitution that needed to be updated either in response to the requirements of the Local Government
and Elections (Wales) Act 2021, legal
amendments or arrangements that justified an amendment. It was reported that it had been a period that had seen several changes
to the Constitution as the Act had come into force
and that further changes were a matter of bringing the house to order. It was noted that
the issues were subject to the Full Council's approval; however, the Committee was asked to consider and support the proposed amendments and recommend to the Full Council that
they adopted them. Gratitude was expressed for the report. During the ensuing discussion, the following
observations were noted: ·
Despite extending
the notice period for a question to the Full Council to 3 working days so that
officers could respond in more detail to potentially technical issues, this did
not meet the time needed to prepare for a supplementary question. ·
Increasing the threshold of placing the Council
seal on contracts from £50,000 to £100,000 was a wise move. RESOLVED To support the proposed change to the Constitution and recommend to the Full Council that they
are adopted |