APPENDIX 4(ii)

ENVIRONMENT & TRANSPORT DIRECTORATE

Directorate / Service Corporate Governance Questionnaire 2005
For completion by Chief Officers and return to Peter Frost, Audit Services by 23
December 2005

Requirement Yes Source of evidence Contact name,

/no number and job title

Management structures and reporting lines

1 There is a clearly defined management structure Yes Human Resources are Paul Lowes
supported by organisation charts for all roles. developing structure charts CSD (HR) Business
through the new HR system. Partner
Extn 5835
2 The structure is regularly reviewed. Yes Assistant Directors and
Third Tier Managers
3 The Chief Officer is supported by a Directorate Yes Schedule of fortnightly Lucy Robinson
Management Team. meetings Director of
Environment &
Transport
Extn 4376
4 DMT meet regularly, with planned agendas. The Yes Notes of Meetings "
meetings are minuted, with actions clearly noted.
5 The personal responsibilities of senior officers are Yes Job Specifications; Core Paul Lowes
clearly identified. Competencies and Senior CSD (HR) Business
Manager Competencies Partner
Extn 5835

Departmental corporate governance questionnaire 2005 1 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
6 There is a documented scheme of delegated Yes Scheme of Delegation of Sue Garbett
authority in place, which is updated to reflect Financial Management CSD (Finance) Business
changes in staffing or service delivery and which Partner
provides managers with the power needed to Extn 5674
conduct business.
7 The nominated Section 151 Officer has appointed Yes Eric Prince Assistant
a suitably qualified and experienced senior Director (Strategic
manager who is given responsibility for the Finance, Other
financial affairs of the department. Services)
Extn 4268
8 Decisions made by managers/committees are Yes Divisional Team Meeting Assistant Directors
recorded and communicated to the appropriate minutes.
member of staff to action. Virement procedures.
9 There is a mechanism for keeping staff informed Yes Notes of DMB and other Assistant
of decisions made by the departmental important issues are cascaded Directors/Third Tier
management and key issues. down the management network. Managers
10 Effective communication is in place to keep staff Yes Cascaded from DMB through "
informed of new and existing corporate and Divisional Team Meetings
departmental policies / procedures / issues.
11 Each member of staff have clearly defined job Yes JDs on record. Assistant Directors and
descriptions and set performance targets which Targets within PDR. Third Tier Managers
are updated annually. Divisional business plans assign
responsibility for priorities.
12 Appraisals of staff performance are carried out at Yes Relevant paperwork Assistant Directors
least annually.
13 New staff receive appropriate induction/training Yes Induction checklist. Assistant Director PAs
to perform their roles. Corporate induction event for all Assistant

Departmental corporate governance questionnaire 2005 2 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
new staff. Directors/Third Tier
Managers
14 The department has a staff training plan to PDR training requirements are "
address skill gaps identified through the collated to address this issue. A
performance development and service planning high level directorate training
processes. plan has been produced but is
now due for renewal as part of
our approach to workforce
planning.
15 Existing staff have training plans in place to Yes Within PDR and Divisional Assistant Directors
enable them to perform their function. Business Plans
16 Training plans include training on: Yes The directorate training plan Assistant Directors
addresses some of these issues.
• improving performance Management development has
included departmental events
on performance.
• corporate governance Staff are regularly encouraged "
to attend council committee
meetings as part of their
training. Corporate governance
issues form a regular part of AD
and senior management
meetings.
• conduct and reporting concerns at work Human Resources have "
produced advice on this.
• risk. The Corporate Risk Manager has "
attended numerous

Departmental corporate governance questionnaire 2005 3 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
management team meetings to
train managers in corporate risk
management processes.
Strategy and planning
17 Are there controls in place to ensure that all Yes Constitution set down and Lucy Robinson
services are delivered within the rules of the SCC available on the web site. Director of
Constitution? Environment &
Transport
Extn 4376
18 There is a directorate / service strategy lasting No Service Plan covers one year "
three years or more, which is updated annually, but we are corporately about to
with clear links to the corporate objectives. embark on three year planning.
19 The directorate / service strategy is based on Yes Divisional Business Plans Assistant Directors
individual service plans for all services within the
department.
20 Service plans include: Yes A more uniform approach is to Lucy Robinson
• a detailed budget be taken across all Directorates Director of
• workforce plan to Business Planning in Environment &
• performance indicators 2006/07. Transport
• clear measurable actions with evaluation Action Plans and Key Extn 4376
criteria, time scales and responsible Performance Indicators are
officers included in Business Plans.
21 Service plans reflect consideration of corporate Yes "
objectives and policies (e.g. sustainability,
equalities)
22 Service plans reflect consultation with service Yes The key service targets are "

Departmental corporate governance questionnaire 2005 4 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
users and other stakeholders. governed by various
consultations.
23 The departmental strategy and annual service Yes "
plan has been agreed by the DMT.
24 The service plan is monitored by DMT on a Yes "
regular basis (at least half-yearly) and action is
taken where targets are not likely to be met.
25 Performance indicator information (national and Yes Quarterly reports to DMB, Belinda Godbold
local performance indicators) is collected and looking at performance and Research & Monitoring
used for monitoring performance on an ongoing action is agreed where Manager
basis. necessary to get performance Extn 4303
on track.
26 Budgets are regularly monitored and reallocated Yes Monthly reporting to DMB. CSD Sue Garbett
in line with revised risk/resource needs. also supports quarterly budget CSD (Finance) Business
meetings for each service in the Partner
Divisions. Extn 5674
27 BVPIs are reviewed regularly to monitor Yes Quarterly reporting to DMB. Belinda Godbold
progress of performance and update actions and In the Environment Division Research & Monitoring
performance indicators. there are quarterly budget and Manager
performance meetings for each Extn 4303
service. Belinda Godbold
Action agreed where necessary Research & Monitoring
to get performance on track. Manager
DMB also receive an annual Extn 4303
report on the quartile position of
BVPIs that is cascaded to senior
managers to assist target

Departmental corporate governance questionnaire 2005 5 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
setting.
28 Best value reviews are carried out in line with Yes Where appropriate. Assistant Directors
corporate procedures, with actions plans drawn Local best value reviews are
up and monitored. now the main vehicle for
change.

Risk management
29 There is an embedded risk management process Yes Risk Register Martin Fisher
in the directorate / service, following corporate Customer Relations
guidance, which ensures that all directorate / Officer
service risks are identified and reviewed at least Extn 4299
annually and supported by an action plan to
address weaknesses.
30 The risk management process ensures that: Yes Quarterly Process Martin Fisher
Customer Relations
• managers are accountable for managing their Yes Officer
risks Extn 4299
Yes
• staff receive appropriate training on Yes
managing risk
• there is a timetable for identification and
Yes
evaluation of risks
• risks assessments cover all areas of activity, Yes
identify all risks (including emerging risks)
Yes
and are carried out at least annually by
appropriate staff No Although RMG have access to
register.
• scoring is consistent across the department Yes

Departmental corporate governance questionnaire 2005 6 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
•risks are identified via normal management Yes High level risks escalated to
processes corporate list
• an annual report is presented to the corporate
Risk Management Group
• an action plan ensures that high level risks
are managed and monitored
• key risk indicators are documented and
monitored.
31 A system of internal control is established and Yes Action Plans Risk Owner as defined
includes specific controls to mitigate risks. in the Risk Register
Controls are owned by managers and reviewed
independently by internal audit, external audit or
other forms of inspection.
32 Risk assessments are undertaken before the Yes e.g. Waste Project, Committee Project Lead
commencement of major projects and included in Reports
reports on which the decision to proceed is
based.
33 Risk assessments are regularly reviewed during Yes e.g. SLRR Scrutiny Working Project Manager
the life of major projects. Group Report
The Waste Programme Board
reviews red risks at each of its
meetings.
34 Potential partners are required to produce and Yes e.g Reconstruction of Ballingdon "
submit risk assessments. Bridge
35 Partnerships are reviewed in terms of risk before Yes e.g Suffolk Highways "
they are entered into and the risks are reviewed. Partnership tender process.
Where possible risks are shared (through e.g DEFRA funded in-vessel

Departmental corporate governance questionnaire 2005 7 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
contractual arrangements). composter at Lackford. The
project involved a contractor
and 2 District Councils. A risk
log was used to allocate risks.

Ethics:
36 Codes of conduct / other relevant statutory Yes SCC Constitution Lucy Robinson
regulations governing conduct e.g. National Care Director of
Standards Commission are in place and have Environment &
been agreed by staff. Transport
Extn 4376
37 Breaches in the code of conduct / other Yes Lucy Robinson
regulations are identified, documented and Director of
action is taken to address the breach. Environment &
Transport
Extn 4376
38 Departmental managers and staff are aware of Yes "
how to report any concerns identified.
39 Where issues are reported:- Yes "
• records are kept of incidents
• records are kept of actions taken
• cases are reviewed by departmental
managers.
40 Arrangements are in place and staff are aware of Yes Brian Foster
the need to declare interests, such as Senior Buyer,
relationships with members or interests in Environment &
suppliers /contractors. Transport

Departmental corporate governance questionnaire 2005 8 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
Extn 5189
41 Arrangements are in place and staff are aware of Yes Register maintained. Martin Fisher
the need to declare gifts and hospitality received Customer Relations
associated with conducting their duties. Officer
Extn 4299

Service delivery
42 SLA’s/Trading agreements are in place for all Yes Most support services are Al Collier
services delivered across the County Council / supplied by Customer Services Head of Transformation
other public sector clients, and there are proper Direct and SLAs have recently Extn 5088
controls to ensure that all changes are properly been developed for these.
dealt with.
43 Do you currently hold a quality accreditation e.g. Yes Certain service specific ones are Assistant Directors
ISO, Chartermark or service specific? in place.
44 Re-accreditation takes place regularly in line with Yes Assistant Directors
agreed accreditation timescales.
45 Are there controls to ensure that all services are Yes Assistant Directors
delivered within the framework of compliance
with relevant legislation and/or best practice
guidance, and/or policy?
46 Are there procedures in place to ensure Yes "
processes are amended appropriately for
changes in legislation and/or best practice
guidance, and/or policy?
47 Are there adequate contingency procedures to Yes Risk Management Action Plan "
ensure that services can be resumed in case of
emergency? If so, are these contingency

Departmental corporate governance questionnaire 2005 9 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
procedures well communicated to all staff?
48 The directorate / service maintains a list of the Yes List Peter Jasper
partnerships it has in place. CSD (Finance) Business
Partner
Extn 4274
49 There is a contractual agreement in place for all Yes e.g Brandon Country Park Assistant Directors
partnerships, covering: for managed in conjunction with
• constitution som Forest Heath DC.
• legal, financial and personnel responsibilities e
• roles and responsibilities
• budgetary and accounting arrangements
• the monitoring of service delivery.
50 The framework of each partnership is clearly Yes Assistant Directors
documented and agreed by both parties. for
som
e
51 Partnership agreements outline legal Yes Secured via the procurement Assistant Directors
responsibilities in respect of: for advice when setting up a
• health and safety som partnership
• data protection e
• employment legislation.
52 Partnership agreements include clear aims and Yes Assistant Directors
objectives, which are measurable. for
som
e
53 Partnership agreements include clear Yes e.g Suffolk Highways Assistant Directors

Departmental corporate governance questionnaire 2005 10 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
performance measures, which are reported on for Partnership
regularly and action plans drawn up to address som
issues where performance is poor or where e
objectives are not met.
54 Business / service continuity plans have been Yes Assistant Directors
drawn up for all critical service areas and the for
plans are subject to regular testing and regular som
review. e

Performance management:
55 There is a clearly defined performance Yes Overall performance Belinda Godbold
management framework that identifies: management process set up Research & Monitoring
• all sources of performance measures with target owners and regular Manager
• who is responsible for achieving each management reports. Extn 4303
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 their
integrity maintained
• how poor performance is addressed
• how performance is driven upwards over time.

Departmental corporate governance questionnaire 2005 11 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
56 Key performance indicators have been Yes Belinda Godbold
established and approved for each service Research & Monitoring
element and are included in service plans. Manager
Extn 4303
57 A robust monitoring system has been approved Yes Quarterly reports to DMB "
and implemented.
58 There are regular reports on progress on Yes "
delivering approved key performance indicators
and their continued suitability for securing
continuous improvement.
59 Actions are identified as a result of performance Yes "
reviews.
60 Delivery of these actions is regularly monitored. Yes "
61 Benchmarking exercises are carried out to Part "
compare methods and efficiency of service ial
delivery.
62 The Council maintains an objective and Yes "
professional relationship with its external
auditors and statutory inspectors.
63 External assurance reports / Statement of Yes "
Internal Control are reviewed by appropriate
management and action plans for improvement
are drawn up and monitored where necessary.
Policies and procedures
64 There are clearly defined policies and procedures Yes Scheme of Delegation of Sue Garbett
for both financial and non-financial systems, Financial Management CSD (Finance) Business

Departmental corporate governance questionnaire 2005 12 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
which are available to all members, managers Partner
and staff and which are updated regularly by Extn 5674
nominated officers and approved by members
where necessary.
65 Policies are communicated to departmental staff. Yes "
66 Polices are amended in line with legislation / Yes "
government standards.
67 A complaints / compliments procedure is in place Yes 'M' track system that is being Liz Chenery
which is based on the corporate complaints replaced by the new Customer Customer Relations
procedure. Services systems. Officer
Extn 4270
68 Complaints and actions taken as a result of Yes Assistant Director and Assistant Director
complaints, are reviewed regularly at a senior Management Teams
level.
69 There are procedures to ensure timely responses Yes Assistant Director and "
to customer and stakeholder queries? Management Teams
70 The directorate / service is aware of the Yes DMB and Divisional Fran Toomey
corporate sustainability policy and has plans to Management Teams Assistant Director
address the issues. (Strategic
Development)
Extn 4830
71 The department is aware of the corporate e- Yes DMB and Divisional Matt Harding
government policy and action plan and has plans Management Teams CSD (ICT) Business
to meet the objectives. Partner
Extn 5699
72 Managers are aware of, and are using, the Yes Policy held on SCC Intranet; Rebecca Atkinson
corporate standards for Records Management developing local directorate Business &

Departmental corporate governance questionnaire 2005 13 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
under the Freedom of Information Act, 2000. infrastructure and procedures Programmes Manager
based on corporate policy to Extn 4828
facilitate move to electronic
records management systems.
73 Each operational unit creates adequate, accurate Yes E&T Manual Filing System. Sally Dickerson
records, for all its relevant activities, and Customer Relations
maintains them in a formal system from which Manager
information can be retrieved quickly and easily. Extn 4269
File structures are being
reviewed in line with Rebecca Atkinson
developments for electronic Business &
records management. Programmes Manager
Extn 4828

74 The movement and location of records is Yes Sally Dickerson

controlled with sufficient security for each unit’s Customer Relations
size and functions. Manager
Extn 4269
75 All units are aware of and using the most up-to- Yes Information Agents are Rebecca Atkinson
date versions of corporate policies for the identified for all service areas to Business &
retention of their records, where these have ensure effective links between Programmes Manager
been drawn up by the Records Management corporate Records Management Extn 4828
Service. and individual services.
76 Staff have been made aware of the importance Yes Information Agents Sandra Graffham
of good records management in their training Communications
concerning Data Protection, Freedom of Manager
Information and the Environmental Information Extn 4395/Rebecca

Departmental corporate governance questionnaire 2005 14 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
Regulations. Atkinson
Business &
Programmes Manager
Extn 4828

77 A key contact has been identified to take lead Yes Sandra Graffham
responsibility for Freedom of Information in the Communications
department. Manager
Extn 4395
78 The department has access to published Yes "
Freedom of Information Act guidance which
identifies the requirements for all staff to follow
and which agrees to the corporate requirements.
79 All staff are aware of the Freedom of Information Yes "
Act requirements and the action they must take
if an enquiry is received.
80 A record is maintained of all Freedom of Yes "
Information enquiries and records the
information to be made available.
81 Evidence is recorded to show all Freedom of Yes "
Information enquiries have been cleared.
82 There is a finance manual in place which is Yes Intranet, Scheme of Resource Sue Garbett
available to all staff. Management CSD (Finance) Business
Partner
Extn 5674
83 The department has appropriate policies and Yes Corporate policies Paul Lowes
procedures in place to ensure equalities in its Corporate Competency CSD (HR) Business

Departmental corporate governance questionnaire 2005 15 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
treatment of staff and customers. Partner
Extn 5835
84 A health and safety policy is in place and staff Yes Departmental Statement and Martin Fisher
and managers are aware of their responsibilities. Policy in Core Safety Manual Customer Relations
Officer
Extn 4299
85 The directorate / service carries out annual Yes Directorate & Divisional "
reviews of health and safety (all locations). meetings
86 There is an action plan in place to address health Yes Minutes of meetings "
and safety issues with responsibilities and
timescales assigned.
87 Delivery of the health and safety action plan and Yes Directorate & Divisional "
emerging issues are regularly monitored. meetings
Financial Controls
88 Are there controls to ensure all income (i.e. fees, Yes Income rates reviewed each Sue Garbett
charges etc.) is:- year as part of the budget CSD (Finance) Business
• at appropriate levels / rates? exercise. Partner
• collected? Extn 5674
• banked intact? Collection arrangements
regularly reviewed by internal
audit.

89 Are there controls to ensure all expenditure is Yes Adherence to the Scheme of Eric Prince
properly authorised? Delegation of Financial Assistant Director
Management (Strategic Finance,
Other Services)

Departmental corporate governance questionnaire 2005 16 of 18

 Requirement Yes Source of evidence Contact name,
/no number and job title
Extn 4268
90 Are there controls to ensure all assets are: Yes Inventories, eg ROLMIS, Sage, Sue Garbett
• properly recorded? Technopoly CSD (Finance) Business
• Safeguarded? Stock Records Partner
Extn 5674
91 Are there controls to ensure the accuracy of Yes Budget management reporting Sue Garbett
financial information held within the department? arrangements regularly CSD (Finance) Business
scrutinise financial information Partner
Extn 5674
92 Are there controls to ensure all transactions are Yes SLAs with CSD which are closely Clive Welham
processed accurately, completely and on a monitored Transaction Manager
timely basis? Extn 5683
93 Are there controls to ensure that all of the Yes CSD have daily procedures for Duane Howard
business system output is fit for purpose (i.e. ensuring control totals, error Recording Services
accurate, complete and relevant) suspense etc. are accurate and Manager
up to date. Extn 4541

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

Date: ________11 January 2006__________________

Confirmation:

Departmental corporate governance questionnaire 2005 17 of 18

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

Chief Officer: __________________________________________

Date: __________________________________________

Received by Audit Services:

Signature: __________________________________________

Date: __________________________________________

Departmental corporate governance questionnaire 2005 18 of 18