FOR INFORMATION - Review of Financial Control - Hamworthy and Rossmore Schools Capital
Internal AuditACTION PLANConfid
RECOMMENDATION / RESP OFFICER /RESPONSE
/ TARGET DATE / PROGRESS / Completed(Y/N)
1. CURRENT FINANCIAL SPEND POSITION
R1.1The Head of Property Services ensure for future
projects:
i)robust budget costings (including revenue implications determined by the relevant Service Unit) produced for all capital projects
ii)consideration given to introducing an individual independent technical
review of project costings for all capital
projects exceeding £1m (outcome
reported to Capital Strategy Group). / Head of Property Services / Procedures for project costings will be reviewed as part of the HofPS’s review of the delivery of capital projects / Prior to next project by (April 2005) / Independent Gateway Review carried out of Waterfront Museum Project and outcome reported to Management Team.
Property Services have commissioned a review of the delivery of Capital Projects by an external consultant. This work is currently underway and is programmed for 13 weeks duration commencing 14 May 2005. / N
2. ROLES & RESPONSIBILITIES
R2.1 Internal Audit endorse the implementation of the recommendations in the HoFS ‘Changes to Capital Programme Controls’ report relating to responsibilities/ accountabilities/control and suggest that Management Team approve a method of implementing the recommendations. / Management Team / Management Team approved Head of Financial Services’ (HoFS) Capital Strategy – forwarded to Cabinet who approved on 1.3.2005.
R2.2The Heads of Property Services and SASS jointly produce a document which identifies roles of both Property Services/SASS (and individual officers) for school capital projects. / Heads of Property Services & SASS / For any future capital projects, a document identifying roles will be produced. HofPS to include as part of capital projects review / As required. Prior to next project (by April 2005) / Review of delivery of Capital Projects underway. See R1.1 above.
Building on the Capital Strategy approved by Cabinet in March 2005, discussions are currently taking place between SASS and Property Services to further clarify and define roles and responsibilities for the management of capital projects. / N
R2.3The Head of SASS agrees with Management Team role of SASS/Head of SASS in school capital projects. / Head of SASS / For any future capital projects, the role of SASS / Head of SASS will be agreed with Management Team / As required / The Head of SASS is the Project Responsible Officer for all capital projects funded from Education capital funding. / Y
R2.4The Head of SASS produces guidance for
Governors (agreed with Property Services) on
their roles/responsibilities during a school capital
project managed by SASS/Property Services. / Head of SASS / For any future capital projects, SASS will produce guidance for Governors / As required / Training has been given to Governors and this will be followed up with appropriate guidance once the detailed work on defining roles and responsibilities has been completed. / N
3. PROJECT MANAGEMENT
R3.1 The Head of Property Services ensures that for future capital projects a formal project methodology is introduced. / Head of Property Services / Methodology will be produced as part of HofPS’s review of the delivery of capital projects / Prior to next project (by April 2005) / Review of delivery of Capital Projects underway. See R1.1 above. / N
R3.2The Head of Property Services ensures that for future capital projects a Project Brief is drawn up and signed off by the client at the commencement of the process. / Head of Property Services / Accept project will not be commenced by Property Services without project brief / Prior to next project (by April 2005) / This is dependent on R2.2 and clarity of service responsibilities. Currently, PS draws up the brief following SASS instructions. Once the project brief has been agreed, SASS then has final sign-off of the project brief before proceeding further.
Further work and cooperation is required on the procedural basis. / N
R3.3The Head of Property Services ensures that for future capital projects the project manager always advises the client(s) of the impact of requesting additional works on the project budget. / Head of Property Services / Covered under the Review of Capital Projects. / Prior to next project (by April 2005) / This is a training and discipline issue. Once the detailed plans and costings have been signed off by SASS, no further changes should be allowed, except by formal agreement with all parties.
This is being implemented by training the client, end user and contractor(s) in the correct procedures for design changes. This then needs to be enforced by the appointed project manager.
Further work and cooperation is required in rolling this message out consistently to all parties. / N
4. BUDGET MONITORING
R4.1 The Head of Property Services ensures for future capital projects using the partnering method, cost estimate reporting system improved through -
i)Project Manager reporting unaltered jointly agreed figures from the two quantity surveyors (as suggested by Head of Property Services).
ii)Project Manager fully justifying to the ‘Responsible Client’ any
variations (if necessary) from the quantity surveyors estimate of costs / Head of Property Services / Procedures to be improved as part of HofPS’s review of the delivery of capital projects. / Prior to next project (by April 2005) / No more partnering projects entered into.
Review of delivery of Capital Projects underway. See R1.1 above.
R4.2 Internal Audit endorse the implementation of the recommendation in the HoFS ‘Changes to Capital Programme Controls’ report relating to monitoring reports and suggest that Management Team approve a method of implementing the recommendation. / Management Team / Management Team approved Head of Financial Services’ (HoFS) Capital Strategy – forwarded to Cabinet who approved on 1.3.2005.
5. PARTNERING PROCESS
R5.1Internal Audit endorse Head of Property’s
proposal to review the Partnering practices
operated in the Rossmore Pyramid project
partnering scheme. / Head of Property Services / Acknowledged / Prior to next project (by April 2005) / This refers to thoughts at the time to join an external review of partnering projects. Transpired that review meant producing a case study for public review. Felt not to be appropriate in the circumstances. Instead a Challenge Day on the Rossmore Project is to be run by the Improvement and Policy Section with the external project consultants and schools etc as part of the review of Capital Project Delivery
RECOMMENDATION / RESP OFFICER /
RESPONSE
/ TARGET DATE / PROGRESS / Completed (Y/N?)1. CURRENT FINANCIAL SPEND POSITION
R1.1 The Heads of SASS & Property Services
should ensure that committee approval
is sought for the overspend and any other
additional project costs. / Heads of SASS & Property Services / Accepted for this current project and future projects / As required / Approved at Cabinet 7/12/04 / Y
2. CLARITY OF ROLES &
RESPONSIBILITIES
R2.2Head of SASS ensures adequate supervision of officers in relation to the management of schools capital projects. / Head of SASS / Senior Education Officer (Planning and Development) is supervised weekly / Actioned / Actioned / Y
R2.3Head of SASS produces guidance for
Headteachers on their roles/responsibilities
during a capital project managed by
SASS/Property Services. / Head of SASS / Guidance is being produced / Actioned / Although officers work closely with Headteachers on current projects, written guidance has yet to be produced and will be once the detailed work on defining roles and responsibilities has been completed. / N
3. POLICIES & PROCEDURES
R3.1 Head of SASS ensures that the relevant officers are fully aware of the need to comply with Standing Orders – Contracts & Tenders & their capital project monitoring role. / Head of SASS / Both are aware of need to comply with standing orders and role in capital project monitoring / Actioned / Actioned / Y
R3.2 Head of Property Services remind all relevant Property Services Officers of the requirement for BoP officers to retain overall responsibility for the services they may procure through consultants. / Head of Property Services / This was discussed at a Unit Meeting on August 4th and confirmed in an email to all relevant Officers on the 13th August. / Actioned / Actioned / Y
R3.3Head of SASS ensures that where several
Service Units are involved in Capital
Projects, a single point of contact for the
Authority is clearly defined and advised to
Headteachers. / Head of SASS / A single point of contact has been agreed. / As required / The SASS officer taking the role of project manager is the single point of contact for each project. / Y
4. BUDGET MONITORING
R4.1 Head of SASS ensures that the relevant officer fully monitors financial statements produced by the Quantity Surveyor for future projects. / Head of SASS / Senior Education Officer (Planning and Development) monitors QS financial statements / Actioned / Actioned / Y
R4.2Head of Property Services ensures that the client is informed of all cost implications resulting from additional works for future capital projects. / Head of Property Services / This was discussed at a Unit Meeting on August 4th and confirmed in an email to all relevant Officers on the 13th August. / Actioned / Actioned / Y
5. PROJECT REPORTING
R5.1Head of SASS ensures that committee reports
relating to capital projects are fully detailed. / Head of SASS / Aware of this requirement – full report of current capital projects submitted to LOG on 13/07/04 / As required / Actioned – Hamworthy Schools report to Cabinet 7/12/04 / Y
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