Spelthorne Borough Council - Corporate Assurance Register

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Organisational Resilience

 

 

Assurance Area

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Description

 

 

 

 

 

The effective and efficient delivery of Council services and responsibilities relies significantly on our workforce at every level. At all times, but especially in periods of significant pressure and uncertainty, it is critical that we have the appropriate policies, procedures, practices and interventions in place to support our workforce, to maximise its capacity and capability and to maintain high levels of morale and commitment. As well as our duties to deliver critical services, the Council has a duty of care to our workforce. The Council continues to see major problems regarding the retention and recruitment of staff and a rise in wellbeing issues leading to increased absence. Whilst this is a problem that many Councils face, we have a series of significant challenges that requires a supported and resilient workforce.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Assessment

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Maintaining staff resilience, wellbeing and motivation at all levels is critical to support the Council's challenging next few years and transition with LGR and the Improvement and Recovery Plan. With a challenging employment market, ensuring staff retention is key as well as providing a welcoming supportive environment for new employees.  A culture where staff wellbeing is considered important is paramount. Such a culture relies on openness and staff empowerment to ensure matters are raised properly and promptly, and managers and leaders are trained to recognise potential issues and respond appropriately.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Corporate Policy and Resources Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

High/Medium/Low

 

Medium

 

 

 

 

 

 

 

Sandy Muirhead

 

Focus/Issue/Concern

 

Focus                               

 

 

 

 

Assurance Owner

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Actions

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Title

Description

Purpose/Outcome

Action Owner/Job Title

Comp/

Review

Date

R/A/G/B

Status

Corrective Action

Governance Theme

Maximising workforce capacity

Ensure the Council has arrangements in place to continuously consider how we maximise workforce capacity.

Undertaking and maintaining an analysis of vacancies and of agency/interims in Services to identify key gaps and pressures. Agency/interims are managed by service managers, Group Heads and Management Team as budget holders. .

Debbie O'Sullivan-

Human Resources Manager

05/06/2026

Green

Services work with HR to fill vacancies where possible and considerable work has occurred. This is continuing in terms of placing interims in key areas and is kept under constant review.  All vacancies are scrutinised and will be under further scrutiny with LGR and approval to recruit by Management Team/Vacancy Control Panel.

HR involvement in the vacancy control panel is now established and HR will continue to input into staffing issues and approval to recruit reports.

Workforce management / HR

Recruitment and retention

Ensure the Council has effective arrangements in place for the recruitment and retention of staff.

Reviewing the options and processes for how we recruit in key areas and analysing the reasons staff leave the Council.

Debbie O'Sullivan-

Human Resources Manager

06/04/2026

Green

For each post the service and HR look at the best routes to market and undertake exit interviews where staff agree to utilising the information from these to look for any improvements in how we manage staff.  This is a voluntary process and information only collated from those who complete forms / undertake exit interviews.  Staff turnover to be kept under review with LGR and included in KPI's.

N/A

Performance management and data quality

Maximising workforce capability

Ensure the Council has in place the arrangements to maximise workforce capability.

Ensuring there is a consistent approach to 1:1s and Personal Development Reviews to identify training and development opportunities to improve performance.

Debbie O'Sullivan-

Human Resources Manager

30/06/2026

Amber

The Council has a continuous performance management system involving regular 1:1s including quarterly review of targets, performance and personal development needs as part of CPM process. The Council has a wide range of development opportunities available including: access to apprenticeships, Surrey Learn Partnership training programme open to staff, and inhouse training to support skill development in preparedness for LGR.  There is however, some inconsistency on the completion of CPMs with some localised methodologies to meet the staff needs.

Staff are regularly reminded to ensure CPMs and 1:1's are undertaken

Workforce management / HR

Workload management

Ensure the Council has effective arrangements in place to ensure staff workloads are managed appropriately.

Understand workloads in Services to facilitate prioritisation and best use of available staff.  Managers feedback service issues to relevant Group Head / Deputy Chief Executive and staffing issues are considered by Management Team

Debbie O'Sullivan-

Human Resources Manager

06/04/2026

Amber

Each Group Head and manager is aware of service needs and will prioritise as required and bring in interims to fill significant gaps with support from Management Team. This is kept under constant review e.g. for Environmental Health workload capacity is an issue particularly in relation to HMOs and the introduction of the Renter's Rights Bill on 1 May.

All managers to keep Group Heads/Deputy Chief Executive/Corporate Director up to date with any staffing pressures so they can be discussed corporately at Management Team with appropriate support considered.  Will be key during LGR transition period.

Workforce management / HR

Monitoring the morale and wellbeing of staff at all levels

Ensure the Council has effective arrangements in place to monitor the morale and wellbeing of staff at all levels.

Use staff 1:1s, surveys and other policies to identify areas of low morale, exhaustion and stress [this applies across the Council and at all staff levels]

Debbie O'Sullivan-

Human Resources Manager

05/06/2026

Green

Monthly staff 1:1s and manager’s open-door policies or staff comments are used to identify the morale of the organisation and address it appropriately. Regular staff meetings and manager’s briefings are used to help address any morale issues raised.  Staff EAP scheme in place to assist and Occupational Health where appropriate.

Staff surveys (pulse surveys undertaken at regular intervals) in place to gauge morale undertaken on a regular basis.  There are increased staff communications on LGR/IRP.  HR holding drop-in staff sessions at all SBC sites to answer general concerns and queries.

Workforce management / HR

Minimising staff absence

Ensuring the Council's absence management policy and procedures are in place and effective to minimise staff absence.

To ensure our staff wellbeing support  provides early interventions to avoid or minimise staff absence through illness.

Debbie O'Sullivan-

Human Resources Manager

06/04/2026

Green

The Council has an Employee Assistance scheme through Optima Health.  Wellbeing issues are also covered in 1:1s. The Council has a structured management process in place to address staff absences including sickness. Staff sickness is reported quarterly to CPRC via the KPI report (and more detail to MAT monthly).  Occupational Health provision is in place to support staff where appropriate.

N/A

Workforce management / HR

Managing change

Ensure the Council's arrangements for managing change are effective.

Ensuring our managing change approach supports staff.  Training and support in place to support both managers' and staff which will be ongoing as part of LGR.

Debbie O'Sullivan-

Human Resources Manager

30/06/2026

Amber

The Council has already undertaken and encourages staff to attend any change management courses available via Surrey Learn, Surrey CC and internal provision with courses already provided. These will continue to be run until vesting day on 1 April 2027. Uptake of these courses is kept under constant review and future course provision assessed in line with feedback evaluation. Courses concerning change are also being held at Knowle Green.

Further change management/other training to prepare staff for West Surrey transition will be required over the coming months and the requirements will be kept under review

Workforce management / HR

Mental health support

Ensuring the Council's arrangements to provide mental health support are in place and effective.

Provide training and support for staff to ensure there is a greater awareness of mental health and how and where staff can get help and signpost as necessary. 

Debbie O'Sullivan-

Human Resources Manager

03/06/2026

Green

Able Futures provide a counselling service which we ensure staff are aware of. Some staff have been trained as mental first aiders.  Ongoing wellbeing and resilience training will also provide support in this area and Occupational Health intervention where appropriate.

N/A

Workforce management / HR

Monitoring Key Performance Indicators

Ensuring the Council has the appropriate key performance indicators in place to support the necessary interventions and actions.

Review statistics for staff sickness levels, grievances, disciplinaries, harassment & bullying complaints to ensure policies and procedures remain in line with requirements and the appropriate support and interventions are identified.

Debbie O'Sullivan-

Human Resources Manager

30/06/2026

Amber

Staff sickness absence is monitored and reported quarterly to CPRC via the quarterly KPI reports. More detailed reports go monthly to management team from May 2026.  HR record number of grievances/ disciplinaries and address these in line with policies and procedures.  Support and interventions are put in place as required depending on circumstances along with any recommendations.  HR work closely with managers to support the employee internal policies and procedures to manage employee relations from informal to formal stages and appeals.

Staffing KPIs are reported monthly to MAT+. Managers have access via iTrent to manage sickness absences in their service

Workforce management / HR

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Spelthorne Borough Council - Corporate Assurance Register

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Ensure our programme and change management arrangements are effective to support the successful transition to the new unitary council.

 

 

Assurance Area

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Description

 

 

 

 

 

Local government changes in Surrey presents the biggest project the Council has faced. Whilst there are many facets to the transition into the new authority, it is in effect a project and change management programme which will rely on a robust but flexible approach to ensure success. It is therefore critical that the Council has the ability to manage such a major project whilst maintaining essential services and supporting our workforce.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Assessment

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

The projects team are all Prince 2 qualified and able to deliver transformation programmes and provide training and guidance to staff as appropriate. At the start of June to assist with the transition to West Surrey a Head of LGR and Special Project  started work with the Council..

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Corporate Policy and Resources Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

High/Medium/Low

 

Medium

 

 

 

 

 

 

 

Sandy Muirhead

 

Focus/Issue/Concern

 

Focus

 

 

 

 

Assurance Owner

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Actions

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Title

Description

Purpose/Outcome

Action Owner/Job Title

Comp/

Review

Date

R/A/G/B

Status

Corrective Action

Governance Theme

Project and programme management guidance

Ensure that the Council has effective project and programme management guidance in place to support efficient change management.

Ensure the project and programme management guidance is reviewed and reflects the Council’s context and challenges.

Daniel Dredge-

Programme Manager

05/06/2026

Amber

Project Management guidance is available via the Council’s Project Dashboard.  This provides detailed guidance and forms to allow projects to be completed effectively including change requests. There are still some occasions when this is not being used proactively.

N/A

Project and programme management

Change management guidance

Ensure that the Council's project change management guidance is in place and effective.

Ensure the change management guidance is reviewed and reflects the Council’s context and challenges.

Daniel Dredge-

Programme Manager

05/06/2026

Amber

The guidance is reviewed as necessary when issues arise or the context changes but given the challenges required over the next year it is likely to evolve to meet required changes in projects/IRP and to meet LGR timescales.

The guidance is reviewed as necessary when issues arise or the context changes and with further development of the IRP and LGR, it will continue to evolve to meet outcomes required.  The appointment of Head of LGR and Special Projects will assist with ensuring that change is managed as the Council moves to vesting day. 

Project and programme management

Training is provided to relevant officers

Ensure that the training provided to relevant officers is relevant timely and effective.

Ensure that training is delivered to relevant officers responsible for projects, programme or change programmes and that the training reflects good practice and tailored to the needs of the Council.

Daniel Dredge-

Programme Manager

05/06/2026

Amber

The project management team are all Prince 2 trained and able to undertake programme management and change programmes. Training is provided to officers across the organisation by the project management team when required.  Further guidance to be given at managers briefings.

N/A

Project and programme management

HR governance – for wellbeing issues, workload management, supervision, management and leadership.

Ensure that HR governance policies and procedures for wellbeing issues, workload management, supervision, management and leadership consider the potential impact of organisational change.

Ensure that there is provision/linkages in the guidance to the relevant HR polices to ensure a comprehensive framework for managers to follow to support staff and secure the effective management of change.

Debbie O'Sullivan-

Human Resources Manager

31/12/2026

Amber

There is a HR hub which has all the Council’s employment policies as well as guidance on wellbeing and how to undertake continuous performance management to ensure staff are supervised and given the skills they need to undertake their roles. This is an easily accessible SharePoint site. 

Though current policies etc are up to date this action is currently amber as it is likely further changes will be required and policies/procedures updated where appropriate as the Council progresses with LGR.

Workforce management / HR

Communications

Ensure that the arrangements for communication during a period or organisational change are in place and effective.

Ensure the arrangements to communicate the relevant guidance is in place and effective.

Nick Cave-

Head of LGR and Special Projects

05/06/2026

Amber

Updates are given on employment at staff meetings and manager meetings with project management updates provided.  Future Surrey information is available on Spelnet regarding LGR and the new post of Head of LGR and Special Projects will assist further in ensuring the organisation is ready for transition into West Surrey. .

Although staff are informed of help available, uptake is limited so need to undertake further communication pushes and ensure compliance.  This will be ongoing especially with likely reassurance needed around Local Government Reorganisation. This will require liaison between Communications, HR and Management to deliver.  This will be co-ordinated by the Head of LGR and Special Projects

Workforce management / HR

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Spelthorne Borough Council - Corporate Assurance Register

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Meeting our zero carbon targets and wider environmental responsibilities

 

 

Assurance Area

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Description

 

 

 

 

 

Climate change poses a significant risk to society as well as the Council. It is well documented that the likelihood of severe and extreme weather events is increasing. It is therefore the Council’s duty to do what it can to directly and indirectly minimise our environmental impact and ready ourselves in the event of a serious weather event.  Assurances are needed therefore that appropriate strategies and policies are in place and effective, they are understood and complied with, and our emergency resilience and business continuity arrangements are in place and tested.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Assessment

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Honouring our environmental responsibilities is an important Council priority. We therefore need to have in place a framework of policies, procedures, guidance and training that ensures all Council activity considers the environment and that decisions regarding the use of Council resources are made utilising the best available information.
Without strong and effective governance to support our responsibilities threatens meeting our targets for carbon reduction and not making the best decisions for the future.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Environment and Sustainability Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

High/Medium/Low

 

Medium

 

 

 

 

 

 

 

Sandy Muirhead

 

Focus/Issue/Concern

 

Focus

 

 

 

 

Assurance Owner

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Actions

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Title

Description

Purpose/Outcome

Action Owner/Job Title

Comp/

Review

Date

R/A/G/B

Status

Corrective Action

Governance Theme

Climate Change Strategy & Action Plan

Ensure the Council's Climate Change Strategy & Action Plan is in place and regularly reviewed.

Review the Climate Change Strategy and progress of the action plan to ensure it remains appropriate and achievable. Also to provide the appropriate training to staff and members to ensure high levels of awareness to embed the appropriate culture to meet the Council's environmental responsibilities.

Timothy Snook-

Sustainability and Resilience Lead

30/09/2026

Green

Strategy regularly reviewed every 2 years (2024) and action tracker in place. With LGR on horizon we will produce a carbon footprint report annually.

N/A

Decision making

Awareness and training

Ensure the Council has a programme of appropriate awareness and training in place.

Review the arrangements to ensure all staff and members are aware of the Council’s strategy and policies in relation to zero carbon and general environmental awareness.

Timothy Snook-

Sustainability and Resilience Lead

06/03/2026

Green

The Council has achieved the bronze level for carbon literacy training for staff and is close to achieving silver to ensure staff are aware of the Council’s strategy etc. Training has also been undertaken for members but a limited number.  Training of staff continues to try and achieve silver accreditation.

N/A

Workforce management / HR

Oversight by E&S Committee

Ensuring there is regular and effective oversight by the E&S Committee.

Continue to explore ways to meet a carbon neutral target and to promote climate change as an issue that needs to permeate all Council areas.

Arthur Stokhuyzen-

Climate Change Officer

30/06/2026

Green

Bi-Monthly updates to members inline with working group dates.

N/A

Partnerships and collaboration governance

Business and service planning

Ensure that the Council's business and service planning arrangements adequately consider we reduce our carbon emissions and environmental impact generally.

Review the process for business and service plans to ensure they adequately reflect opportunities to reduce our carbon footprint and meet other environmental targets.

Sandy Muirhead-

Group Head Commissioning and Transformation

31/07/2026

Amber

Service plans do have a section for addressing climate change within a services operation but there is scope for services to consider and expand in more detail.

Service plans to encompass opportunities to meet climate change targets

Performance management and data quality

Maximise funding

To explore opportunities to maximise external funding for the Council to support meeting our environmental responsibilities.

Review opportunities to attract external funding to support our carbon neutral target.

Arthur Stokhuyzen-

Climate Change Officer

30/06/2026

Green

Staff attempt to obtain funding wherever possible including in conjunction with SCC and other Boroughs and Districts.
Bi-Monthly basis in line with working group dates.
Will continue so seek funding and opportunities with other West Surrey authorities.

N/A

Financial management

Influence property development

Ensure the Council has the appropriate influence on future property development that aligns with the Climate Change Strategy.

The Local Plan has been approved. The climate change supplementary planning guidance (SPD) to assist in future properties being better adapted to both heat and cold is out for consultation, which closes on 5 June 2026

Jane Robinson-

Local Plans and Infrastructure Manager

04/06/2026

Amber

Sustainability and climate change lead officers to review current planning applications to see if they meet renewable energy requirements but as the Local Plan is now in place and SPD to be adopted (subject to agreement from the consultation process) a more rigorous approach will be taken.

To ensure future planning applications meet SPD requirements

Decision making

Greener Futures Strategy

Ensuring the Council's Greener Futures Strategy is in place, reviewed and therefore appropriate.

To build on Greener Futures climate adaptation strategy and incorporate actions into our climate change strategy.

Timothy Snook-

Sustainability and Resilience Lead

30/09/2026

Green

Adaptation strategy will be submitted to E&S Committee by September 2026.

N/A

Decision making

Wider emergency resilience & business continuity plans

Ensure the Council's emergency resilience & business continuity plans consider the response that would be needed should an adverse weather event arise.

Review the corporate emergency resilience and business continuity polices and plans to ensure they adequately reflect the implications of climate related issues.

Timothy Snook-

Sustainability and Resilience Lead

30/06/2026

Amber

The review of emergency planning and business continuity plans are on a rolling basis and currently up to date with the exception of strategic business continuity which will be completed by 30 June 2026. The emergency plan review has just been completed and is entering the Committee approval process.

Emergency Plan to be approved.

Business continuity and emergency resilience

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Spelthorne Borough Council - Corporate Assurance Register

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Procurement and Contract Management

 

 

Assurance Area

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Description

 

 

 

 

 

The Council procures goods and services and enters into contracts to deliver its services. It is therefore essential that we can demonstrate the achievement of value for money from those purchases and contracts to support our effective use of resources and good financial management and planning.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Assessment

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Having efficient, effective and complied with procedures for procurement and contract management are essential to ensure the Council achieves value for money and maintains appropriate relationships with contractors and suppliers. A breakdown in such arrangements can lead to reputational damage, supply chain problems as well as not making the best use of Council resources.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Corporate Policy and Resources Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

High/Medium/Low

 

Medium

 

 

 

 

 

 

 

Linda Heron

 

Focus/Issue/Concern

 

Focus

 

 

 

 

Assurance Owner

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Actions

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Title

Description

Purpose/Outcome

Action Owner/Job Title

Comp/

Review

Date

R/A/G/B

Status

Corrective Action

Governance Theme

Procurement policy

Ensure the Council's Procurement Policy is in place, reflects good practice and the Council's context.

Keep the procurement policy under review to ensure it remains appropriate and supports the effective and efficient procurement of goods and services.

Amy Gibson-

 

30/09/2026

Green

Procurement policies and procedures were reviewed in August 2025 and approved by Corporate Policy and Resources Committee on 13 October.
Further review is planned in April-May 2026 to align with best practice.

N/A

Procurement and contract management

Training and support

Ensure that there is a programme of training and support for officers to compliance with the policy and supporting procedures.

Review the training, guidance and support provided for Services to ensure compliance with procurement policies and procedures.

Amy Gibson-

 

30/09/2026

Amber

Greater working knowledge of procurement procedures is required across Services.
Initial training delivered in Jan/Feb with further training delivered in March and April 2026.

Schedule review of the effectiveness of training in Q3; keep under review 

Workforce management / HR

Contract Procedure Rules

Ensure the Council's Contract Procedure Rules (CPRs) are in place and complied with.

Review CPRs to ensure they remain appropriate and facilitate the effective and efficient procurement of goods and services.

Amy Gibson-

 

30/09/2026

Green

Revised CSOs were presented to the Standards Committee on 25 February and to the Council for adoption on 26 February; Revised CSOs have been approved by the Council and are operational.

N/A

Procurement and contract management

Waiver and exemption compliance

Ensure that there is compliance with the procedures and rules for waivers and exemptions.

Fortnightly review of requests for waiver and exemptions by the Procurement Board to ensure they are appropriate and authorised, and undertake periodic compliance reviews to maintain high standards of compliance.

Linda Heron-

Legal Services Manager

30/06/2026

Amber

E-form has been created to improve existing process and record keeping and to increase transparency.
E-form is in use, all requests are considered at the Procurement Board.

Continue to bed in the new process and keep under review

Procurement and contract management

Key performance indicators

Ensure there are appropriate key performance indicators (KPIs) in place to monitor and measure the effectiveness of the Council's procurement and contract management arrangements.

Meaningful KPIs ensure that appropriate aspects of procurement and contract management are measured and where necessary prompt corrective action.

Linda Heron-

Legal Services Manager

30/06/2026

Red

A fundamental review has been completed and a new set of KPIs agreed and approved by CPRC.  Monitoring and reporting on these will need to be embedded effectively.

Review the use of KPIs and amend / update as necessary.

Performance management and data quality

Contracts Register

Ensure that the Council's Contracts Register is up to date, accurate and easily accessible.

Review the contracts register to ensure it is up-to-date, complete and accurate to ensure prospective contractors (and other stakeholders) are aware of future contract opportunities.

Amy Gibson-

 

30/06/2026

Amber

Accuracy of information on the contracts register requires improvement. This will be reviewed as part of the work with Runnymede Borough Council; First reiteration of updated contracts register was published in April 2026.

Accelerate information gathering / re-prioritise resources

Procurement and contract management

Contract management

Ensure that the Council's contract management arrangements are in place, complied with and effective.

Review the guidance, training and support for contract managers to ensure we are securing value for money, the right goods and services and avoiding contract extensions.

Amy Gibson-

 

30/06/2026

Amber

Planned from early 2026 onwards, with support from Runnymede Borough Council. Training undertaken Jan - April 2026.

Keep under review and schedule review of effectiveness in Q3.

Procurement and contract management

Procurement Board

Ensure the Council's Procurement Board is effective and operating in line with its terms of reference.

Review the operation of the Procurement Board to ensure its terms of reference are appropriate and that it is delivering its intended outcomes.

Linda Heron-

Legal Services Manager

30/09/2026

Amber

The Board has been in operation since the summer 2025. The Terms of Reference were reviewed in February to ensure they reflect changing practices. The Board meets fortnightly.

Undertake review of effectiveness of the Board in 9 months.

Decision making

Securing Social Value

Ensuring the Council's approach to secure Social Value from it's procurement and contracts is effective.

Review the Council’s arrangements for securing social value from its procurement and contract management arrangements to deliver the intended benefits and outcomes.

Amy Gibson-

 

30/09/2026

Amber

Social value is incorporated in the Procurement policy and will be reviewed as part of the work with Runnymede Borough Council. Review of the policy is planned for April 2026.

Keep under review and assess effectiveness in Q3.

Procurement and contract management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Spelthorne Borough Council - Corporate Assurance Register

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Threat of fraud and assurance that our anti-fraud arrangements are robust and effective

 

 

Assurance Area

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Description

 

 

 

 

 

The Council, and wider public sector, has limited resources and must protect them against loss or misuse through fraud, theft, bribery or corruption. The threats of fraud may come from a cyber-attack, insider fraud, organised crime or opportunism. It is therefore essential that the Council has a robust framework of policies, procedure and practices that minimise the chance of fraud being committed and in fraud incidents we are able to spot them, identify the cause, identify the perpetrators, hold them to account and importantly improve our controls if they are found to have been compromised.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Assessment

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Local authorities and the public sector generally are under a constant and increasing threat from fraud attempts by individuals or organised crime groups, whether that is via a direct cyber-attack or impersonation in some way. We also need to be aware of potential internal fraud (corruption/theft) where the risk of this is perhaps changing as individuals come under personal financial pressure and/or an opportunity is seen because of changes in the control/supervision/management arrangements. It is managements responsibility to ensure they and their staff are aware of fraud risks, to spot a cyber based attack and highlight where any concerns exist either in relation to vulnerabilities or indeed if a fraud is suspected. IT Services will need to provide timely and relevant training and awareness in relation to cyber threats as well as maintaining the necessary technical security measures.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Corporate Policy and Resources Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Committee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

High/Medium/Low

 

Medium

 

 

 

 

 

 

 

Linda Heron

 

Focus/Issue/Concern

 

Focus

 

 

 

 

Assurance Owner

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Assurance Actions

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Title

Description

Purpose/Outcome

Action Owner/Job Title

Comp/

Review

Date

R/A/G/B

Status

Corrective Action

Governance Theme

Anti-fraud strategy

Review the corporate anti-fraud strategy to ensure it remains fit for purpose reflecting the changing profile of fraud and corruption threats and challenges. Also, that the Strategy is considered by the Audit Committee and approved by full Council.

To ensure the corporate anti-fraud strategy remains fit for purpose reflecting the changing profile of fraud and corruption threats and challenges and is considered by the Audit Committee and approved by full Council.

Linda Heron-

Legal Services Manager

28/02/2027

Green

Updated strategy was presented to Audit Committee on 24 February and to full Council on 26 February 2026.

N/A

Decision making

Full suite of anti-fraud policies, procedures and guidance

Review the full suite of anti-fraud policies and procedures to ensure they are fit for purpose and reflect the changing profile of fraud and corruption threats and challenges. Also, that they are considered by the Audit Committee and approved by the relevant Committee or full Council as appropriate.

To ensure the Council's suite of anti-fraud policies and procedures are fit for purpose and kept under continuous review.

Linda Heron-

Legal Services Manager

30/06/2026

Red

At planning stage.

Schedule review of relevant policies and procedures.

Decision making

Regular fraud vulnerability assessments across the Council

Ensure all services undertake a fraud vulnerability assessment annually to promote high levels of fraud risk awareness and effective control arrangements are in place.

To ensure all services are fully aware of their fraud vulnerabilities so that effective action can be taken to address any threats.

Terry Collier-

Interim Chief Executive

30/06/2026

Red

Limited evidence.

Implement regular monitoring and assurance.

Performance management and data quality

Arrangements for confidential reporting (whistleblowing)

Arrangements for confidential reporting are reviewed annually to ensure they meet good practice and there are high levels of awareness and that an annual report is provided to the Audit Committee on the use of the confidential reporting arrangements.

To ensure that the Council's arrangements for confidential reporting are effective to support a culture of high ethical conduct and empowered staff.

Linda Heron-

Legal Services Manager

30/11/2026

Green

Updated Confidential Reporting Code was presented to and approved by the Audit Committee on 27 November 2025.

N/A

Ethical standards and conduct management

General and role specific training and awareness for officers and members

Ensure general mandatory training and role specific training is provided to officers and members and that it is undertaken.

Providing regular training to both officers and members is an important part of maintaining high levels of awareness to be able to identify potential frauds or irregularities.

Lee O'Neil-

Deputy Chief Executive

30/06/2026

Amber

Training is provided, some evidence that training may not have been undertaken by all staff members.

Keep under review.

Workforce management / HR

Participation in national fraud awareness week / other initiatives and events

Ensure arrangements are in place to participate in the national fraud awareness week and other initiatives and events to support high levels of awareness of fraud risk within the Council but also to the public.

Having high levels of awareness among staff and the wider public is important to combat the treat of fraud and discharge the Council's duties to protect its own and others' assets and resources.

Lee O'Neil-

Deputy Chief Executive

30/06/2026

Amber

Limited evidence.

Schedule follow-up internally.

Partnerships and collaboration governance

Communication

Ensure there are effective arrangements in place to communicate fraud related matters to support high levels of awareness and to promote the raising of any concerns.

Having effective arrangements in place to communicate fraud related matters to support high levels of awareness and to promote the raising of any concerns is an important element of embedding an anti-fraud culture and empowered staff.

Jennifer Medcraff-

Head of Communications and Customer Experience

30/06/2026

Green

Where necessary fraud related matters are communicated by Comms team and /or addressed at staff meeting.

N/A

Workforce management / HR

Independent review and oversight of anti-fraud arrangements by the Audit Committee.

Ensure arrangements are in place for the Council’s anti-fraud arrangements to be independently reviewed and reported to the Audit Committee.

It is important that the Council’s anti-fraud arrangements are independently reviewed and reported to the Audit Committee.

Linda Heron-

Legal Services Manager

30/06/2026

Red

Not started.

Schedule update for Audit Committee / update forward plan

Decision making