APPENDIX 1

REGISTER OF EXTERNAL AUDITORS REPORTS ( since 2009 ) No. Title of the report Service Field Audit Body Date of the response to Copy of the report Date of Responsibility for Internal steps with raising Nature of contact with members (copy only, submit to Implementing Monitoring progress Annual (A) draft accepting the Action/contact awareness (management a scrutiny committee [&date], Board [&date] recommendations final report and person in the Council group, Leadership group) included in the National (N) contact audit business plan. individual person Others (O)

1 Council Annual 3 Year Plan / the Council's Audit Office Meetings and phone http://www.wao.gov.uk/assets/englishdoc 17/01/2011 Huw Vera Jones Leadership Group 19/01/2011 A letter inviting all members to a presentation - Transformation Three Year Plan Improvement Report 2009/10 Self assessment discussions, final uments/GwyneddCC_AIR_English.pdf Lloyd Jones Publish on the website - 08/02/2011 Programme Board. published on 27/01/2011 27/01/2011 Hard copies for all members - 23/03/11 Strategic and A Presentation for Board Members, The Audit Committee, Improvement Business A Chairs and Vice-chairs of the Scrutiny Committees, Plan. Chairman and Vice-chairman of the Council, Heads of Service and Corporate Directors - 05/04/2011 2 Gwynedd Council Annual 3 Year Plan / the Council's Wales Audit Office January 2012 Draft http://www.wao.gov.uk/assets/englishdoc February 2012 Vera Jones 15/2/2012 Leadership Group All Council members - meet at the time of the Board Improvement Report 2010/11 Self assessment uments/Gwynedd_AIR_English_2012.pdf Huw Lloyd Jones 6/3/12 A and John Roberts 3 Inspection, Evaluation and Social Services Care and Social Services http://wales.gov.uk/cssiwsubsite/newcssi 22/12/2010 Gwen Carrington Care Scrutiny Committee 07/04/11; Children and Young Housing and Social Housing and Social Services Review of Local Authorities' Inspectorate Wales w/publications/lareviews/0910/gwynedd/? People Scrutiny Committee 12/04/11. Services Business Business Plan Social Services 2009-10. skip=1&lang=cy Plan A

4 Inspection and Evaluation of Social Services Care and Social Services http://wales.gov.uk/cssiwsubsite/newcssi Imelda Gwen Carrington Care Programme Board Care Scrutiny Committee 29/11/11 Action Plan. Meeting with the Annual Performance InspectorateWales w/publications/lareviews/2011/5530270/?l Richardson 8/11/11 Care Working Group Minister 13/3/12 2010/2011 ang=en 31/10/2011 25/11/11 A

5 Inspection and Evaluation of Social Services Care and Social Services http://wales.gov.uk/cssiwsubsite/newcssi Imelda Morwena Edwards Housing and Social Services Annual Performance InspectorateWales w/publications/lareviews/20112/gwynedd/ Richardson Business Plan 2011/2012 ;jsessionid=EC229EDBDB0E1C738EBEA 31/10/2012 F74E5C03AF2;jsessionid=36029154CA0 A DF52AAEE55A361F7562E2?skip=1&lang =en

6 Gwynedd Council Preliminary The Council Wales Audit Office 13/08/2010 2010-09-30 | 2010-09-30 | Cyngor 02/09/2010 Huw Geraint George Leadership Group 24/9/2010 Principal Scrutiny Committee 30/9/2010 Corporate Assessment Gwynedd Lloyd Jones and A Alan Morris 7 Gwynedd Council Preliminary The Council Wales Audit Office Asesiad Corfforaethol Swyddfa Archwilio 06/10/2011 Huw Geraint George Leadership Group 07/09/2011 Principal Scrutiny Committee 6/10/11 Corporate Assessment Lloyd Jones A 8 Welsh Public Libraries Libraries and Information CyMAL http://wales.gov.uk/docs/drah/publications 21/01/2012 Hywel James Portfolio Leader and Head of Preparatory Meeting for the Scrutiny Committee on Library and Information Library and Information Service Standards Framework /110223wpls2101112en.pdf Department 1/9/2011 for performance matters (conditional on the Service Business Plan Business Plan Scrutiny Manager and the Scrutiny Working Group), A Council Board for financial matters. The Preparatory Meeting decided that there was no need to submit it to the Scrutiny Committee. 10 An Assessment of Internal Internal Audit Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor 22/6/2009, Dewi Morgan Cascade within Internal Audit Audit Committee 29/6/2009 Annual Report of the Head of Audit 2008/2009 au/2009/Pwyllgor%20Archwilio/2009-06- Amanda Hughes Internal Audit 2009/10, Audit 29/english/13_01_Wales%20Audit%20Off Committee 8/7/2010 ice%20Review%20of%20Gwynedd%20C ouncil%20Internal%20Audit%20Service.p A df

11 An Assessment of Internal Internal Audit Wales Audit Office 25/06/2010 http://www.gwynedd.gov.uk/ADNPwyllgor 25/6/2010, Dewi Morgan Cascade within Internal Audit Audit Committee 8/7/2010 Annual Report of the Head of Audit 2009/2010 au/2010/Pwyllgor%20Archwilio/2010-07- Amanda Hughes Internal Audit 2010/11, Audit 08/english/11_01_Wales%20Audit%20Off Committee 12/7/2011 ice%20Review%20of%20Gwynedd%20C A ouncil%20- %20Internal%20Audit%20Service.pdf 12 An Assessment of Internal Internal Audit Wales Audit Office 02/06/2011 http://www.gwynedd.gov.uk/ADNPwyllgor 6/6/2011, Amanda Dewi Morgan Cascade within Internal Audit Audit Committee 12/7/2011 Annual Report of the Head of Audit 2010/2011 au/2011/Pwyllgor%20Archwilio/2011-07- Hughes Internal Audit 2011/12, Audit 12/english/11_01_Assessment%20of%20 Committee 12/7/2012 Internal%20Audit%202010-11.pdf A

13 An Assessment of Internal Internal Audit Wales Audit Office 12/06/2012 http://www.gwynedd.gov.uk/ADNPwyllgor 6/6/2012, Amanda Dewi Morgan Cascade within Internal Audit Audit Committee 12/7/2012 No recommendations Audit 2011/2012 au/2012-13/Pwyllgor%20Archwilio/2012- Hughes 07- 12/english/15_01_Wales%20Audit%20Off A ice%20Review%20of%20Gwynedd%20C ouncil%20Internal%20Audit%20Service.p df 14 Audit of Financial Statements Finance Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor September 2011, Dafydd L Edwards Audit Committee Report - Gwynedd Council au/2011/Pwyllgor%20Archwilio/2011-09- Anthony Barrett 29 September 2011 2010-11 29/english/05_04_(b)(i)%20Gwynedd%20 Council%20Financial%20Statements.pdf A

15 Audit of the Financial Finance Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor September 2011, Dafydd L Edwards Audit Committee Statements Report - Gwynedd au/2011/Pwyllgor%20Archwilio/2011-09- Anthony Barrett 29 September 2011 Pension Fund 29/english/05_05_(c)(i)%20Statement%2 2010-11 0of%20Accounts%20for%20the%20Pensi A on%20Fund.pdf

16 Financial Audit Outline - Finance Wales Audit Office May 2011, Dafydd L Edwards Officer attention within the Gwynedd Council Anthony Barrett Finance Department A 17 Financial Audit Outline - Finance Wales Audit Office May 2011, Dafydd L Edwards Officer attention within the Gwynedd Pension Fund Anthony Barrett Finance Department A 18 Audit of the Accounting Finance Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor September 2010, Dafydd L Edwards Audit Committee Statements -Gwynedd Council au/2010/Pwyllgor%20Archwilio/2010-09- Ceri Stradling 27 September 2010 2009-10 27/english/07_03_(b)%20Audit%20of%20 the%20Accounting%20Statements.pdf A

1 Adroddiadau archwiliwyr allanol f 3 Saesneg Audit of Pension Fund Finance Wales Audit Office 2010-09-27 | 2010-09-27 | Gwynedd September 2010, Dafydd L Edwards Audit Committee 19 APPENDIX 1 Accounts Council Ceri Stradling 27 September 2010 2009-10 A

20 Annual Letter for 2008-09 Finance Wales Audit Office http://www.wao.gov.uk/assets/Local_Rep December 2009, Arwel Ellis Jones orts/Gwynedd_Council_Annual_Letter_for Kevin Thomas & A _2008-09.pdf Huw Lloyd Jones 21 Annual Audit Letter for Finance Wales Audit Office November 2009, Dafydd L Edwards Officer attention within the members of Gwynedd Pension Kevin Thomas & Finance Department A Fund Amanda Hughes 22 Audit of Accounting Statements Finance Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor September 2009, Dafydd L Edwards Audit Committee - Report to those charged with au/2009/Pwyllgor%20Archwilio/2009-09- Kevin Thomas & 28 Setpember 2009 Governance - Gwynedd 28/english/05_03_(ii)%20Audit%20of%20 Amanda Hughes Council Accounting%20Statements%20- A 2008-09 %20Report%20to%20those%20charged %20with%20governance%20- %20Gwynedd%20Council.pdf 23 Audit of Pension Fund Finance Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor September 2009, Dafydd L Edwards Audit Committee accounts - Report to those au/2009/Pwyllgor%20Archwilio/2009-09- Kevin Thomas & 28 Setpember 2009 charged with Governance 28/english/05_04_(iii)%20Audit%20of%20 Amanda Hughes 2008-09 pension%20fund%20accounts%20- A %20report%20to%20those%20charged% 20with%20governance%20- %20Gwynedd%20Pension%20Fund.pdf 24 Pension Fund Audit Strategy Finance Wales Audit Office March 2009, Kevin Dafydd L Edwards Officer attention within the 2008-09 Thomas & Finance Department A Amanda Hughes 27 Improvement Assessment by The Council Wales Audit Office First Letter received. To come - 2nd September 2012, Harry Thomas Officer attention within the Wales Audit Office letter and final report. The final report will Huw V thomas, Performance Improvement be presented to the Audit Committee. Huw Lloyd Jones Unit on 19/9/12. A & Nigel Griffiths 28 Annual Financial Audit Outline Finance Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor 01/06/2012, Dafydd L Edwards Audit Committee 12 July 2012 2011/12 of Gwynedd Council au/2012-13/Pwyllgor%20Archwilio/2012- Amanda Hughes, 07- Derwyn Owen and A 12/english/10_01_Annual%20Financial% Alan Hughes 20Audit%20Outline%202011- 12%20of%20Gwynedd%20Council.pdf 29 Annual Financial Audit Outline Finance Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor June 2012, Dafydd L Edwards Audit Committee 12 July 2012 2011/12 of the Gwynedd au/2012-13/Pwyllgor%20Archwilio/2012- Derwyn Owen, Pension Fund 07- Amanda Hughes A 12/english/11_01_Annual%20Financial% and Simon 20Audit%20Outline%202011- Monkhouse 12%20of%20the%20Gwynedd%20Pensio 30 An Assessment of Internal Finance Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor Dafydd L Edwards Audit Committee 12 July 2012 Audit 2011/12 au/2012-13/Pwyllgor%20Archwilio/2012- 07- A 12/english/15_01_Wales%20Audit%20Off ice%20Review%20of%20Gwynedd%20C ouncil%20Internal%20Audit%20Service.p 31 Audit of Financial Statements Finance Wales Audit Office 2012-09-27 | 2012-09-27 | Gwynedd September 2012, Dafydd L Edwards Audit Committee 27 September 2012 Report - Gwynedd Council Council Anthony Barret A 2011-12 33 Quality and standards in Education Estyn http://www.gwynedd.gov.uk/ADNPwyllgor Nov-09 Dewi R Jones Portfolio Leader Children and Young People Scrutiny Committee, 24 May Action Plan, 24 May Departmental Business Plan education and training in au/2010/Pwyllgorau%20Craffu/Plant%20a 2010 2010 Wales: A report on quality - %20Phobl%20Ifanc/2010-05- O Gwynedd Local Authority in 24/english/08_02_Appendix%201%20- 2008 and 2009 report including %20Report%20by%20ESTYN.pdf Youth Services 34 Inspection of the Protection of Social Services Care and Social Services Dec-09 http://wales.gov.uk/docs/cssiw/report/100 Huw Lloyd Jones Nerys Evans Portfolio Leader. Care Scrutiny Committee 28/6/11: part of Adults in Gwynedd Council Inspectorate Wales 118gwynedden.pdf from the Wales January 2010 the Protection Of Vulnerable Adults Annual Report O Audit Office 35 Inspection of the arrangements Social Services Care and Social Services Apr-09 http://wales.gov.uk/docs/cssiw/report/110 Mark Roberts Sharron Carter May-11 Marian Parry Hughes Gwynedd and Anglesey for assessing and managing Inspectorate Wales 607gwynedden.pdf Williams Safeguarding Children Board 21 the care of children in need in October 2011 O Gwynedd. It was inspected again in March 2011. 37 Review Gwynedd Council's Social Services Care and Social Services http://wales.gov.uk/docs/cssiw/publication Oct-09 Ian Vaughan Roberts The report and its contents has 2009-2010 Annual Report of the Gwynedd and Anglesey Gwynedd and Gwynedd and Anglesey Local Safeguarding Children Inspectorate Wales s/gwyneddsr/090925gwyneddsren.pdf been shared with each Local Safeguarding Children Board and the members of Anglesey Local Safeguarding Children Board's Arrangements member of staff within the this Board are also members of the Children and Young Safeguarding Children Business Plans. Children and Families People Framework Partnership, Community Safety Board's Business The Social Service Business Plan. O Services through a series of Partnership and the Health, Care and Welfare Plans. meetings between the teams Partnership. Gwynedd and Anglesey Local Safeguarding The Social Service and the Senior Manager. Children Board's Website. Business Plan. Children and Young People Scrutiny Committee 38 Review Gwynedd Local Social Services Care and Social Services http://wales.gov.uk/docs/cssiw/publication Oct-09 Ian Vaughan Roberts The report and its contents has 2009-2010 Annual Report of the Gwynedd and Anglesey Gwynedd and Gwynedd and Anglesey Local Safeguarding Children Board Inspectorate Wales s/gwyneddlscb/091006gwyneddlscben.pd been shared with each Local Safeguarding Children Board and the members of Anglesey Local Safeguarding Children Board's f member of staff within the this Board are also members of the Children and Young Safeguarding Children Business Plans. Children and Families People Framework Partnership, Community Safety Board's Business The Social Service Business Plan. O Services through a series of Partnership and the Health, Care and Welfare Plans. meetings between the teams Partnership. Gwynedd and Anglesey Local Safeguarding The Social Service and the Senior Manager. Children Board's Website. Business Plan. Children and Young People Scrutiny Committee 40 Gwynedd Fostering Service Social Services Care and Social Services Shirley Harkins Mari Thomas Social Services Children and Young People Inspectorate Wales January 2010 Business Plan 2010/11 Scrutiny Committee - progress L:\Gwasanaeth O Busnes\Uned Perfformiad a Data\Archwiliadau Allanol \Maethu\10594_e.pdf report against recommendations presented on 30/11/2010. 41 Inspection of Gwynedd Social Services Care and Social Services Denise Stickels, Mari Thomas Councty Council Adoption Inspectorate Wales Shirley Harkins, L:\Gwasanaeth O Services within the wider Busnes\Uned Perfformiad a Data\Archwiliadau Allanol\Mabwysiadu\12032_e.pdfShirley Cox framework of planning for November 2010 permanence 42 Follow up review of Social Services Wales Audit Office Nigel Griffiths Gwen Carrington Performance Management March 2010 Arrangements in Social L:\Gwasanaeth O Busnes\Uned Perfformiad a Data\Archwiliadau Allanol \Adroddiad SAC.pdf Services - Gwynedd Council

2 Adroddiadau archwiliwyr allanol f 3 Saesneg Inspection Report on Gwynedd Social Services Care and Social Services Linda Owen, Iona Griffith 43 APPENDIX 1 Specialist Children's Services Inspectorate Wales Shirley Harkins O Domicilary Care Agency L:\Gwasanaeth February 2010 Busnes\Uned Perfformiad a Data\Archwiliadau Allanol \Gwynedd Children's Specialist Services - Inspectio n Report\12077_e.pdf 44 Inspection Report on Gwynedd Social Services Care and Social Services Linda Owen Iona Griffith Specialist Children's Services Inspectorate Wales March 2011 Domiciliary Care Agency L:\Gwasanaeth O Busnes\Uned Perfformiad a Data\Archwiliadau Allanol \GAP Adroddiad arolygu Asiantaethau Gofal Cartref m awrth 2011\12077_e.pdf

45 Inspection Report on Elderly Social Services Care and Social Services Linda Owen and Ann Lloyd Jones Placement Plans - Gwynedd Inspectorate Wales Rhiannon Fear O elderly placement plans - L:\Gwasanaeth March 2010 Busnes\Uned Perfformiad a Data\Archwiliadau Allanol \Cynllun Lleoli Oedolion Gwynedd (12461) Inspection Report 2010\12461_e.pdf 46 Domiciliary Care Agency Social Services Care and Social Services Mar-12 Iona Griffith Gwynedd Specialist Childrens' Inspectorate Wales O Service L:\Gwasanaeth Busnes\Uned Perfformiad a Data\Archwiliadau Allanol \GAP 2012\GAP 2012_e.pdf 48 Follow up review of Coastal Consultancy Wales Audit Office A copy of the report is available by Oct-09 Huw Williams Environment Scrutiny Committee 2011 Environment Business Protection Gwynedd Council contacting the contact person Plan O 49 Review of the Civil Customer Care Wales Audit Office http://www.gwynedd.gov.uk/ADNPwyllgor 01/08/2009 Gwenan Parry Emergencies Arrangements au/2009/Pwyllgorau%20Craffu/Adnoddau John Weston %20a%20Chorfforaethol%20- O %20Prif%20Bwyllgor%20Craffu/2009-09- 10/english/08_02_Appendix%201.pdf 50 A Review of the Major Customer Care Wales Audit Officer 2009 http://www.gwynedd.gov. http://www.gwynedd.gov.uk/ADNPwyllgor 2009 and Gwenan Parry Management team 19/4/2010 Principal Scrutiny Committee 17 February 2011 Business Plan 2009/10 Business Plan 2009/10 Emergency Plan Spencer Webster 2010 uk/ADNPwyllgorau/2009/ au/2011/Pwyllgorau%20Craffu/Prif%20B and 29/11/2010 and the North O Pwyllgorau%20Craffu/Ad wyllgor%20Craffu/2011-02- 01/05/2010 Wales Resilience Forum 53 Inspection of School Education Estyn noddau%20a%20Chorffo http://www.estyn.gov.uk/download/public17/english/14_01_Emergency%20Plannin Oct-09 Dewi Jones Improvement, Additional ation/169669.5/a-report-on-the-quality-of- Learning Needs and Support initial-teacher-training-in-additional- O Services learning-needs-and-working-with-others- november-2009 54 Tackling Child Poverty and Education Estyn Jan-10 Dewi Jones disadvantages in Schools O

55 Tackling Child Poverty and Education Estyn Jul-11 Dewi Jones Disadvantages in Schools: collaborating with the O community and other services 56 The Role of Scrutiny in the Strategic and Improvement Wales Audit Office 15/07/2009 A copy of the report is available by Huw Lloyd Jones Geraint George 15/7/2009 Forum of Scrutiny Chairs and Vice Chairs Work of Performance contacting the contact person and Nigel Griffiths O Monitoring July 2009 57 Interim Perceptions and Finance Wales Audit Office September 2009, Dafydd L Edwards Officer attention within the Opinions: Objection made by Anthony Barrett Finance Department Mr P Rickard (Accounts 2006- O 07) 58 Housing and Council Tax Finance Wales Audit Office 2012-09-27 | 2012-09-27 | Gwynedd Sept 2012, Lisa Dafydd L Edwards Audit Committee 27 September 2012 Benefit Service Review Council Williams O

59 Major Travel Projects On both schemes Gwynedd Wales Audit Office 30/9/2010 http://www.wao.gov.uk/assets/englishdoc 20/9/2010 Huw Dave Meller Head of Consultancy (reported on the same matters to the Consultancy acted for what uments/Transport_English.pdf Lloyd Jones Environment Scrutiny Committee before the publication of (The two schemes for which was then the Planning and the report] Gwynedd Council received Transportation Service, now Transport Grant funding were Transport and Street Care. the A497 – Other council departments and A499 were obviously involved in Aberdesach – ). land acquisition, legal matters etc, but the department that liaised with N Welsh Government regarding funding was Transport and Street Care, while Consultancy carried out design and construction supervision, including administration of the main works contracts. 60 Housing Services for adults Housing and Social Services Wales Audit Office Draft 10/08/10 http://www.wao.gov.uk/assets/englishdoc Nick Selwyn Alys Jones & Arwel Head of Department only An action plan being Has not been decided. with mental health needs uments/Housing_Mental_Health_eng_we 13/8/2010 Owen prepared at the b.pdf moment between the 6 N Councils and Health Board 61 National study on Education Estyn and Wales Audit Office Nigel Griffiths/ Hefin Owen arrangements for covering Steve Martin, teacher absence in 2012 Manager - N National Studies 62 Scrutiny Improvement Study Strategic and Improvement Wales Audit Office A report is expected in Ena Lloyd, Gareth James during 2012/13 March / April 2013 Regional Co- ordinator and Huw This work is developmental Lloyd Jones, N and will contribute towards Wales Audit Office developing self-assessment skills as well as scrutiny work. 63 From Vision to Action - Report Social Services Independent Commission on Nov-10 of the Independent Social Services in Wales L:\Gwasanaeth N Commission on Social Busnes\Uned Perfformiad a Data\Archwiliadau Allanol \Vision to Action\From Vision to Action.pdf Services in Wales 64 Local Authority Reserves and Finance Wales Audit Office http://www.wao.gov.uk/assets/Wales_Au June 2012, John Dafydd L Edwards Officer attention within the Unsupported Borrowing - dit_Office__Report_Local_Authority_Res Herniman & Department N Research paper for Welsh erves_and_Unsupported_Borrowing_July Anthony Veale. Government _2012_-_Final.pdf 65 Local Authority Accounts Finance Wales Audit Office http://www.wao.gov.uk/assets/englishdoc Chwefror 2012, Dafydd L Edwards Officer attention within the 2010-11 uments/Local_Authority_Accounts_2012_ Huw Vaughan Department N Eng.pdf Thomas 66 Consultation on the Wales Finance Wales Audit Office http://www.wao.gov.uk/assets/englishdoc February 2011, Dafydd L Edwards Officer attention within the Audit Office Grants Strategy uments/Grants_consultation_English.pdf Huw Vaughan Department N Thomas 67 Sustained Impact in a Time of Finance Wales Audit Office http://www.wao.gov.uk/assets/englishdoc March 2009, Vera Jones Change - WAO Strategy uments/WAO_strategy_eng.pdf Jeremy Colman N Consultation 2009-2012 68 Statement of the Finance Wales Audit Office February 2009, Harry Thomas responsibilities of the auditors Kevin Thomas appointed by the Auditor General for Wales and his N inspectors, and of the bodies that they audit and inspect (2008) 69 3Procurement and Management Draft received on N Adroddiadau archwiliwyr allanol f 3 Saesneg of Consultancy Services Strategic and Improvement Wales Audit Office 9/11/2012 Jeremy Morgan Geraint George