AGENDA Meeting AuditPanel Date Thursday20March2014 Time 2.00pm Place CommitteeRoom1,CityHall,The Queen'sWalk,London,SE12AA Copiesofthereportsandanyattachmentsmaybefoundat www.london.gov.uk/mayor-assembly/london-assembly/audit-panel MostmeetingsoftheLondonAssemblyanditsCommitteesarewebcastliveat http://www.london.gov.uk/who-runs-london/the-london-assembly/webcasts whereyoucanalso viewpastmeetings. MembersofthePanel JohnBiggsAM(Chairman) RogerEvansAM(DeputyChairman) GarethBaconAM LenDuvallAM AmeetingofthePanelhasbeencalledbytheChairmanoftheCommitteetodealwiththebusiness listedbelow.Thismeetingwillbeopentothepublic.Thereisaccessfordisabledpeople,and inductionloopsareavailable. MarkRoberts,ExecutiveDirectorofSecretariat Wednesday12March2014 FurtherInformation Ifyouhavequestions,wouldlikefurtherinformationaboutthemeetingorrequirespecialfacilities pleasecontact:LauraPelling,CommitteeOfficer;telephone:02079835526; email:[email protected]. FormediaenquiriespleasecontactMarkDemery,HeadofAssemblyExternalRelations,telephone 02079835769andemail:[email protected]. Ifyouhaveanyquestionsaboutindividualreportspleasecontactthereportauthorwhosedetailsare attheendofeachreport. Thereislimitedundergroundparkingfororangeandbluebadgeholders,whichwillbeallocatedona first-comefirst-servedbasis.PleasecontactFacilitiesManagement(02079834750)inadvanceif yourequireaparkingspaceorfurtherinformation. Ifyou,orsomeoneyouknow,needsacopyoftheagenda,minutesorreports inlargeprintorBraille,audio,orinanotherlanguage,thenpleasecalluson 02079834100oremail [email protected] . CertificateNumber:FS80233 Agenda AuditPanel Thursday20March2014 1 ApologiesforAbsenceandChairman'sAnnouncements ToreceiveanyapologiesforabsenceandanyannouncementsfromtheChairman. 2 DeclarationsofInterests (Pages1-4) ThePanelisrecommendedto: (a) ThatthelistofofficesheldbyAssemblyMembers,assetoutinthetableat AgendaItem2,benotedasdisclosablepecuniaryinterests; (b) NotethedeclarationbyanyMember(s)ofanydisclosablepecuniaryinterests inspecificitemslistedontheagendaandthenecessaryactiontakenbythe Member(s)regardingwithdrawalfollowingsuchdeclaration(s);and (c) NotethedeclarationbyanyMember(s)ofanyotherinterestsdeemedtobe relevant(includinganyinterestsarisingfromgiftsandhospitalityreceived whicharenotatthetimeofthemeetingreflectedontheAuthority’sregister ofgiftsandhospitality,andnotingalsotheadvicefromtheGLA’s MonitoringOfficersetoutatAgendaItem2)andanynecessaryactiontaken bytheMember(s)followingsuchdeclaration(s). 3 Minutes (Pages5-12) ThePanelisrecommendedtoconfirmtheminutesofthemeetingoftheAuditPanel heldon17December2013tobesignedbytheChairmanasacorrectrecord. 4 SummaryListofActions (Pages13-16) ReportoftheExecutiveDirectorofSecretariat Contact:LauraPelling, [email protected] ,02079835526 ThePanelisrecommendedtonotethecompletedactionarisingfromtheprevious meetingoftheAuditPanel. 3 5 ExternalAuditReport (Pages17-42) ReportoftheExecutiveDirectorofResources Contact:TomMiddleton; [email protected] ;02079834257 ThePanelisrecommendedtonotethecontentsoftheExternalAuditor’sAuditPlan 2013/14. Appendix1tothereportsetouton19to42isattachedforMembersandofficersonlybutis availablefromthefollowingareaoftheGLA’swebsite: http://www.london.gov.uk/mayor- assembly/london-assembly/audit-panel 6 InternalAuditReports (Pages43-196) ReportoftheExecutiveDirectorofResources Contact:TomMiddleton; [email protected] ;02079834257 ThePanelisrecommendedtonotethecontentsoftheinternalaudit: (a) ReportsatAppendices1ato1g; (b) FollowupreportsatAppendices2ato2e; (c) ProgressreportatAppendix3;and (d) InternalAuditPlan2014/15atAppendix4. Thefollowingappendicesareattachedtothereport. Appendix1a PreceptingControlFramework pages47to57 Appendix1b LondonPlananditsImplementation pages59to71 Appendix1c ICTIncidentandProblemManagement pages73to84 Appendix1d EnergyandEnvironmentStrategy pages85to104 FrameworkandImplementation Appendix1e SicknessMonitoringandControl pages105to 118 Appendix1f FinancialControlFramework pages119to 132 Appendix1g DebtorsControlFramework pages133to 147 4 Appendix2a ExternalGrantFundingFramework– pages149to FollowUp 151 Appendix2b RiskManagement–FollowUp pages153to 158 Appendix2c CreditorsPaymentFramework–Follow pages159to Up 162 Appendix2d PayrollControlFramework–FollowUp pages163to 168 Appendix2e LondonEuropeanProgrammesControl pages169to Framework–FollowUp 173 Appendix3 InternalAuditProgressReport pages175to 187 Appendix4 GLAInternalAuditPlanfor2014-15 pages189to 195 7 RiskManagement (Pages197-224) ReportoftheExecutiveDirectorofResources Contact:TomMiddleton; [email protected] ;02079834257 ThePanelisrecommendedtonotethecurrentcorporateriskregister. Appendix2tothereportsetouton205to224isattachedforMembersandofficersonlybutis availablefromthefollowingareaoftheGLA’swebsite: http://www.london.gov.uk/mayor- assembly/london-assembly/audit-panel 8 MonitoringofExpensesandTaxableBenefits -Mayor,ElectedMembers andSeniorStaff-2013/14(Pages225-240) ReportoftheExecutiveDirectorofResources Contact:DougWilson; [email protected] ;02079834968 ThePanelisrecommendedtonotethetaxablebenefitsandexpensesincurredby theMayor,LondonAssemblyMembersandseniorstafffortheperiod1November 2013to31December2013. 5 9 RegisterofGiftsandHospitality -MayorandAssemblyMembers (Pages 241-256) ReportoftheExecutiveDirectorofSecretariat Contact:EdWilliams; [email protected] ;02079834399 ThePanelisrecommendedtonotethereportandthecontentsofAppendix1,which setsoutgiftsandhospitalitydeclaredbythe MayorandMembersoftheLondon Assemblyintheperiodfrom1September2013(10am)until1February2014 (10am). 10 Re gisterofGiftsandHospitality -SeniorStaff (Pages257-268) ReportoftheExecutiveDirectorofSecretariat Contact:EdWilliams; [email protected] ;02079834399 ThePanelisrecommendedtonotethedeclaredgiftsandhospitalityby(i)staff directlyappointedbytheMayorundersection67(1)oftheGreaterLondon AuthorityAct1999(asamended)and(ii)seniorstaffappointedbytheHeadofPaid Service,namelystaffatHeadofUnitlevelandabove,duringtheperiodfrom1 February2013(10am)to1September2013(10am). 11 AnnualReportoftheMonitoringOfficerRegardingComplaintsabout ElectedMembers(Pages269-274) ReportoftheMonitoringOfficer Contact:EdWilliams, [email protected] ;02079834399 ThePanelisrecommendedtonotethereport. 12 WorkProgrammefortheAuditPanel2014/15 (Pages275-278) ReportoftheExecutiveDirectorofSecretariat Contact:LauraPelling, [email protected] ;02079835526 ThePanelisrecommendedtoapproveitsworkprogrammeforthe2014/15 Assemblyyearandidentifyanyadditionalissuesitwishestoconsideratfuture meetings. 13 DateofNextMeeting ThenextmeetingofthePanel,subjecttoconfirmationbytheLondonAssemblyatitsAnnual MeetinginMay,isscheduledforTuesday15Julyat3.30pminCommitteeRoom5. 6 14 AnyOtherBusinesstheChairmanConsidersUrgent 7 This page is intentionally left blank Agenda Item 2 Subject: DeclarationsofInterests Reportto: AuditPanel Reportof: ExecutiveDirector of Secretariat Date: 20March2014 Thisreportwillbeconsideredinpublic 1. Summary 1.1 ThisreportsetsoutdetailsofofficesheldbyAssemblyMembersfornotingasdisclosablepecuniary interestsandrequiresadditionalrelevantdeclarationsrelatingtodisclosablepecuniaryinterests,and giftsandhospitalitytobemade. 2. Recommendations 2.1 ThatthelistofofficesheldbyAssemblyMembers,assetoutinthetablebelow,benoted asdisclosablepecuniaryinterests 1; 2.2 ThatthedeclarationbyanyMember(s)ofanydisclosablepecuniaryinterestsinspecific itemslistedontheagendaandthenecessaryactiontakenbytheMember(s)regarding withdrawalfollowingsuchdeclaration(s)benoted;and 2.3 ThatthedeclarationbyanyMember(s)ofanyotherinterestsdeemedtoberelevant (includinganyinterestsarisingfromgiftsandhospitalityreceivedwhicharenotatthe timeofthemeetingreflectedontheAuthority’sregisterofgiftsandhospitality,and notingalsotheadvicefromtheGLA’sMonitoringOfficersetoutatbelow)andany necessaryactiontakenbytheMember(s)followingsuchdeclaration(s)benoted. 3. IssuesforConsideration 3.1 RelevantofficesheldbyAssemblyMembersarelistedinthetableoverleaf: 1TheMonitoringOfficeradvisesthat: Paragraph10oftheCodeofConductwillonlyprecludeaMemberfrom participatinginanymattertobeconsideredorbeingconsideredat,forexample,ameetingoftheAssembly, wheretheMemberhasadirectDisclosablePecuniaryInterestinthatparticularmatter.Theeffectofthisis thatthe‘mattertobeconsidered,orbeingconsidered’mustbeabouttheMember’sinterest.So,bywayof example,ifanAssemblyMemberisalsoacouncillorofLondonBoroughX,thatAssemblyMemberwillbe precludedfromparticipatinginanAssemblymeetingwheretheAssemblyistoconsideramatteraboutthe Member’srole/employmentasacouncillorofLondonBoroughX;theMemberwillnotbeprecludedfrom participatinginameetingwheretheAssemblyistoconsideramatteraboutanactivityordecisionofLondon BoroughX . CityHall,TheQueen’sWalk,LondonSE12AA Enquiries:02079834100minicom:02079834458 www.london.gov.uk v11/2013 Page 1 Member Interest TonyArbour AM Member,LFEPA;Member,LBRichmond JennetteArnold OBEAM CommitteeoftheRegions GarethBacon AM Member,LFEPA;Member,LBBexley JohnBiggs AM AndrewBo ff AM CongressofLocalandRegionalAuthorities(Councilof Europe) VictoriaBorwick AM Member,RoyalBoroughof Kensington&Chelsea; DeputyMayor JamesCleverly AM ChairmanofLFEPA;ChairmanoftheLondonLocal ResilienceForum;substitutemember,LocalGovernment AssociationFireServicesManagementCommittee TomCopley AM AndrewDismore AM LenDuvall AM RogerEvans