Action Plan to address Non-compliances/Issues from R&R and W&S Mgt. Audit of 11/22/02

Introduction: 
This Action Plan was developed in conjunction with the Management Audit of 11/22/01.  During the Audit, the Audit Team (Jim Chisholm & B.J. Buhrman) and the Manager (Kent Christen) agreed on a plan and timetable to address any Non-compliances that had not been effectively resolved from the previous audit.  Please refer to the Audit Report for the 11/22/02 Audit, which was written and submitted on 12/8/02 for the numbering of Non-Compliances & Recommendations.  Audit Trails that developed during this audit are also listed.  Each trail must be followed up with the R&R Board as soon as possible.

Action for Open Non-compliances (NC’s):
1.  The Master List
of all key Association Documents, Policies, Procedures and Forms must be fully completed and operational by 3/31/03.  It must serve as the primary source to determine the correct version of the key Association Documents.  It must always be updated to reflect the latest changes.  It must have the appropriate dates entered in the list, e.g. date written, date of last update, date approved, as well as the document location, electronic file path and whether it has been installed on the GV Web.  It is strongly recommended that a single list be used for R&R, W&S and Joint to avoid confusion that would occur with multiple lists.  It is easy to differentiate any document by using a single code (R, W, or J).  The manager and all staff must be trained to refer to the Master List when important documents are requested by members, auditors, real estate agents, attorneys, etc.  Other related action to be completed ASAP (no later than 3/31/03)
a.)  Add all missing documents, approval dates, etc.
b.)  Always control and date the Master List (assign ownership for its control and maintenance).

c.)  Change the name of the “R&R(or W&S) Master List File Directory” to avoid the use of Master List, since it has been shown to cause considerable confusion with the real “Master List”
d.)  Obtain a stamp to clearly identify any obsolete documents, procedures, etc. that are kept in the files for historical purposed.  Similarly identify or segregate any obsolete computer files.

Audit Trails to Board:

  1. Status of key Documents that have not been approved by the Board.
  2. Proper use of the procedure for Job Descriptions & employee evaluations.
  3. Job Description for Manager.  Current version has no evidence of approval.  Has not been used or referred to in recent evaluations.  No clear trail to show how the Board has delegated certain of its duties and responsibilities to the Manager.

 

2.  Committees: NC has been closed
Audit Trails to Board:
1.  Review Recreation Committee relative to Policy for Committees, e.g. general vision of committee, duties & responsibilities, scope of activity, funding and it role in “social” and fund-raising activities.

  1. No evidence of current approved charter, rules and regulations, operating guidelines to differentiate Board vs ARC responsibilities as required by the By-laws, Article 10.1.F.
  2. Review Charter of Rules and Regulation Committee to eliminate ambiguities related to Rules Committee Charter and Bylaw requirements.






3.  Key Processes:
a.)  Kent will add record-keeping requirements to procedures to show that operators are really doing the safety inspections and taking action when there are serious issues discovered in the inspections. Install changes and keep records by 1/31/03.
b.)  Complaint Process: NC has been closed but review process for filing complaint forms and add the missing approval date to the Master List.
c.)  Consolidated Invoice, Billing Delinquency Procedure:  Complete the Consolidated procedure and correct other related procedures that have contradictory information (Uniform Schedule of Penalties) by 4/30/03.  Ensure that our invoices clearly indicate when late charges will be applied and how much the will be.

4.  Complete Master List of Association Records by 5/1/03 (as required by previous action plans).

5.  No action required.

6.  No action required.

7.  Rules of Order: NC closed, no action required
Audit Trail to Boards.  The Bylaws require that an established procedure be in place for Association Meetings.  The lack of the prescribed procedure caused last minute problems before the 2002 Annual Meeting and required a “work-around”.  The procedure should be very simple but should address how the Rules of Order (which are specific to Board Meetings) apply to Annual Meetings and how the mailed agenda controls or limits the scope of the meeting, etc.

Action for Recommendations:

1. The procedure for the use of Association Buildings is being drafted by Glacier Gals (by assignment).  It should be drafted, approved by Manager and Board and placed in use by 3/31/03.

3.  Consolidated Billing Procedure – See NC 3c above.

4.  W&S Bylaw Attachment 1  - Develop a process (and procedure) to update the attachment, as properties ratify, by 3/31/03.

5.  Checkpoints on Board Motions – This will be covered as an Audit Trail to the Boards.

6.  No action required.

Jim Chisholm and B. J. Buhrman, 12/8/02