Interesting reading about carts computer system.

Credit Stuart Tyler

CANAL AND RIVER TRUST DOCUMENTATION AND COMPUTER SYSTEMS.

I recently carried out an audit of the Canal and River Trust documentation and computer systems.

A copy of which was sent to Richard Parry and other senior directors within the Trust.

It clearly shows Canal and River Trust has not followed the fundamental basic principles of running a multi million properly.

As a result it is going to cost many thousands of pounds to put it right.

This clearly demonstrates that there is enough justification for audits to be carried out by an independent body.

Dear Richard

During my research into preparing the complaints for the licence review I took it upon myself to read every document Canal and River Trust use and referenced to in the operation of its business.

What was of considerable concern during my investigations was the complete lack of any documentation control and the lack of any standard for the production of the documentation issued by the Trust.

As a result I carried out an audit of just part of the documentation and the computer system in order to identify the problems with the current documentation and computer system used by the Trust.

The details of the audit is listed in the audit report attached.

There appears to be no definitive list of the Trust policies approved by the board and none are stated in the Governance document. As they are crucial to its operation and they normally result in procedures being produced which the regions are expected to use then they should be clearly stated, they should also be easy to find.

This is currently not the case and only two could be found in the policies and procedures on the computer system.

There are a considerable number of documents which do not have any dates on them at all and many are duplicated and not referenced anywhere.

In addition the computer system used by the Trust for providing information to the staff and the public is not user friendly. It is also extremely difficult to find the relevant information and associated documentation which is required for the Trust to operate effectively.

The terminology used is obscure for all of the essential information and the lack of using keywords severely hampers it as a successful tool.

Looking at the various screens essential information has been missed and getting to the right information is difficult and it is not designed in an orderly manner, which personnel with computer and boating experience would know.

It is of considerable concern to find such fundamental problems with the documentation and procedures taking into to account the length of time the Canal and River Trust has been in existence and the considerable experience of the personnel it employs.

All legally binding documents the Trust uses must have dates, issues, index and a record of the changes made to them.

The Trust has produced many hundreds of documents, as there is no related documents section of any kind then it is it extremely difficult to ensure when and where they are used.

It is because of this that procedures are required to ensure the relevant documentation is used and actioned when needed.

There is enough evidence to suggest the Trust should have an independent audit to show how the business operation and performance could be improved.

Since the financial savings in implementing proper documentation and control procedures could be substantial and far reaching.

The report I have produced is intended to show how the operation of Canal and River Trust can be improved and how a lot of the end users such as all the staff, the committee members and all the people involved can access and find the information they need easily.

I don’t know whether you know how serious the problem is, I hope you find the information I have provided is constructive and useful.

What is of concern is the audit and risk committee have not picked this up since it is they who should know how and what systems and procedures are required and how effective the auditing process is in achieving a coherent and well run business operation.
Kind regards

Stuart Tyler

CANAL AND RIVER TRUST DOCUMENTATION AND COMPUTER SYSTEMS
AUDIT REPORT
PREPARED BY STUART TYLER. AUGUST 2019
Issue 1

INDEX
1. Introduction
2. The Existing Documentation System
2.1 The Governance Handbook
3. PROPOSED DOCUMENTATION SYSTEM 3.1 Documentation Control System
3.2. Level 1 - Governance Handbook
3.3. Level 2 - Policies and Procedures
3.4. Level 3 - Regional Manuals
3.5. Level 4 - Department Manuals
4. The Canal and River Trust Information System 4.1. Document Library
5. Auditing of the Business
5.1. Financial
5.2. Business Procedures

1. Introduction.
The control and issue of information and documentation distributed by Canal & River Trust is fundamental to its successful operation. The documentation should state the policies operated by the company as well as the procedure and codes of practice which are used to run and maintain the business operation at all levels within the company.
It is crucial the information systems used by the staff and public are user friendly and easy to follow.
2. The Existing Documentation System
Currently it would appear there is no standard which has been set by Canal and River Trust for the computer systems which hold documents or the hard copies which are distributed.
There appears to have been no documentation structure set up which enables all the personnel in the company from the Chief Executive Officer downwards to pick up a document which states precisely what the policies of the company are, the responsibilities, and the procedures which are used to run and maintain Theo business.
In many cases there is no date, issue or any identification as to who issued the documents so it is not possible to address any problems to the persons responsible for their upkeep.
In addition there are many large documents issued by the Trust without any index so it not clear what items are covered in the documents and just as important what is not.
So it is necessary to go through the whole document in order to find a particular item.
This applies to all documentation held on the Trusts computer systems.
An example of this is the Governance Handbook.

2.1 The Governance Handbook September 2018.
If this document is the one which defines the overall operation of the Canal & River Trust operation then it should say so.
If it is not then there should be a document which is issued at Board level which states what are the aims and objectives of the company, it should state all of the policies that the directors of the company are responsible for within each department.
Whilst the Governance Handbook does state a month and a year it was issued there is no issue recording what has been added or deleted so it is not known if everyone has the same copy.
The following documents are referenced in the Governance Handbook
1. Companies Act 2006 -Articles of Association Canal and River Trust dated 26.09.2018
The document has no issue or record of the changes that have been made since 2006.
2.Canal and River Trust Rules - Rules proposed and agreed by Council 21st March 2018.
Effective from 1st July 2018
The document has no index, no issue so the record of any subsequent changes cannot be recorded.
3. Role Description - Trustee
No date, no index and no issue.
4. Charity Commission - Cc3 pdf The Essential Trustee - what you need to know - what you need to do.
No date, and no issue.
5. Deputy Chair: Role Description
No date, no index and no issue.
6. Role Description- Trustee
No date, no index and no issue.
7. Trustee - Code of Conduct
No Date, no index and no issue.

8. Canal and River Trust Scheme of Delegation
No date and No Issue.
9. Audit and Risk Committee Terms of Reference
Dated 21st October 2016, no index and no issue.
This document makes a statement about the Board of Trustees Scheme of Delegation but there is no means of getting to this document via the computer. It has to be searched for manually. 10. Canal and River Trust Scheme of Delegation
No date, no issue. No computer link.
This document refers to articles 9, 27 & 29 it is not clear if this is referring to the companies act 2006 or another document.
This document refers to other documents
10.1. Investment Committee - Terms of Reference
No date, no index, no issue.
This document has to be searched for manually.
10.2 Companies Act 2006
The issue which is applicable should be stated.
10.3 Terms of Reference for Board Committees, on the Corporate Governance pages of Gateway.
This document cannot be found.
10.4 Charities Act 2011 part 7
The issue applicable is not stated.
10.5. Canal and River Trust Waterways Pension Fund Deeds and Rules
This document cannot be found.
10.6 The Terms of Reference for each Board Committee are available on the Corporate Section of Gateway.
No instructions on how to access gateway why is this not available to view.
10.6 Charities Act 2011 part 7 Charity Land
No issue
10.7 The statement made here is not correct by just stating Articles of Association it is in fact the Companies Act 2006 adopted 27.03.2012
11. Audit and Risk Committee Terms of Reference
31st October 2016
12. Investment Committee: Terms of Reference
No date, no index, no issue.

13. Remuneration Committee: Terms of Reference 31st October 2016, no index no issue.
14. Regional Advisory Board: Terms of Reference No date, no index and no issue.
This document makes references to the Trust articles but there is no full title of the document it is referring to. eg Companies Act 2006 adopted 27.03.2012
15. Waterways Infrastructure Trust- Trust Settlement between The Secretary Of State for Environment, Food and Rural Affairs and Canal and River Trust
No date, no index and no issue.
16. Waterways Ombudsman Scheme.
This just refers the reader to the Waterways Ombudsman website, there is mention of the how complaints are made to Canal and River Trust using the complaints procedure.
There is no mention of the Ombudsman Committee Terms of Reference document.
There is no mention of the policies which been approved by the Trust.
There are sixteen different documents mentioned in the Governance Handbook document, many which do not have their full title, almost all of them have no date and issue.
As a consequence of this it is not possible to establish if the reader has the correct copy of the handbook or not and all other documents and it is not possible to establish whether changes have been made or not.
This applies to all the documents produced and issued by the Trust.
There is no related document section which list the full titles of all of the documents referenced in the handbook.
In consequence it is extremely difficult to know and find the documents referenced in the handbook and know that it is the right issue.
It has been assumed by the author/designer of the Governance Handbook that this will be read using the computer.

This for a significant number of people on the committees and the public will not be the case and many copies have been printed in hard copy.
Without a proper date and issue control on all documents it means that all documents have to be totally reprinted every time a change is made, even then it is still not possible to identify the latest copy.
In the case of the of the Scheme of Delegation there are seven documents referenced in the document, which is not supported by the computer.
Because there is no related documents it is extremely difficult to find the required document even then because there no dates or issues on the documents is not known if they are the correct ones.
There is no evidence on the Canal and River Documentation system of any procedures which invoke the use of the documentation listed below.
Role Description of Trustees (No date, no index, no issue) Adoption Agreement (No date, no index, no issue)
Trustees Code of Conduct (No date, no index, no issue) Volunteer Lock Keeper Information Sheet (No date, no index, no issue)
Welfare Guidance
This is the first document I have seen that has a date, issue and review record.
Code of Practice for Works Affecting The Canal and River Trust dated 2019. No issue. Part 1 - Detailed Information
This is just the forms, there is no related documents section detailing the procedure to be used with them
Code of Practice for Works Affecting Canal and River Trust - Part 1 Dated April 2017 - Part 1 Detailed Information
Code of Practice for Works Affecting Canal and River Trust - Part 1 Dated April 2017 - Part 1 Detailed information
There are three of these documents on the documents library system, two of them need to be made obsolete.
Code of Practice for Works Affecting Canal and River Trust - Dated April 2019 Part 2 Detailed Information

This document makes no reference to Part 1 or the Forms.
This is just a very small part of the documentation issued by the Trust which has no related procedures informing anyone within the organisation of the circumstances when the relevant documents should be used.
The amount of documentation produced by Trust without any supporting procedures is significant and means it is not effective in its operation and performance.
3. PROPOSED DOCUMENTATION SYSTEM
A document structure needs to be set up for the whole of the Trust from the Chief Executive Officer downwards it should be based on on the ISO 9000 standard or very similar.
It is important to have a document control procedure which sets out the framework for how documents are approved, updated or amended, how changes are tracked, how documents are published (internally or externally) and how documents are made obsolete.
A document management system helps automate the control and tracking of documents that are managed according to documentation control procedures. Everything from the document control procedures manual itself, to all the documents and files governed by the documents control program, are managed within the centralised system .
The key is that any document critical to the delivery of your services or products is controlled.
This ensures everyone in the organisation is using the most recent, and correct instructions. Keeping the correct records, understanding the policies and procedures that allow the Trust to operate effectively.
At the very least the Trust needs to consider the items for documentation control these include:
3.1 Document Control System: -
Filing- How will documents be for easy retrieval?

Retrieval- How will users find the documents they need easily? Security- How are documents kept and assure secure revisions? Version Control- How can the user tell they have the current and correct revision?
The Trust needs to decide on the document structure it should use. It is suggested the following is considered :-
3.2 Level 1 - Governance Handbook
The Governance Handbook is currently the top level document which states how Canal and River Trust operates.
It is the document which states all the regulations and the procedures which is used by all the staff and committees to operate effectively.
It should have a related documents section which states all the policies and associated procedures which are referenced in the handbook.
All of the pages should have an issue and an amendment section at the end of the document in order to show when amendments have been made to the handbook.
This will mean only the pages which have been changed will be changed on the computer copy and will need to be reprinted.
This saves in printing costs since currently the whole document has to be reprinted for all changes that are made.
3.3 Level 2 - Policies and Procedures
Policies and procedures are designed to influence and determine all major decisions and actions, and all activities take place within the boundaries set by them. Procedures are the specific methods employed to express policies in action in day-to-day operations of the organisation. Together, policies and procedures that a point of view held by the governing body of an organisation is translated into steps in an outcome compatible with that view.

Currently none of this is evident in the the existing documentation system.
All of the documentation produced by the trust must have a related documents section as well as an issue. This is essential for all of the legal documents since any changes need to be identified and recorded.
3.4 Level 3 - Regional Manuals.
In order for Canal and River Trust to operate effectively it is important to have regional manuals. These define the standard procedures to used by all regions as well as those which are specific to each region.
It will ensure uniformity when required and all regions operate to the same standards and do not produce their own without approval.
3.5 Level 4 - Department Manuals
Department manuals define how the department operates.
They specify the procedures and computer systems used in the day to day operations.
They should have a related documents section which lists all the procedures and computer manuals that members of the department may use.
They should also have sections that deal with first aid and health and safety.
It should be possible to give a new employee the manual and they will be able to understand the departments complete operation.
4. The Canal and River Trust Computer Information System.
The computer information system is the flagship for Canal and River Trust and as such it should be easy to understand and operate.
It should have help screens to enable the staff and the public to find the information they are looking for with ease.
Currently there is none of this and as a result the information is hard to find and in many cases not there.

The stoppages program held on the system in particular is atrocious, it is poorly designed and when a particular river or canal is input, it’s comes up with out of date stoppages going back to 2015 and it does not show the current stoppages.
When boaters plan a route they want to be able to input several canals and rivers at the same time the system does not allow the user to do this.
The previous version of stoppages system allowed the user to scroll through all of the canals and rivers, selecting the ones they needed. This is what is required on the new version as well as help screens.
Whilst in the opinion of the Trust they may have addressed the important issues eg.
About us
Enjoy the Waterways
Volunteer Support us
In practice getting to the useful information is not easy and in many cases almost impossible to find if the person using the system is not computer literate.
Examples of this are:-
Boat Licensing where before getting the boat licence there is other important information which should be addressed first without having to go through the process of logging onto licensing. It is long winded and unnecessary, before going into the licensing boaters should be informed and have a valid insurance and BSS certificates. The boat registration number should be allocated when the first of these documents are to be entered onto the system along with all the information about the boat eg. Length, width tonnage, etc.
In addition reference should be made to the Boat Licence Support Team under this heading. Currently this is difficult to find.

Another example is eg Boating
Currently there is nothing referenced about having all of the above information before applying for a licence.
A boater must have all of this before taking a boat on the water.
It is suggested Boating refers to the following eg.
Boating.
Boat Insurance
Boat Safety Certificate Licensing your boat
Boat Licence Support Team Helmsman Certificate
Getting Afloat- New to Boating Boaters Handbook
A Guide to Boating
Another example is eg. Do to you know a disabled boater. Boaters who are disabled want to access the information for themselves and do not rely on other people to get the information. The terminology which is currently used is demeaning and is not treating disabled boaters in the proper manner.
I would suggest the heading is changed to the following and important information needs to be included:-
Boating for the Disabled
Equality, Policy for Customer Service Delivery
Planning a Route with Disabled Facilities
Unreasonable Behaviour Policy - currently there is no policy for the disabled and this needs to be addressed.
Plus all the other information
Another example is Boaters Guide:-
Currently there is no help screen to inform the user of the rivers and canals and the user can only input one river or canal.

Generally when doing this boaters will want to plan the whole trip so they will need to input several rivers or canals,
The current version will not allow the user to do this, in addition the guide produced by the system lists all the stoppages going backwards to 2015! This is not what the boater needs, they only need the ones which are within the dates they are traveling.
Is there anyone who details what is required and checks what the system is producing?
4.1 Document Library
The document computer library is not organised and finding any information is difficult. There are many different versions of the same document and because they do not have dates or issues it is not known which is the current version so they need to be reviewed and made obsolete where applicable.
Examples of this are:-
Unreasonable Behaviour Policy (2017)
No issue
Unacceptable Behaviour Policy
No date and no issue
Equality, Diversity and Inclusion Policy
No date and no issue.
Equality Policy for Customer Service Delivery October 2017 Welfare Guidance
No index and no issue
There are in fact hundreds like this and there are many which have been duplicated and superseded as a result should be made obsolete.
The document library should have an index and all of the documents should be grouped under their appropriate headings in date order, The issue and the author responsible for maintaining the document should also be stated.
eg Board Meeting Minutes
NAG Meeting Minutes
Licensing Procedures and Associated Documents

Disabled Procedures and Associated Documents 5. Auditing of the Business
Auditing and Risk Committee: Terms of Reference (31st October 2016, no Issue)
In a business such as Canal and River Trust it is important to state the different audits which should be carried out and by whom. There should be separate sections in the audit document which detail the audit criteria for financial and business operations and performance.
The auditing system used is completely different between financial and business operation.
The terms of reference does not state the criteria for how the audits are to be carried out and there is no related documents section stating the documents to be used. eg
5.1.Financial
a. What policies and procedures are there which Canal and River Trust must comply with regarding expenditure and investments?
b. Has instructions been issued throughout the organisation detailing the expenditure limits for all relevant management and how this is authorised?
c. What procedures are there which states how the budgets are determined and monitored for all regions and departments?
d. How is the likelihood of overspend occurring and how is this identified and monitored?
5.2. Business Procedures
a. Does Canal and River Trust have a procedures manual which defines the complete operation of the business, how is it maintained and kept up to date?
b. Is there a manual which lists all the policies agreed by the Trust and how are they issued and maintained?

c. Are there regional manuals for all of the regions how are these issued to all departments, who is responsible for their maintenance and how changes controlled and issued?
d. Are there department manuals for all of the departments within the Trust, how are the manuals issued and maintained and how are changes controlled and issued?
e. Is there a customer complaints procedure which defines how customer complaints are recorded and who is responsible for monitoring their progress?
f. Is there a policy and procedures issued by Canal and River Trust which defines the operational and health safety requirements for suppliers of goods and services for all regions?
g. Is there an approved suppliers list, if there is how are suppliers monitored and to what criteria are they approved?
h. Is there a healthy and safety policy issued by Canal and River Trust, do all the regions and departments have health and safety procedures. Are there trained first aid personnel for every department and do they have a first aid cabinet which is stocked and maintained?
i. Are there fire marshals nominated for all departments and are drills regularly carried out?
The items I have provided are not extensive since it is the Trust responsibility to determine what should be included to operate effectively.

Credit Stuart Tyler

CANAL AND RIVER TRUST DOCUMENTATION AND COMPUTER SYSTEMS.

I recently carried out an audit of the Canal and River Trust documentation and computer systems.

A copy of which was sent to Richard Parry and other senior directors within the Trust.

It clearly shows Canal and River Trust has not followed the fundamental basic principles of running a multi million properly.

As a result it is going to cost many thousands of pounds to put it right.

This clearly demonstrates that there is enough justification for audits to be carried out by an independent body.

Read more: thunderboat.boards.net/thread/5501/interesting-reading-carts-computer-system#ixzz5zhpKCv6H

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As Jim says, . . who would have thought it ?

There was an interesting thread about C&RT's crap computer system and record keeping on CWDF sometime, I think, back in 2014. It was along the lines of it not being 'fit for purpose' and how it was being made use of by rogue individuals within the Trust's management pursuing their own evil agendas. 

Can't for the life of me remember who started the thread, . . but all the usual C&RT apologists had a good go at shouting it down !