Agenda item

To provide to the Audit Committee with a summary of the work completed by Risk Services in quarter one of the 2017/2018 financial year.

Ms Greenhalgh presented the Committee with the Risk Services Quarter One Report 2017/2018.

Ms Greenhalgh reported on the key service developments in the first quarter, noting the internal audits that had been scoped in the first quarter and updating Members as to the work being undertaken in relation to Corporate Fraud and Risk and Resilience. The Committee was informed that the Equality and Diversity Service had been transferred to Risk Services on 1 April 2017. Members were also made aware that a shared audit service arrangement with Fylde Council was being discussed, which would involve Ms Greenhalgh being Chief Internal Auditor for both authorities and would resulting in greater resilience being built into the service.

Ms Greenhalgh reported on the Key Performance Indicators for the service.  She reported that there was 100% completion of both Business Continuity Plans by Directorate and Up to Date Risk Registers by Risk Management Group. She noted that work would now be undertaken to test the plans. Members acknowledged the hard work undertaken by staff to ensure the 100% completion of the Business Continuity Plans.

Members noted that only two Members had completed the health and safety i-Pool training course. The requirement for Members to complete the course had been raised with the Leader of the Council and that a reminder to Councillors would be sent by Member Services.

The Committee raised questions relating to the completion of mandatory i-Pool Fraud Awareness training, particularly in regards to the Place directorate that had a significant number of interactions with third parties. Ms Greenhalgh advised that the completion rate was expected to be much higher by the year end, with a target of 100%. She noted that some directorates, which currently had low completion rates, had significantly more staff required to complete the training, but that she would speak to the relevant directors to encourage the completion of the i-Pool amongst staff.

Responding to Members’ questions regarding the completion rate of the Audit Plan, Ms Greenhalgh explained that it was normal for Quarter One for the level to be around 13% as it was usual for there to still be work being undertaken to finalise the previous years’ audits, which required staffing resources.

The Committee raised questions relating to the change to the Audit Plan at the request of the Director of Children’s Services. Ms Greenhalgh advised that the initial audit had been planned with the previous Director of Children’s Services in relation to the thresholds for safeguarding and social care. However, that review was now being undertaken by the Corporate Delivery Unit and Internal Audit would instead undertake a review of payments across Children’s Services.

The Committee discussed the review of the Council’s Whistleblowing Policy. Ms Greenhalgh advised that the policy had been approved by the Standards Committee and directorate contacts had been identified. She explained that once the contacts had been trained, the policy would be formally launched and rolled out across the Council.

Ms Greenhalgh provided the Committee with details relating to the Internal Audit reports that had been issued within Quarter One, as well as informing the Committee of the progress that had been made on priority one recommendations. The Committee noted there had been a number of reports issued relating to Children’s Services and raised concerns in regards to controls being inadequate and audit testing revealing weaknesses in some areas. Members requested that the Director of Children’s Services be invited to the next meeting of the Committee to explain the progress being made following the Internal Audit Reports.

Responding to further questions from the Committee, Ms Greenhalgh explained that work was ongoing with directors to strengthen controls and improve Housing Benefit debt recovery. She also advised that she would update the Committee on details relating to the Driving at Work audit.

The Committee agreed:

1) To note the report.

2) To invite the Director of Children’s Services to the next meeting of the Committee to explain progress following the Children’s Service Internal Audit Reports.