Agenda item

To consider the Risk Services quarterly report for the period January to Match 2015.

The Committee considered the Risk Services Quarterly Report January to March 2015.

Mr Smith, Audit Manager, highlighted the key areas of the report for the Committee, noting that the opinion of the Chief Internal Auditor was that the overall control environment of the Council was adequate. However, it was reported that the number of negative assurance statements for internal audit work completed was still significantly higher than before the spending cuts impacted on Local Government.

Mr Smith advised the Committee of the transfer of benefit fraud investigation staff to the Department for Work and Pensions and the revised structure for Risk Services following the transfer. The Committee queried whether the transfer of staff would create risk and how this would be measured in the future. Mr Thompson, Director of Resources, explained that there could be an increased level of risk as a result of the transfer and that a formal liaison between the Council and the Department of Work and Pensions would be established and the findings reported back to the Committee.

Members considered the percentage of up to date business continuity plans by department and raised concerns relating to the Children’s Services and Places departments being below the expected level. The Committee was advised that Children’s Services had made significant progress over the past year and Mr Jack, Chief Executive, stated that there was a commitment from the department to complete a number of the outstanding plans throughout the next reporting period. It was reported that the Places department had previously had a high percentage of business continuity plans up to date but that many of those plans had now lapsed into becoming out of date. However, it was expected that the percentage of plans updated would significantly improve over the next reporting period.

The Committee raised questions relating to emergency planning and queried the circumstances of the events of the 15 January 2015. Mr Jack recalled that the incidents had related to high winds that had resulted in Bank Hey Street and Market Street being closed due to fallen debris. It was noted by the Committee that the out of hours rota for the Emergency Planning Officer had been ceased in order to help deliver budget savings for 2015/2016, therefore there would be increased reliance on the voluntary call-out list. Members were advised that the number of volunteers on the list had increased from previous years, but that it was hoped to extend numbers further to increase resilience.

The Committee considered the internal audit reports that had been issued in the period and noted that with regards to the Local Education Partnership, the controls in place were considered inadequate. Mr Thompson advised members that projects of the partnership achieved value for money and were delivered on time and within budget. However, the controls that were considered inadequate were in relation to governance and monitoring arrangements. Members were assured that those arrangements were currently being reviewed in order to improve controls to a level considered to be adequate.

Members also considered the controls that were in place for Framework-i that were deemed to be inadequate, with a number of risks identified and improvement required. Members requested that the Director of People be requested to attend the next meeting of the Committee in order to provide an explanation for the controls in place being inadequate and a progress report detailing the improvements that were due to be made.

Questions were also raised by Members in relation to the number of internal audits that had revealed minor lapses in compliance with the controls. It was explained that in such situations the controls in place were considered adequate but that individual officers had not appropriately followed the procedures in place. Members were advised that in such circumstances, issues were highlighted to management to consider the appropriate response with regards to training.

The Committee agreed to note the Risk Services Quarterly Report for January to March 2015 and its findings.

Background papers: None.