Agenda item

To provide to the Audit Committee with a summary of the work completed by Risk Services in quarter two of the 2015/2016 financial year.

Ms Greenhalgh, Chief Internal Auditor, presented the Committee with an overview of the Risk Services Report for the second quarter of 2015-2016. 

Ms Greenhalgh reported on the internal audits that had been scoped in the quarter and for which preparatory work had commenced. Members were provided with details of service developments with regards to Corporate Fraud and, in relation to risk and resilience, the work undertaken in regards to the tactical response to the boiled water notice that had been implemented for a four week period due to a contamination in the water supply.

The Committee questioned the results of the debrief that had taken place in October to consider how the water contamination issue had been managed and to determine the lessons that could be learned. Mr Williams, Risk and Resilience Officer, advised that a number of recommendations had arisen from the internal debrief and some lessons to be learned had been identified. Members requested that a summary report be brought back to the Committee providing details on the lessons learned and recommendations from the internal debrief on how the incident had been managed.

Ms Greenhalgh reported on the key performance indicators for the service.  She advised that 91% of business continuity plans were up to date as of the date of the meeting and that 100% of risk registers had been revised and were up to date. However, it was explained to the Committee that the business continuity plans varied in quality and some required additional work before they could be considered appropriately updated. Ms Greenhalgh advised that the Risk and Resilience Team would aim to complete a quality control programme by the end of the financial year to fully assess the standard of business continuity plans.

Members raised questions relating to the number of trained Emergency Response Group Volunteers. Ms Greenhalgh advised that there were concerns regarding whether the volunteers had appropriate training and/ or experience and that the Risk and Resilience Team would be working with Adult Social Care Services in order to address the issue. Members were further advised that the volunteers were from across the Council’s departments and whilst they were not offered incentives to volunteer, they were permitted time off in-lieu following any emergency response.

The Committee questioned what the completion rate was for the i-pool training course on fraud awareness and Ms Greenhalgh advised that the rate was very low. She informed Members that work would be undertaken with the Senior Leadership Team to encourage managers to complete the course.

The Committee considered the Internal Audit reports issued during the second quarter and discussed the audits that had resulted in an inadequate assurance statement being issued. In regards to the audit of the CCTV service, which had concluded with an assurance statement of inadequate controls in place, the Committee was advised that the service had not been ‘live’ at the time of the audit. The Committee requested that the Director of Place be invited to attend the next meeting of the Committee in order to provide an explanation for the controls being inadequate and a progress report detailing how the concerns of Internal Audit had been mitigated.

The Committee also considered the Internal Audit review of Licensing Services, which had also been considered to have inadequate controls in place in relation to document management and information sharing across other relevant services. Ms Greenhalgh advised that Internal Audit had not yet followed up on its recommendations and it was noted that proactive work was already being undertaken to address the issue.

Another Internal Audit review discussed by the Committee was the review into Physical Activities. It was noted that the review had concluded that there were a range of organisations, including Leisure Services and others externally commissioned by Public Health, providing physical activity opportunities for residents. The review considered the current approach to be inadequate and that better integration between Leisure Services and Public Health could improve opportunities for residents and deliver better value for money. Members questioned what was being done to improve the approach and Ms Greenhalgh advised that the Chief Executive, Director of Public Health and Director of Community and Environmental Services would be meeting to resolve the situation.

Mr Jack, Chief Executive, advised that some of the external contracts commissioned by Public Health, had been agreed at a time when Public Health Services had been undertaken whilst under the previous structure of the NHS. Mr Thompson, Director of Resources, added that an internal group of officers had been established to consider the protocols involved with departments using internal services.

Ms Greenhalgh reported to the Committee the progress with Priority One recommendations. She advised that a number of actions had now been implemented and signed off, including Waste Public Finance Initiative, Area Forum and Ward Budgets, E-invoicing, Advertising, Out of Hours Cover, Framework-I, Bereavement Service, Deferred Payments and Year 7 Savings Accounts.

Ms Greenhalgh also advised that, in relation to the Regulation of Investigatory Powers Act 2000, between July and September 2015 the Council had not authorised any directed surveillance. Upon questioning from the Committee, she advised that it was not unexpected that there had been no direct surveillance authorised, as the powers had been used a lot more in the past for benefit fraud investigations, which were now a function of the Department for Work and Pensions.

Members considered the insurance claims data and cost of public liability data and it was questioned whether the impact of Project 30 could yet be demonstrated. Ms Greenhalgh advised that there were still a number of legacy claims that were being made from earlier dates, but it was hoped that there would be some improvement and a reduction in claims in the next 12 months.

The Committee agreed:

1) to note the report;

2) to request that a summary report be brought back to the Committee providing details on the lessons learned and recommendations from the internal debrief on how the water contamination incident had been managed; and

3) to request that the Director of Place be invited to attend the next meeting of the Committee in order to provide an explanation for controls being inadequate in relation to the CCTV internal audit review and to provide a progress report detailing how the concerns of the audit had been mitigated.