Issue - meetings

Internal Audit Progress Report

Meeting: 07/03/2018 - Audit and Risk Management Committee (Item 35)

35 INTERNAL AUDIT PROGRESS REPORT--PART 1 pdf icon PDF 229 KB

Additional documents:

Minutes:

FSD 18023

 

Internal Audit Progress report was written by Mr David Hogan, Head of Audit.

 

The report was written to inform Members of recent audit activity across the Council and provided updates on matters that had arisen since the previous meeting of the Audit Sub Committee.

 

Members discussed the update concerning Transforming Community Equipment Services (TCES). A Priority 1 recommendation had been identified regarding the roles and responsibilities for contract monitoring and contract compliance. The previous Contract Manager had retired in May 2017, and had not been replaced. Subsequently, the Director of Adult Social Care had confirmed that the Head of Service (Assessment and Care Management) would act as the Contract Manager, supported by the Strategic Commissioner.

 

Eight Priority 2 recommendations and three Priority 3 recommendations had been raised for a variety of matters relating to TCES. Remedial action for all of these was due to be in place by the end of the financial year. 

 

A Member stated that since his return to the Audit Sub Committee, he had been impressed by the work being undertaken by Internal Audit. Another Member stated that the items being looked at were more interesting and substantial. The Chairman felt that strategic lessons had been learned. The Vice-Chairman said that LBB departments were now asking internal audit to come in and to review—management saw the value in this. A collegiate approach was being developed.

 

Members were briefed concerning the contributions policy for ECHS. It had been discovered that the Reablement Service had not been levying the required charges for cancelled and abortive visits. This was a Priority 1 recommendation. It was estimated that lost income was just over £10k. 

 

The Committee was updated regarding the audit of agency staff. There were three Priority 1 recommendations. One of these involved the procedure for approving extensions for the use of agency staff beyond six months, which was not being followed. It was felt that Human Resources should be taking a more pro-active lead in these matters.

 

Members were appraised that the audit relating to the contract for grounds maintenance, park management and other related services had resulted in an audit opinion of ‘Substantial’. Seven Priority 2 recommendations were made to further improve controls.

 

Members discussed the matter of Gifts and Hospitality. It was noted that various versions of guidance were available on the Intranet, and so conformity was required. A Member expressed the view that all hospitality should be declined to avoid any allegations of corruption. 

 

The objective of the planning audit was to look at the planning application process with particular emphasis on pre-application advice and the subsequent approval process. The review also looked at current planning enforcement arrangements. A Member expressed the view that if an officer provided pre-planning advice and then wrote the associated report, then this was not impartial. Mr Hogan stated that all the reports should be signed off by a manager or Chief Officer. It was noted that the regulatory body was happy with the same person giving pre-application  ...  view the full minutes text for item 35