Agenda item

Consideration was given to a report which gave Members an update of progress, by the Audit partner, against the 2016/17 annual programmes agreed by the Audit Committee in March 2016.

The report further provided details of the audit work undertaken during the period; the current position with agreed management actions in respect of previously issued reports; and details of other audit activity relevant to the Committee. 

The report advised on two audits having been completed during the period; The outcomes of each audit were outlined to Members in detail and it was noted that the Team Manager – ICT was in attendance to answer any specific questions Members had on the outcome of the ICT incident Management Audit which had received low assurance.

The report further advised of the audits currently in progress and other significant audit work undertaken during the period and going forward.

Prior to opening the debate the Internal Auditor verbally updated the Committee on some items referred to in the written report, namely Key message 3, the management actions regarding the Traded Services Audit had now been agreed; and Key message 9, only 2 actions remained outstanding and neither of these were high priority. 

Debate ensued and in response to Members’ concerns regarding outstanding enforcement actions, Officers advised of the work being undertaken by Mr Bowery across all enforcement services.  This work was due to conclude imminently and would address all outstanding actions.

The issue of Agile Working was raised and Members sought indication as to how output was monitored.  Assurance was offered that the policies and procedures were audited to give assurance that employees working from home were subject to the same requirements as those in the office.  All employees had regular 1-2-1s and were managed through personal workplans and objectives.  The same management oversight tools were in place regardless of where the employee was based.  There were also concerns regarding confidentiality arising from Agile Working.  Again assurance was offered that regardless of where the employee “logged on” to the system, the same policies and procedures were enacted.  All files accessed were accessed off the main server through the Council’s systems, as if the employee was located in the main office base. There were clear expectations laid down for all employees.  It was noted that measures to ensure confidentiality were also required in open plan offices, and the use of shaded screen in the office was now becoming common place.

Mr Cliff Dean addressed the Committee regarding the ICT incident Management Audit, re-affirming the Management position as set out in the report.  All new systems had been implemented and a follow up audit would be undertaken in 6 month’s time.

Members received an update following the recent Choice Based Lettings Audit, discussed at their previous meeting.  The Authority was not prepared to accept the current standard and would continue to challenge partners.

In response to Members’ questions, Officers confirmed both the Service Transformation and Development Management Phase 1 Audits had been cancelled by management.  The reasons being, with regard to Service Transformation, current delivery models were under review and therefore the audit would have been of no value.  With regard to the latter, this had originally been postponed in order for a Peer Review to be undertaken in the first instance.  This had resulted in an action plan being produced which was progressing well and therefore it was unlikely the Phase 1 Audit would now be undertaken as in house measures were delivering results.  The Phase 2 Audit was likely to commence in the first Quarter of next year’s plan.

It was noted that whilst a Plan was set for the year, there was no priority order within the Plan and it was often discharged taking into consideration team capacity, examples were cited.

The Internal Auditor confirmed completion of the Plan in its entirety was still likely, however, there was a pressure and this had been raised with Management.  Further assurance was offered that the service was independent and not directed by Management. 

RESOLVED that the contents ofthe report be received and noted