Agenda item

The Head of Internal Audit to submit a report to update Members on progress made in delivering the 2017/18 Annual Audit Plan and key findings arising from audit assignments completed since the last Committee meeting.

The Head of Internal Audit

(a)       submitted a report (copies of which had previously been circulated to Members) which updated the Committee on progress made in delivery of the 2017/18 Annual Audit Plan and key findings arising from audit assignments completed since the last Committee meeting

(b)       advised that good progress had been made against the plan and that at the time of reporting, 75% of the Audit Plan was either complete or in progress

(c)      highlighted that the audit plan within Appendix A detailed the status of each audit assignment

(d)       confirmed that since the last Committee meeting

•     three audit reports had been finalised as follows:-

i.   Anti Social Behaviour and Community Safety.  This was the first audit of this area and had been undertaken across a number of councils.  There were a number of areas where good practice was identified at Melton, which had been recommended to other Councils.  This Council had a clear partnership plan and priorities had been set, which were supported by action plans.  Complaints were handled in accordance with well established procedures and 100% of the sample tested had been accurately recorded on the case management system.  Overall, the assurance on both the control environment and compliance was good, with minor organisational risk remaining;

ii.  Safe Driving at Work.  This Council’s policies were reviewed to ensure the safety of those driving on Council business.  Internal Audit were satisfied with the design of the policies and control framework.  However, when testing compliance, it was evident that controls were not consistently applied.  Checks on whether those staff and Members who claimed for travel expenses had been subject to examination of their MOT, insurance and driving licences and completed driver declaration forms were undertaken and Compliance with this control was inconsistent and a number of recommendations had been made to strengthen compliance.  An opinion of limited assurance had been given on compliance but the design of the controls was recognised as good.  The organisational risk had been assessed as minor, given the specific risks but recommendations had been given high priority for implementation.

iii. Waste Contract Procurement.  This was the first report on the waste contract procurement project embedded assurance review.  This was an audit of the project management arrangements and the assurances were good.  Internal Audit were satisfied that the project management controls were operating effectively and supporting efficient delivery.  Recommendations around strengthening risk management controls and resource planning had been made, both of which had already been implemented.  Internal Audit would re-engage with the project for Stage 2 work in January/February 2018.  This would focus on evaluation of final bids.

•  twelve actions from the previous audit reports had been  implemented.  A summary was provided at Appendix 3 of the report.  There were

currently twenty-four overdue actions and some of these were due to changes in responsibilities and were being actively progressed.  Of the overdue actions, there were three which were high priority and over three months overdue.  Full details were provided at Appendix 4 of the report.

The Chief Executive highlighted the transition in Senior Management and that a number of actions had been reassigned to new officers.  He confirmed that overdue actions were being dealt with as priority and would be implemented as soon as possible.

Members commented that they would like clarification on which officers were able to examine their driving documents and the Corporate Director confirmed this would be provided.

A Member asked if this Council only required sight of a Member’s driving information if that Member claimed  travel expenses and the Corporate Director advised she would obtain clarification and provide confirmation for Members.

Members expressed concern  over anti social behaviour and community safety, commenting that there appeared to be a lack of Police presence, response and liaison in the area.

The Chief Executive commented that this was clearly an important issue.  This Council worked hard to ensure a strong relationship with the Police and to target resources collectively.

The Chair advised that the full Anti Social Behaviour and Community Safety report was available to Members upon request.

There being no further comments or questions, it was

RESOLVED that the report and progress made by the Internal Audit team in delivery of the Audit Plan be noted.