Agenda and minutes
PDF 211 KBVenue: Surrey County Council, Woodhatch Place, 11 Cockshot Hill, Reigate, Surrey, RH2 8EF
Contact: Amelia Christopher Email: amelia.christopher@surreycc.gov.uk
Media
| No. | Item |
|---|---|
|
APOLOGIES FOR ABSENCE AND SUBSTITUTIONS
To receive any apologies for absence and substitutions. Additional documents: Minutes: There were none.
|
|
|
MINUTES OF THE PREVIOUS MEETING - 10 JULY 2024
To agree the minutes as a true record of the meeting. Additional documents: Minutes: The Minutes were approved as an accurate record of the previous meeting. |
|
|
DECLARATIONS OF INTEREST
All Members present are required to declare, at this point in the meeting or as soon as possible thereafter (i) Any disclosable pecuniary interests and / or (ii) Other interests arising under the Code of Conduct in respect of any item(s) of business being considered at this meeting NOTES: · Members are reminded that they must not participate in any item where they have a disclosable pecuniary interest · As well as an interest of the Member, this includes any interest, of which the Member is aware, that relates to the Member’s spouse or civil partner (or any person with whom the Member is living as a spouse or civil partner) · Members with a significant personal interest may participate in the discussion and vote on that matter unless that interest could be reasonably regarded as prejudicial. Additional documents: Minutes: There were none.
|
|
|
QUESTIONS AND PETITIONS
To receive any questions or petitions.
Notes: 1. The deadline for Member’s questions is 12.00pm four working days before the meeting (5 September 2024). 2. The deadline for public questions is seven days before the meeting (4 September 2024). 3. The deadline for petitions was 14 days before the meeting, and no petitions have been received.
Additional documents: Minutes: There were none.
|
|
|
RECOMMENDATIONS TRACKER AND WORK PLAN
To review the Committee’s recommendations tracker and work plan. Additional documents: Minutes: Key points raised in the discussion: 1. The Chairman noted that a key area reviewed by the Committee last time was complaints and the report at item 8 explored complaints in more detail.
RESOLVED: 1. Monitored progress on the implementation of actions/recommendations from previous meetings (Annex A). 2. Noted the work plan and the changes to it (Annex B).
Actions/further information to be provided: None.
|
|
To provide an update on risk management.
Additional documents: Minutes: Speakers: David Mody, Head of Strategic Risk Russell Banks, Chief Internal Auditor
Key points raised in the discussion: 1. The Head of Strategic Risk thanked Internal Audit for its help with undertaking the comparator exercise concerning the Council’s Corporate Risk Register. The Council had twenty-two corporate risks which was above the optimum of fifteen to twenty, that was not unwarranted given the Council’s size and activities. All the other councils’ top risks were included in the Council’s Corporate Risk Register apart from a risk relating to HS2 which was not applicable. The Corporate Leadership Team (CLT) reviewed the findings via a workshop and no changes were made to the Corporate Risk Register. There was an additional risk concerning payroll and pensions, which related to the new Unit4/MySurrey system; a follow-up report would go to a future Informal Cabinet meeting. No changes were proposed to the Risk Management Strategy. 2. A Committee member asked whether the process of how risks were added to the register was reviewed or whether it was an assessment of what was already included. The Head of Strategic Risk explained that different councils treated what they categorised as a corporate risk differently. 3. A Committee member asked about risk maturity and classification of the risks. The Head of Strategic Risk explained that risk registers were divergent, one council had forty-three risks and another had eleven risks, there was no universal standard however most councils were using the five by five matrix. 4. A Committee member asked whether there was an opportunity to share best practice between councils. The Head of Strategic Risk noted that he was engaging with other councils, over the last six months he had been contacted by around ten councils seeking best practice from the Council. 5. A Committee member asked whether the process of identifying risks was comprehensive enough. The Head of Strategic Risk noted that the many discussions around risk made it more likely that risks were identified, significant risks were being captured. He championed the approach of having deep dives, CLT had a monthly session and the directorates had their own sessions. 6. A Committee member welcomed the proactive approach by Internal Audit reviewing the Corporate Risk Register and was reassured that the communications sessions were happening. He welcomed that there were no changes needed to the Risk Management Strategy. 7. The Chief Internal Auditor noted that regarding information sharing and assurance on risk identification, working as a partnership Internal Audit had access to knowledge in partner organisations and worked with other heads of audit nationally, comparing Internal Audit Plans which were risk-based. 8. The Chairman referred to the optimum number of corporate risks noting that if there were too many the Council would be inundated. The Head of Strategic Risk agreed, noting the need to be able to understand what the significant risks were so resources could be allocated to address priority areas. 9. Responding to the Chairman’s query, the Head of Strategic Risk noted that there had not been ... view the full minutes text for item 51/24 |
|
|
INTERNAL AUDIT PROGRESS REPORT - QUARTER 1
The purpose of this progress report is to inform Members of the work completed by Internal Audit between 1 April 2024 and 30 June 2024.
The current annual plan for Internal Audit is contained within the Internal Audit Strategy and Annual Plan 2024-25, which was approved by this Committee on 13 March 2024.
Additional documents: Minutes: Speakers: David John, Audit Manager Russell Banks, Chief Internal Auditor Nicola O’Connor, Strategic Finance Business Partner David Mody, Head of Strategic Risk
Key points raised in the discussion:
1. The Audit Manager noted that there were twenty-four completed assignments. There were audits of Reasonable or Substantial Assurance in key areas. Six audits were given Partial Assurance, the Transition of Children into Adults, and Community Equipment Services Contract Management audits were referred to Internal Audit by management as there were known issues. A deep dive was undertaken on the Fuel Cards audit, it was affected by MySurrey implementation whereby the controls had dropped off in year, management responded and the level of assurance increased. A follow-up to this audit was reported in the same quarter and is summarised in this report pack with an improved assurance level of Reasonable Assurance. He noted concern in the two follow-up audits around Tree Management, and Social Value In Procurement. The level of assurance had not risen from Partial Assurance, as whilst some progress had been made actions had not been fully implemented. 2. The Audit Manager noted the opinion of Partial Assurance for Accounts Payable due to MySurrey implementation issues, Accounts Receivable in the last quarter was given Reasonable Assurance. He noted that other audits in progress relating to MySurrey were likely to be of lower assurance levels. Work was underway with management to rectify that through agreed actions, there was a new established MySurrey Stabilisation Board. The intention was to undertake as many follow-up audits in quarters three and four to try and raise the assurance levels, but that this depended on management having completed all of the agreed actions in the timeframe expected. 3. A Committee Member referred to the many Partial Assurance opinions, particularly the two follow-up audits; asked what the Committee could do to express concern. The Chief Internal Auditor noted that the matter had been escalated with CLT which was committed to address the issues. He noted that it was unusual for the level of assurance to not increase from a follow-up audit, a follow-up would be rescheduled and the findings would be reported to the Committee. He noted that the Committee could request updates from management to review progress on the actions. The Committee agreed for management to provide a report on the actions being undertaken regarding the two follow-up audits on Tree Management, and Social Value In Procurement. 4. A Committee member asked whether random sampling was undertaken to check whether actions were being completed. The Audit Manager noted that high priority actions were automatically tracked on the audit system and followed-up with the responsible officer, and audits of lower assurance were followed up and all the actions reviewed. Regarding medium and low priority actions in higher assurance reports, dip sampling was undertaken at the end of the year to seek assurance from the responsible officers that the actions were being addressed. 5. The Audit Manager explained that dip sampling tended to prioritise audits that had a ... view the full minutes text for item 52/24 |
|
|
THE LGSCO's ANNUAL REVIEW LETTER FOR SURREY COUNTY COUNCIL 2023/24
To provide an update on complaint statistics recorded about Surrey County Council and its performance in responding to Ombudsman investigations, following the publication of the Local Government and Social Care Ombudsman’s Annual Review Letter for 2023/24.
Additional documents: Minutes: Speakers: Sarah Bogunovic, Assistant Director - Registrations, Coroner's Service & Customer Strategy Eleanor Brown, Assistant Director - Customer Experience Sam Reynolds, Head of Customer Engagement and System Development Steve Tanner, Interim Assistant Director - Inclusion and Additional Needs – North East
Key points raised in the discussion:
1. The Assistant Director - Registrations, Coroner's Service & Customer Strategy outlined the analysis overview section, highlighting that in 2023/24 the Local Government and Social Care Ombudsman recorded an increased volume of complaints about Surrey County Council: 324 complaints compared to 215 complaints the previous year. Compared to its peers the Council had a high volume of complaints being investigated and the 89% uphold rate was higher than the 85% national average. The Council’s had a disproportionate number of complaints about Education Services, specifically Special Educational Needs and Disabilities (SEND), with 116 upheld complaints. External pressures included a shortage of Educational Psychologists, high demand for services in Surrey and over 15,000 children and young people on Education, Health and Care Plans (EHCPs). The Council in 2023 invested £15 million in a recovery plan. 2. The Assistant Director - Registrations, Coroner's Service & Customer Strategy explained that due to the time lag between complaints being made to the Council and then decided on by the Ombudsman, it was anticipated that it would take a further year before the impact of improvement activity would be reflected in the Ombudsman's data. 71% of the upheld complaints in 2023/24 related to events that took place in previous years, less Ombudsman enquiries had been received so far this year compared to the previous year. 3. The Assistant Director - Registrations, Coroner's Service & Customer Strategy noted that despite having a higher volume of cases, no concerns were raised about the timeliness or quality of the Council's response to the enquiries. Around £540,000 was paid out in 2023/24 for financial redress, £345,000 of that was Ombudsman directed. The Council sought to review the process and oversight around financial redress, ensuring early action and positive interventions; using the learning gained from complaints. As part of the recommendations from the operational review into complaints handling, a Senior Complaints Practice Lead had been reinstated to build consistency in practice and to improve organisational oversight. The Customer Transformation Programme was an opportunity to take a cross-organisational approach to improve processes and performance. 4. Responding to a query by a Committee member on the Council’s compliance rate with the Ombudsman's recommendations, the Assistant Director - Registrations, Coroner's Service & Customer Strategy clarified that the Council complied with 100% of the Ombudsman’s recommendations; the Council was in line with its peers, it was rare for a council to refuse to take forward the recommendations. 5. The Chairman queried whether a complaint was only received by the Ombudsman if the complainant was unhappy with how it was being dealt with by the Council. The Assistant Director - Registrations, Coroner's Service & Customer Strategy explained that it was a legal right for anyone to take a complaint to the Ombudsman. The Ombudsman normally ... view the full minutes text for item 53/24 |
|
|
AUDIT AND GOVERNANCE COMMITTEE - ANNUAL REPORT 2023/24
For the Committee to review and comment on its Annual Report.
Additional documents: Minutes: Speakers: Amelia Christopher, Committee Manager Key points raised in the discussion: 1. The Committee Manager noted that the Annual Report for the period May 2023 - May 2024 provided assurance on how the Committee demonstrated impact and fulfilled its purpose. Undertaking oversight of the management of internal control systems was fundamental. The Committee provided a high level and independent focus on financial accounts, and audit and governance matters such as the Member Code of Conduct. The Committee's activities were in line with the core functions of the Terms of Reference and the report provided a summary of the items considered on the work plan. 2. The Chairman noted that it was a thorough report.
RESOLVED: The Committee reviewed and commented on the Annual Report 2023/24, commending it to October’s Council meeting. Actions/further information to be provided: None.
|
|
The Surrey County Council Arrangements for Dealing with Allegations of Breaches of the Member Code of Conduct form part of the Council’s Constitution. The Interim Monitoring Officer has reviewed the arrangements and identified a number of areas in which these could be further strengthened.
The arrangements also make provision for the appointment by Council of at least one Independent Person, whose views must be sought by the Council before it takes a decision on any allegation which it has decided should be investigated.
The current Independent Persons have notified the Interim Monitoring Officer that they will be stepping down at the end of their term in December 2024. This report sets out the process for recruitment for two new Independent Persons.
Additional documents: Minutes: Speakers: Asmat Hussain, Interim Director of Law and Governance, and Monitoring Officer Key points raised in the discussion: 1. The Interim Director of Law and Governance, and Monitoring Officer highlighted the agreement to a cross-party recruitment panel for the Independent Persons that would take place after the advertisement of the positions and shortlisting. 2. The Chairman thanked the appointees to the recruitment panel for volunteering.
RESOLVED: 1. Noted the new Code of Conduct for Councillors complaint form that has been implemented (Appendix A). 2. Agreed the proposed amendments to the Arrangements for Dealing with Allegations of Breaches of the Member Code of Conduct (Part 6(02) of the Constitution) set out in Appendix B to this report and recommended them to the County Council for approval. 3. Approved the updated Independent Person Role Profile set out in Appendix C to this report. 4. Noted the proposed recruitment process being undertaken. 5. Following an interview process, recommends the preferred candidates to the 10 December County Council meeting to be appointed as Independent Persons. 6. Agreed that the newly appointed Independent Persons be invited to attend meetings of the Audit & Governance Committee in an advisory capacity in relation to Member Conduct matters only.
Actions/further information to be provided: None.
|
|
|
DATE OF NEXT MEETING
The next meeting of the Audit and Governance Committee will be on 20 November 2024. Additional documents: Minutes: The date of the next meeting of the Committee was noted as 20 November 2024.
|