Agenda item

The purpose of this report is to inform Members of the Internal Audit reports that have been completed since this Committee last considered a Completed Internal Audit Reports item in May 2015 - as attached at Annex A. 

Declarations of interest:

None

Witnesses:

Sue Lewry-Jones, Chief Internal Auditor

Key points raised during the discussion:

1.    The Chief Internal Auditor explained that there was a high number of Internal Audit reports included because the committee had not considered Completed Internal Audit Reports since May 2015, focussing on the accounts at the July meeting. 

2.    A Member suggested that the proportion of areas where the audit opinion is ‘significant improvement needed’ or ‘unsatisfactory’ was high compared to previously and queried whether Internal Audit was being particularly diligent, whether the results suggested a stressed workforce, or was this just a particularly tricky batch of audits.  The Chief Internal Auditor felt that the answer would probably be mixed.  However, she stressed that the audit plan was risk-based and so Internal Audit was focussed on areas where there might be more challenges to address.  She would keep a watching brief on the result of audits and report back at the end of the year.

3.    In response to a question about the recent Ofsted report on Children’s Services, the Chief Internal Auditor explained the three lines of defence being: front-line workers; management checks; inspections by Internal Audit and external inspectors such as Ofsted.  She highlighted the Internal Audit report on the Children’s Safeguarding Quality Assurance Process which found that significant improvement was needed.  The Chief Internal Auditor now sat on the Quality Assurance workstream of the Improvement Plan, which was having regular meetings with the Quality Assurance Manager.

4.    Members discussed the impact of a confidentiality or silo culture within Children, Schools and Families and suggested that this did not help relationships internally or with partners.  There was concern expressed that the appropriate Select Committee, now Scrutiny Board, had not been given the information required or requested. 

5.    Henrietta Parker Trust: Members felt that, given the size of the Henrietta Parker Trust and the pressures on Legal Services and Finance, it would be appropriate to find an organisation from the voluntary and community sector to manage it.  Rotary Clubs and Parish Councils were suggested as examples of suitable organisations.  It was agreed to pass on these conclusions to the Chairman of Council Overview Board as that Board would be considering the issue of Trusts in more detail (Recommendations tracker ref: A34/15).

6.    Fuel Cards: Members were concerned that managers were being given more responsibilities and it was suggested that a more supportive approach could be considered eg a reminder could be circulated on a regular basis asking managers to monitor fuel card transactions.  A similar approach could be taken for other processes where managers are required to monitor or take action on a regular basis.  The Chief Internal Auditor agreed to pass these suggestions back to the service (Recommendations tracker ref: A35/15).

7.    Managed Print Service: It was suggested that a follow-up audit of implementation and savings be carried out (Recommendations tracker ref: A36/15). 

8.    Risk Management: The Risk and Governance Manager confirmed that guidance had been produced for managing risk in partnerships.

9.    AIS Care Assessments: The Chief Internal Auditor clarified that AIS was being replaced with Liquid Logic and that a member of her team was helping to advise and support the implementation.  It was suggested that a follow-up audit be undertaken (Recommendations tracker ref: A37/15).

10.  Agency Staffing: Members discussed the potential liabilities of long-standing locums being deemed as employees.  The Deputy Chief Finance Officer stated that he would be looking at the level of risk and amount of money involved. 

11.  Planning School Places: A Member highlighted that 600 in year admissions were in the system at the start of September and that this was a growing problem year on year.

12.  Fire Transformation Grant: The Chief Internal Auditor informed the committee that part of this grant was being used to support a current trial whereby firefighters will attend certain 999 calls on behalf of the ambulance service, when they are able to attend an incident more quickly.

13.  Trust Funds: The Chairman stressed that the comments to the Chairman of Council Overview Board should suggest that Trusts are looked at in the round. 

14.  Surrey Choices: The Chief Internal Auditor confirmed that a follow-up audit was scheduled in six months.

Action/Further information to note:

      i.        That the committee’s conclusions on Trusts be passed to the Chairman of the Council Overview Board.

     ii.        The Chief Internal Auditor to pass suggestions about a supportive approach to managers’ responsibilities, such as circulating reminders on a regular basis.

    iii.        The Chief Internal Auditor to schedule a follow-up audit of the Managed Print Service project’s implementation and savings.

   iv.        The Chief Internal Auditor to schedule a follow-up audit of the software used to manage adult social care. 

RESOLVED:

That the committee NOTES the report.

Committee next steps:

None.