Venue: By Zoom. View directions
Contact: Kath Flanagan-Jones Senior Scrutiny Officer
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Apologies To receive apologies for absence. Minutes: Apologies for absence were received from: County Councillors James Gibson Watt Leader and Portfolio Holder for an Open and Transparent Powys and William Powell. Officers: Mari Thomas Deputy Head of Finance, Lynette Lovell, Director of Education and Children’s Services. Ian Halstead - Swap Audit, Kevin Price - Swap Audit, Rupert Bamberger - Swap Audit.
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Disclosures of Interest To receive any disclosures of interest by Members relating to items to be considered at the meeting. Minutes: There were no Declarations of Interest from Members relating to items to be considered on the agenda.
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Minutes and Action Log PDF 237 KB (i) To authorise the Chair to sign the minutes of the previous meeting held as follows as a correct record: · 12th January 2024.
(ii) To receive and consider the Action Log. Minutes: Governance and Audit Committee resolved to authorise the Chair to sign the minutes as a true reflection of the meeting held on 12th December 2023, once the corrections on pg. 19 to attribute comment to the Cabinet Member for a Learning Powys and pg. 26 re: Newtown Partnership had been made.
Cllr P Lewington requested it be noted the disappointment that the Audit report into Red Dragon had again been delayed until the next meeting on the 18th April 2024.
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Audit Wales - Work Programme & Timetable PDF 283 KB To receive the Work Programme and Timetable from Audit Wales. Additional documents: Minutes: Background: Audit Wales gave a brief update on their work programme and timetable and advised that links were available on the Audit Wales website for the quarterly reports.
Issues Raised by the Committee and Responses Received:
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Internal Audit Quarterly Update PDF 1 MB To receive and consider the Internal Audit Quarterly Update. Minutes: Background:
· The work undertaken by the SWAP Audit team was focussed on the links between the Corporate and Sector risks, in alignment with the Authorities corporate goals and any themes in relation to the organisational health. · 82% of the opinion work carried out confirmed the internal control environment was effective. · In this quarter there have been no significant risks reported that require the Committees attention. · At the time of this report there were 87 management actions which required remediation, this figure now stood at 57. · The Internal Audit Working Group meeting earlier this week and received a demonstration of the SWAP Dashboard.
Issues Raised by the Committee and Responses Received:
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Planning Process Document PDF 742 KB To receive and consider the Planning Process Document. Minutes: Background: · In agreement with the Chair of the Committee SWAP would reflect on its annual planning process within the dynamic and evolving nature of the Public Sector. · The rolling plan has to hold a degree of flexibility to audit areas that are relevant to PCC at the appropriate time rather than having a list of audits planned many months in advance which also allows for continual risk assessment. · The rolling plan would facilitate more regular communication about audit coverage, alongside the dynamic dashboard providing daily updates.
Noted: The Committee were unanimously in favour of approving the new SWAP Annual Audit rolling plan, as per the Committees Terms of Reference to approve the Annual Audit.
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Supplementary Payments PDF 322 KB To receive and consider report on the Supplementary Payments. Minutes: Background: SWAP Audit are aware that Management within the Council are considering questions that have been put forward by the Committee and that this report will become a focus of the Internal Audit Working Group to gain the necessary assurance.
The S151 Officer gave assurance, in regard to the entry, that it was appropriate, when individuals are made redundant from the organisation, of which there are clear policies in place to process and assess. There is a difference between Local Government and Teachers Pension Schemes. The entry to be discussed relates to Teacher Pension Scheme, where for Local Government Scheme, pension costs attributable to releasing individuals early in line with policy and those are capitalised when they occur. In terms of teachers, those costs are met on a monthly ongoing basis and hence the budget is available to meet those costs as those teachers are released. It was felt that those questions raised should be discussed in the Working Group forum, and feedback conclusions to the Committee.
Action - Supplementary Payments to added to the Internal Audit Working Group programme.
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Strategic Risk Management Quarter 3 Report PDF 90 KB To receive and consider the report of the Cabinet Member for Finance and Corporate Transformation. Additional documents:
Minutes: Background: The report sets out information to allow Cabinet to review the risks across the whole organisation and any escalation, de-escalation, and any recommendations.
Issues Raised by the Committee and Responses Received:
Action: The S151 Officer and the Strategic Risk Officer will take an action away to ensure ... view the full minutes text for item 8. |
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Corporate Safeguarding Board Activity Report PDF 132 KB To receive and consider the report of the Director of Social Services. Minutes: Background: · Committee were informed that this paper would be presented to the Health and Care Scrutiny Committee on the 8th March. · The Corporate Safeguarding Board review progress of actions on the Safeguarding Regulatory Tracker, all actions were either completed or in progress. · Highlighted within the Regional Safeguarding Annual Report was Powys CC’s work on Child Exploitation, the strategy for which has been rolled out across other regions. · The National Safeguarding Week held in November was considered very successful. · The Boards focus in December was on Child Performance Licencing and Child Work permits, this included a spotlight on safeguarding to raise awareness, and further awareness raising scheduled for the Royal Welsh Show. · There has been an increase in the number of 16-17yr olds in need of interim accommodation due to homelessness. The Board has requested data of Powys Care Experienced young people will be included in future reports to retain a focus. · There has been a significant improvement (72%) in contact with Elective Home Educated (EHE) children and families. · Powys will be participating in a pilot on Children Missing Education. · In relation to Safeguarding Compliance, concern was raised of School staff compliance with VAWDASV level 1 with training, the Board were informed of ongoing work to improve the position, with a steering group established and Level 3 trained staff to support across the schools service. · For noting the JICPA (Joint Investigation on Child Protection Arrangements) was completed in October 2023, the report has been received and will be on the Safeguard Boards agenda for the March meeting.
Issues Raised by the Committee and Responses Received:
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Risk Assurance - Procurement and Contracts PDF 624 KB To receive and consider an update from the Professional Lead – Procurement and Commercial Services. Minutes: Background: Presentation provided by Officers and forwarded to Committee Members.
· Red Dragon Audit is scheduled to be discussed at the April meeting. · To provide a greater assurance that Project Bank accounts were covered in the Commercial Risk Register. · Council’s 3rd Party expenditure is circa £250m per annum · At any given time, the Council has approximately 1000 live contracts in place. · The Council commercial activity has traditionally focussed on tender processes but limited pre-procurement strategy development and contract management. · Commercial Services were now embedding an improvement programme across the full Commercial Lifecycle to deliver: o All contract Service objectives o Reduced supply chain risks and o Increased benefits realisation, including Social Value and Net Zero.
· A monthly Commercial Performance and Risk Board has been established, to provide oversight, challenge, and support. · Developed a new monthly Commercial Dashboard to provide commercial performance and risk information, shared with Board members, CLT and the Portfolio Holder. · Implemented a new Contract Management Improvement Programme. · Established a Green Network to develop a Community of Expertise from across the Council to drive Net Zero targets.
Issues Raised by the Committee and Responses Received:
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Self-Assessment Action Plan update PDF 87 KB Minutes: Chair reminded Committee Members of the hybrid option for the Self-Assessment meeting scheduled for the 15th March, which would be reflecting on the Committee’s work over the last year.
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Draft Terms of Reference - Whistleblowing PDF 68 KB To receive a draft Terms of Reference in regard to Whistleblowing. Minutes: Issues Raised by the Committee and Responses Received:
Action: - Whistleblowing Task and Finish group to be established.
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Fraud - IAWARD0009 To receive a presentation on the Fraud Risk deep dive. Minutes: Background: · Presentation provided to meeting and slides shared with Committee Members following the meeting. · The risk was first identified in 2022, following the fallout out of the “mini budget” of September 2022. · With ensuing soaring inflation, high interest rates and a cost-of-living crisis, the risk of fraud increased. · Over 120 Investigations had been undertaken in the period April – December 2023.
Issues Raised by the Committee and Responses Received:
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Working Groups To receive verbal updates from the Chairs of the Working Groups:
· HTR · HOWPS · Capital · Internal Audit Minutes: Internal Audit Working Group: - Had a very good session earlier in the week on the new Dashboard, for those unable to join the session was recorded.
The Capital Working Group: - Met last week met and discussed the initial draft of a final report. The subject matter was wide ranging with informative engagement from various officers, which will result in a very constructive report. There will be no requirement to hold further meetings and a final report will be shared with Group Members and Committee in due course.
The HOWPS and HTR Working Groups: - Recommendations reports were presented to Cabinet this week. There has been favourable feedback formally on the HoWPS recommendations and awaiting equally favourable response in relation to HTR. Both papers will be presented to Committee at the next meeting.
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To consider the forward work programme (attached) and consider whether any additional items should be included. Minutes: Action: Request to add timetable an annual report on Whistleblowing, Chair felt this could sit alongside the Complaints report.
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Exempt Item RESOLVE to exclude the public for the following item of business on the grounds that there would be disclosure to them of exempt information under category 3 of The Local Authorities (Access to Information) (Variation) (Wales) Order 2007).
The Monitoring Officer has determined that category 3 of the Access to Information Procedure Rules applies to the following item. His view on the public interest test (having taken account of the provisions of Rule 14.8 of the Council's Access to Information Rules) was that to make this information public would disclose information relating to the financial or business affairs of any particular person (including the authority holding that information).
These factors in his view outweigh the public interest in disclosing this information. Members are asked to consider these factors when determining the public interest test, which they must decide when considering excluding the public from this part of the meeting. Minutes: RESOLVED to exclude the public for the following item of business on the grounds that there would be disclosure to them of exempt information under category 3 of The Local Authorities (Access to Information) (Variation) (Wales) Order 2007).
The Monitoring Officer has determined that category 3 of the Access to Information Procedure Rules applies to the following item. His view on the public interest test (having taken account of the provisions of Rule 14.8 of the Council's Access to Information Rules) was that to make this information public would disclose information relating to the financial or business affairs of any particular person (including the authority holding that information).
These factors in his view outweigh the public interest in disclosing this information. Members are asked to consider these factors when determining the public interest test, which they must decide when considering excluding the public from this part of the meeting.
Proposed by John Brautigam and seconded by Cllr Graham Breeze with all Committee Members in agreement.
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Regulatory Tracker Quarter 2 update To receive and consider the report of the Leader and Cabinet Member for an Open and Transparent Powys. Additional documents:
Minutes:
The Committee received a presentation on the Regulatory Tracker from Catherine James Head of Transformation and Democratic Services.
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