Agenda item

Internal Audit - Monitoring Report 31 October 2019.

Minutes:

Gillian Edwards, Audit and Risk Manager introduced the report to update the Committee on the progress of the 2019/20 Internal Audit Plan and to advice on progress made in implementing previously agreed recommendations.  She noted that audits had been completed for Procurement Short Review, HR and Commercial Properties.  There were two high priority findings for this period.  One relating to the HR audit and the very prescriptive process of pre-employment checks, where the document copies had not been signed and dated in the correct format.  This has been discussed with the Business Unit Leader and the guidance will be followed; a follow up report will be received by the Committee in March 2020.

 

The Senior Auditor noted that the Procurement short review had highlighted that whilst all relevant contracts had been placed on the Contract Register, the e-form on the intranet had not been routinely completed for all purchase orders over £5,000. The Business Unit Leaders would remind staff of the need to comply with the Transparency Code 2015.  She noted that a follow up report will be received by the Committee in March 2020.

 

The Committee were advised that during the audit for Commercial properties it was noted that the procedure notes were out of date and copies of tenant’s insurance documents had not been received for some properties.  She confirmed that all tenanted properties were insured.

 

The Senior Auditor noted that the updating of procedure notes for Housing Benefits to reflect the new structure and processes was still ongoing and should be completed by 31 March 2020.   She advised that she had received assurances from the Business Unit Leader for Revenues and Benefits that the appropriate Academy access rights for all Housing Benefit staff have been reviewed.  This will be confirmed in the forthcoming Housing Benefit audit in December 2019.  She highlighted the audits that are currently planned or are in progress, and the team are on target to be substantially completed by 31 March 2020.

 

Following a Member’s question the Senior Auditor confirmed that HR has to keep annotated copies of paper documents as part of the pre-employment checks.  The Member suggested that these could be scanned and uploaded to the HR system. 

 

In response to a Member’s regarding the Contracts Register, the Head of Corporate Resources advised that enquiries would be made to investigate whether the register could be updated automatically when purchase orders are raised in excess of £5,000.  He agreed to check if this is possible.

 

A Member asked how frequently Business Unit Leaders review their procedures as some issues seemed to appear fairly frequently in audits.

 

The Senior Auditor advised that the issue arose when the CenSus partnership was disaggregated and new procedures were necessary.  She noted that Business Unit Leaders are reminded quarterly of their commitment to implement any recommendations from audits and they are currently working on them.  She advised they had many issues to deal with redesignating roles and responsibilities and training new staff.

 

The Chairman asked for historical information on the CenSus Partnership. 

 

The Head of Corporate Resources confirmed it had been a partnership to provide a joint revenue and benefit service between Adur, Horsham and Mid Sussex Districts Councils.  

The partnership had been disaggregated after Adur District Council left in April 2018 and Horsham left in September 2018.  He noted that Mid Sussex is now a stand-alone local authority providing a revenue and benefits service.   The Council had to train many new recruits after staff left the joint partnership, and new local procedures had to be written.  He reminded the Chairman that Business Unit Leaders can be invited to attend Committee meetings.

 

As there were no further questions the Chairman took Members to the recommendation in the report which was unanimously approved.

 

RESOLVED

 

The Committee received and noted the report.

 

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