Agenda item

To consider the report of the assurance manager (attached).

The committee considered the assurance manager’s report on internal audit activity for the first quarter of 2017/18. Twelve audits and one follow up review had been completed during the quarter, with six of the audits receiving limited assurance.

Several of the services which had received limited assurance ratings were the responsibility of Capita. Although Capita staff had been requested to attend to provide further information and answer questions on progress in implementing internal audit’s recommendations, none were present. It was agreed that the co-chairmen should send a letter to Capita’s local government services director expressing the committee’s disapproval at the failure of Capita to send representatives, seeking assurances that this would not happen again and requesting detailed information on actions taken or to be taken to implement the audit recommendations.

HR Recruitment (Second Report) 2015/16

The Committee was concerned that, with regard to high risk recommendations relating to pre-employment checks and service area recruitment procedure, there appeared to be no improvements post 1 October 2016.

Payroll 2016/17

In response to a member’s question about the recent overpayments of allowances to Vale of White Horse Councillors, the committee was informed by officers that Capita had stated that this had been caused by a data migration issue.  Given the considerable sums involved, the committee was concerned at Capita’s apparent failure to carry out the appropriate checks.  It was agreed that the co-chairmen’s letter should seek assurance from Capita that there was a robust control environment in place to ensure that such errors would not happen again.

With regard to Recommendation 9, approval of monthly data, the Acting Chief Executive reported that a deputy S151 officer would be recruited as soon as possible.

Training and Development (Second Report) 2016/17

Members reiterated previously expressed concerns about the lack of information about the implementation of recommendations.

Performance Management 2016/17

In response to members’ questions, officers confirmed that this was a council function and provided additional information regarding the management response to Recommendation 2.

Environmental Protection 2016/17

In response to a member’s question about the reasons for the differences between South and Vale’s processes for issuing fixed penalty notices, the committee was advised that both councils were happy with their current procedures.

The Acting Chief Executive reported that the delay in implementing some of the report’s recommendations were due to capacity issues arising from the head of service post remaining vacant. He stated that his priority was to work with councillors to develop a long-term management structure that addressed current capacity gaps at head of service level and elsewhere.

Overdue recommendations

Appendix 2 to the report summarised all overdue recommendations within each service area.

The committee was advised that, in future, this appendix would identify which of the recommendations related to service areas managed by contractors and details of original and revised implementation dates. At its previous meeting, the committee had requested that, in future, this appendix should identify the high risk overdue recommendations. As it had not been possible to include this information this time, the committee was advised that 14 of the 59 overdue recommendations were high risk.

RESOLVED: to

(a)       note the internal audit management report for the first quarter of 2017/18; and

(b)       agree that the co-chairmen send a letter to Capita:

·      expressing the committee’s disapproval at the failure of Capita to send representatives to the meeting and seeking assurances that this would not happen again;

·      requesting detailed information on actions taken or to be taken to implement the audit recommendations; and

·      seeking assurance that there was a robust control environment in place to ensure that recent payroll errors will not happen again.