To submit the report of the Audit Manager.
Minutes:
Submitted - the report of the Audit Manager outlining the Internal Audit
section’s work for the period. It was noted that 14 reports on audits from the
action plan had been completed. Members were reminded, in accordance with what
had been approved by the Committee on 19 July 2018, that
risk scores and assurance levels were provided for each audit. It was noted
that members and officers had given positive feedback on the new system.
Consideration was given to each individual report and during the
discussion reference was made to the following main matters –
Safeguarding
Arrangements – Domestic Abuse
In response to a member’s observation in terms of when controls would be
in place, the Audit Manager noted that controls were in place but that they
required development. The Senior Revenue and Risk Manager added that an action
plan was in place to respond to the legislative requirement that all Council
staff complete the training.
A member noted that managers had a responsibility to ensure that staff
completed the training. In response to a member’s observation in terms of why
it was more difficult for field workers to complete the training, the Audit
Manager noted that office staff had easy access to the training module,
therefore, it was easier for them to complete the module compared to field
workers.
A member suggested that field workers should be able to gain access to
the training from home. In response, the Audit Manager noted that the Staff
Development Module was currently still in development and, ultimately, it would
enable all staff to gain access to the training module. She reminded members
that follow-up work would be undertaken on the audit and the results would be
reported upon.
Arfon Leisure Centre
A member referred
to the fact that every member of staff was responsible for completing stock
checks, he suggested that a specific staff member or even the manager should
complete the checks. In response to the observation, the Audit Manager
explained that staff worked on a rota basis, therefore, it was not possible for
a specific staff member to complete the checks. She confirmed that every member
of staff had received training to undertake stock checks.
Income Collection –
Maritime and Country Parks
A member drew
attention that the Maritime and Country Parks Officer noted that he was
confident that figures provided by the 'Adra'
company, which collected income from entry fees to Parc
Glynllifon on behalf of the Maritime and Country
Parks Service, were accurate even though there were no checks on the number of
visitors or the money collected. The member noted that evidence should be
obtained to support the officer's opinion.
In this case, the Head of Finance Department noted that the cost of
having an officer checking the income collected from entry fees to the park
would be much higher than any additional income that would be collected.
A member noted the need for the Maritime and Country Parks Officer to
provide more information about the matter. In response, the Audit Manager noted
that the auditor had examined quarterly invoices by the company which noted how
much money was transferred to the Council and that he was comfortable with the
situation. She emphasised that the income collected by the company on behalf of
the Council was not substantial.
The Senior Revenue and Risk Manager explained that the auditor had
examined the risk to the Council during the audit and that the risk in relation
to income was a fundamental matter which would have been addressed.
A member noted
that a balance had to be struck between staff costs to check the income and the
level of income collected. They would have to live with the risk when making a
decision.
A member noted
that he accepted the risk but perhaps a figure would have been helpful to draw
a comparison.
In response to a
member’s observation, the Audit Manager noted that a quick audit could be
undertaken in terms of the invoices and income level and report back to the
Committee at the next meeting.
Plas y Don
A member noted
that the same themes were regularly highlighted in audits for Residential
Homes. A member added that the Controls Improvement Working Group, at its
meeting on 23 October 2017, had discussed a summary of the themes highlighted
in Residential Homes audits with the Cabinet Member
for Adults, Health and Well-being and the current Head of Adults, Health and
Well-being Department.
The Audit Manager explained that there had
been an improvement in the situations of Residential Homes. She reminded
members that the Head of Adults, Health and Well-being Department had explained
at a meeting of the working group that staffing matters was a factor,
especially with staff recruitment in the Dwyfor and
Meirionnydd areas.
A member noted
that he welcomed the improvement in the situations of Residential Homes. He
added that if there were trends, there was a need to look at the broader
picture and that it was a matter that needed to be addressed by Senior Managers
rather than managers of the homes.
A member noted, as the same matters arose,
that the Care Scrutiny Committee should be asked to look further at the themes
that were highlighted in audits of Residential Homes.
Plas Hedd
A member noted that it was essential for
staff to complete the 'Domestic Abuse' e-learning module bearing in mind where
they worked. In response, the Audit Manager noted that this was only one
training module and that it was a small proportion of the work and tests
associated with work carried out by staff in residential homes.
A member noted that a training framework
with a specific timetable should be in place. He added that he recognised that
staff in the residential homes were extremely busy and that it was difficult to
allocate time for training. In response, the Audit Manager drew attention to
the fact that an agreed action step to ensure that every staff member completed
the 'Domestic Abuse' e-learning module and that a timetable was in place.
In response to an observation by a member
regarding the risk to the Council due to a lack of training, the Audit Manager
emphasised that reference was made to one training module in this case and that
a wide range of training, such as safeguarding and manual handling, needed to
be completed by staff.
A member referred to the Council's intention
to establish a care field career path, noting that it had not yet been
realised. He noted that a career path in the care field would encourage
individuals to work in the field and the Care Scrutiny Committee should be
asked to consider the matter.
Cefn Rodyn
In response to a member’s
observation regarding the temperature of the medication fridge, the Audit
Manager noted that the fridge's temperature was recorded daily.
RESOLVED:
(i)
to accept the report on the work of the Internal Audit for the period of
1 April 2018 to 14 September 2018 and to support the agreed actions that have
already been submitted to the managers of the relevant services;
(ii)
that the Internal Audit Service complete a quick
audit of the invoices and income level in relation to entry fees to Parc Glynllifon and to report
back to the Committee at the next meeting;
(iii)
to ask the Care Scrutiny Committee to consider:
Ø further examining the
themes highlighted in audits for Residential Homes;
Ø examining the situation in terms
of establishing a career path in the care field in order to encourage
individuals to work in the field.
Supporting documents: