Agenda item

To consider and accept this report on the work of the Internal Audit Section in the period from 25 January 2023 to 31 March 2023, comment on the contents in accordance with members’ wishes, and support the actions agreed with the relevant service managers.

 

DECISION:

 

·         To accept the report

·         To support the actions that have already been agreed with the relevant services

·         To refer the 3 limited fields to the Improvement Working Group

-       Planning - Communication Arrangements

-       Deprivation of Liberty Safeguards Measures

-       Smallholdings

 

Note: Appendix 10 Staff Recruitment and Retention Arrangements. Actions.

Bullet point 3 'Move from the exit form system to the Council's Self-service system but continue to prioritise face-to-face interviews as a means of ascertaining individuals' reasons for leaving their jobs'

 

Submitted for information, a report by the Audit Manager updating the Committee on the internal audit work for the period from 25 January 2023 until 31 March 2023. It was highlighted that 12 of the audits in the existing plan had been completed and given a high assurance level; adequate or restricted.

 

            Each audit was referred to in turn.

 

            Matters arising from the subsequent discussion

 

·      Planning – Communication Arrangements – Restricted

-     The service's performance was insufficient in responding to planning applications.

-     Planning enforcement did not happen.

-     In the context of planning decisions made within eight weeks, although 70% of the applications that were checked had received a decision within the eight weeks, more information and details were required about the remaining 30%.

-     The report was disappointing, although not surprising. Although the report noted the problems of the Covid period and recruitment problems, how confident was the Audit Unit that the Planning Service could operate effectively?

-     A suggestion was made that enforcement arrangements were considered as an area to be examined.

 

In response to the observations, the Audit Manager noted that the Planning Manager had proposed the actions, and therefore concerns such as staffing resources had been considered in discussing the draft report and the action plan with the auditors.

 

·      Arrangements for Ash Dieback Disease

-     Risks to people and vehicles should over-ride biodiversity risks in the context of Ash Dieback disease.

 

·      Staff Recruitment and Retention Arrangements

-        The Adults, Health and Well-being Department's intention to establish exit interviews to be held through the self-service system was welcomed. This would provide a good opportunity to understand and improve working conditions, was good practice and an opportunity for individuals to express their views without reprisal. 

-        It was recommended that the auditors should return to the Service to suggest that personal interviews were held.

-        Although it was accepted that personal interviews were not always possible, and that self-service provided better circumstances, it was suggested that the individual could be offered the choice.

-        This was a bureaucratic process here to facilitate a process - it was not mandatory to complete the interview on the system - it was only voluntary. As a major employer, the Council should use personal interviews that could identify problems and ways to resolve them.

 

In response, the Audit Manager suggested that an additional piece of work could be undertaken on 'exit interviews' and report back to the Committee.  She reiterated that the Corporate Support Department was trying to improve the arrangements regarding exit interviews – personal interviews should be considered as a good opportunity to receive feedback, to return equipment and 'conclude' the employment.

 

·      Liberty Protection Safeguards

-     Concern about staff shortages and the use of agency staff could lead to a financial penalty

-     An expectation for BIA officers to conduct assessments 'in their own time' was unacceptable

 

In response, the Audit Manager noted that the aim was for BIA staff to allocate time to complete the DoLS work by using the overtime element - there was no expectation for them to work for free.

 

·      Smallholdings

-     The report was disappointing, and the situation had not improved at all over the past five years.

-     They were not considered to be a 'major' service and therefore better arrangements were to be expected with the problems resolved.

-     Inconsistencies with rent payments - Council negligence here.

-     Concerns had been highlighted by Members in the Full Council, but no response.

 

In response, the Planning Manager noted that this related to 39 houses and seven land-holdings and that it was not a high number within the smallholdings estate. There was acknowledgement and acceptance that the rental situation was one that should have been identified and resolved earlier - the auditor had been responsible for this finding.

     

            Thanks were expressed for the report.

 

            RESOLVED:

 

·         To accept the report

·         To support the actions that have already been agreed with the relevant services

·         To refer the 3 limited fields to the Improvement Working Group

- Planning - Communication Arrangements

- Liberty Protection Safeguards

- Smallholdings

 

            Note: Appendix 10 Staff Recruitment and Retention Arrangements. Actions.

Bullet point 3 'Move the exit form systems to the Council's Self-service system but continue to prioritise face-to-face interviews as a means of ascertaining individuals' reasons for leaving their jobs'