Agenda item

To submit the report of the Audit Manager.

Submitted - the report of the Audit Manager outlining the Internal Audit section’s work for the period. It was noted that 10 reports on audits from the action plan had been completed.

Reference was made to the follow-up work. It was highlighted that during 2016/17 agreement was reached on 205 action steps to be completed by 31 March 2018. It was noted that acceptable action had been taken on 26.83 of the agreed steps. It was reported that, to date, a request for the progress on the actions of 104 agreed steps had been sent and that 86 had been acceptably actioned, i.e. 82.5%. It was explained that follow-up arrangements were in place if a response was not forthcoming on the actioning of the agreed steps.

Each individual report was considered and, during the discussion, reference was made to the following matters –

Training New Members

In response to a member’s observation, the Audit Manager noted that an inclusive programme had been created for new members with an opportunity for members to contact the Learning and Development Service to request additional training.

A member noted, as the Chair of Democratic Services, that he had attended a meeting with the Chairs of Democratic Services Committees along with lead Officers in the field, which highlighted the Council as being one of the best providers of training for new members. He confirmed that there was opportunity for members to contact the Learning and Development service to request additional training and the Democratic Services Committee could consider promoting the opportunity.

Glan Wnion Leisure Centre

In response to a comment by a member regarding awareness of the Safeguarding Adults and Children procedures among staff, the Audit Manager stated, in accordance with a request by the Safeguarding Operation Group, that an audit would be conducted on field workers' awareness of safeguarding procedures. She explained that many staff members outside the main offices did not have an e-mail address or access to online learning modules and, therefore, received information from their manager and at area meetings. She stated that perhaps the best way to improve understanding of the safeguarding arrangements was to distribute pamphlets and hold conversations, and discuss examples.

Plas Maesincla

In response to a member's question as to why the audit had yielded a category C rating rather than B, since important issues were being highlighted, the Audit Manager stated that this was the auditor's opinion and that she supported it. The Head of Finance Department added that the auditor's opinion needed to be accepted and respected and that the Committee, should they so wish, could consider the audit at the Controls Improvement Working Group or address the audit after the follow-up work had been completed.

A member noted that the issues mentioned in this audit arose consistently in audits for residential homes and that the same problems were being highlighted.

A member mentioned that a number of issues were being highlighted around training and that workers training needs should form part of their annual review. In response, the Audit Manager noted that it was the Residential Homes Managers' responsibility to ensure that staff had received the necessary training and that the Area Manager also had a responsibility to ensure that residential homes complied with requirements.

A member referred to the action step 'Ensure that an evacuation exercise is carried out annually', noting that the evacuation exercise should be held as soon as possible and take place every year thereafter. In response, the Audit Manager stated that following an audit a timetable for implementation was set and that there was a requirement to hold an evacuation exercise by 1 December 2017 and take place annually thereafter.

A member stated that audits were positive and that follow up work was vital in ensuring that the agreed action steps were carried out.

In response to a member's question about thematic reports, the Audit Manager stated that the Internal Audit Unit had, in the past, carried out audits based on themes but full residential home audits were now carried out in three year cycles. She added that it was necessary to consider the best use of the unit's resources but that she could highlight these to the department if desired. She emphasised that it was the responsibility of the Registered Manager of the Residential Home to take action.

A member highlighted that the audit of Plas Hafan Residential Home had received a category A rating, showing good management and maintenance arrangements, and that these should be shared as good practice to other care homes.

A discussion was held on the arrangements for dealing with audits that received a category C rating, along with the themes that often cropped up in Residential Home audits.

RESOLVED:

(i)     to accept the report on the work of the Internal Audit for the period from 1 July 2017 to 15 September 2017 and to support the agreed actions that had already been submitted to the managers of the relevant services;

(ii)    that the Chairman and Vice-chairman of the committee, along with Councillors Dewi Wyn Roberts, Angela Russell and Cemlyn Williams along with Sharon Warnes serve on the Working Group to consider the audits that have received a category ‘C’ rating;

(iii)  that the Cabinet Member for Adults, Health and Well-being and the Head of the Adults, Health and Well-being department attend the Working Group to consider the themes that are often highlighted in Residential Homes' audits, and invite the relevant officers to the meeting;

(iv)  that it was the responsibility of any member unable to attend the Working Group to arrange a substitute.