Agenda item
Quarterly Assurance Report - September to November 2008
To receive presentations from services in relation to the Nil/Limited Level Assurances contained in the last Internal Annual Audit Report and the June to August Quarterly Assurance Report.
These presentations were requested at the last meeting in September. Items 5 and 7.1
Minutes:
Minesh Jani (Service Head Risk Management) introduced the report highlighting the key points. He reported that overall, based on work performed in the year to date, he was able to give a substantial level of assurance over the systems and controls in place within the Authority.
In considering the report:
- The Committee queried why some of the recommendations had yet to be implemented? Concern was expressed at this as some related to follow up Audits;
- Reported that some of this issues stemmed from changes in personnel where key officers had moved services;
- Considered that steps be taken to ensure the services subject to Audit were made fully aware of the recommendations, especially prior to follow up checks, to facilitate preparations.
The Committee also noted that the percentage of recommendations implemented at the follow up stage had remained at around 74% over the last three quarters. The Committee stressed the need for improvements in this area. It was therefore Agreedthat a short report detailing ways of improving this percentage would be prepared for considered by the Committee.
Action by: Service Head Risk Management (M. Jani)
In relation the Appendices, the Committee considered updates from services as set out below:
Bryan Jones, (Service Head, Environmental Control, Communities, Localities and Culture) reported on the Penalty Charge Notice (PCN) Audit. He reported that there were currently 6 ongoing parking reviews all nearing completion. The one outstanding action related to the problem of persistent offenders/evaders. However there was a national campaign aimed at tackling this problem which should improve local performance.
He also anticipated that the new ICT system highlighted in the report would facilitate joint working across parking services and allow for a more coordinated approach.
It was also considered whether the issue of PCN performance should be referred to the Performance Review Group who may wish to undertake a further review of performance. The issue was also considered on a regularly basis by the Directorate’s Management Board where it was a standard item on the agenda.
Mr Jones also reported the current position for the Highways Inspections Audit which was the subject of a supplemental report. He advised that the outstanding recommendations concerned the development of an Asset Management System which had yet to be implemented. The Committee stressed the need for improved management oversight of highway projects.
Alan Finch (Service Head Corporate Finance, Resources) commented on the Follow up Audit on the systems and controls for Bank Account Reconciliation (page 20 of the Appendix). He reported that five of the recommendations had yet to be implemented. The Committee expressed disappointment at this, but were reassured that all of the recommendations should be fully implemented by January 2009 at the latest.
The Committee asked about the number of Bank accounts held by the Authority. Mr Finch Agreed to obtain this information and report back to the Committee with the details.
ACTION: Service Head Corporate Finance, Resources (A. Finch)
In considering the Procurement Systems Audit (pg 19 of the Appendix), it was noted that the new strategy and policy had been completed and was now to be submitted to the Competitions Board. In terms of contract selection, it was noted that a new toolkit approach was now being used. The introduction of E-tendering would also improve performance.
Chris Naylor (Corporate Director, Resources) referred to the Limited assurance ratings assigned to the Resources directorate. He drew attention to the review of the Procurement Process and the new Requisition to Pay system referring to how they would improve service delivery.
Having considered the presentations, it was RESOLVED: That the contents of the report and the assurance opinion assigned to systems reviewed during this period be noted.
ACTION BY: Minesh Jani (Service Head Risk Management)