Agenda item
Quarterly Internal Audit Assurance Report
- Meeting of Meeting Moved from 17 September, Audit Committee, Thursday, 26th September, 2013 7.00 p.m. (Item 5.2)
- View the background to item 5.2
To note the contents of the report and to take account of the assurance opinion assigned to the systems reviewed during the period.
Minutes:
At the Chair's invitation the Head of Audit and Risk Management presented the report which summarised the internal audits undertaken for the period June - August 2013 and reported their assurance ratings. He advised that 16 audits had taken place and of these, nine extensive audits and three moderate audits had returned substantial assurance while four extensive audits had returned limited assurance. Officers of audits in the latter category were present to discuss findings.
Management and Control of Void Dwellings – Follow up Audit:
The Head of Audit and Risk Management informed the Committee that this audit had returned a limited assurance since four of the six areas of improvement identified in the previous audit had yet to be completed.
Molly Wallis, Interim Head of Neighbourhoods THH was present to answer questions. She informed the Committee that since she had been in-post she had worked to address the key recommendations relating to rigour in data recording and the management of void dwellings. She advised that the following actions had been taken:
· The voids process had been reviewed
· Additional training given to ensure procedures were understood
· Date, notice served on tenant / tenant signed V2 tenancy termination form now recorded on the SX 3 system
· Ensure that each property file contained all key documents necessary for the property and also a standard tick-list of the documents required
· Key documents included:
o gas inspection certificate
o electricity inspection certificate
o void keys record sheet
· Tick-list to be retained by the originating officer to verify that documents had been correctly scanned to the relevant property file
· Pre-determination inspections were carried out
· Practical measures to ensure that, in future, managers follow the void management procedures in full
· Past mis-filed data, where discovered, was corrected
She advised that, to ensure consistency, she monitored much of the work in person.
In response to Members questions the following information was provided:
Potential adverse impact of decent homes programme works on the time taken to prepare and re-let a void property:
· the Committee was informed that there was no impact because the works were administered under different criteria. Void properties were made ready for letting under ‘day-to-day repairs’ programme while the decent homes programme was administered via Surveyors Team. If a property that became void was assessed to require work under the decent homes renovation programme, it would then be removed from the day-to-day repairs list. Alternatively if a property in a block undergoing decent homes renovations became void, it would be either used as a respite property or withheld from letting until the works were complete.
Query relating to a delay of several months for work under the decent homes programme:
· the Committee was informed that this work was administered through the Surveyors Team and therefore a written answer would be provided to Councillor Mukit
Whether delays in the decent homes programme’s schedule of works resulted in a delay in lettings of the properties:
· the Committee was advised that the approach taken would be dependent on the length of the delay, for example if a six-month delay were anticipated, a property would be let rather than remain empty and the intended refurbishments carried out while the property was occupied. However for periods up to one month, the property would be withheld from letting and the works completed before re-letting. The Committee was further advised that there was provision to undertake works under the decent homes programme outside of the voids program.
Limited assurance returned on the management of voids.
· The Committee was advised that one of the key issues was how documents such as gas / electrical safety certificate were filed. Documents relating to a void property could be placed in either the property file, the new tenants’ file or the former tenants’ file, and therefore some documents had been difficult to locate. Training had since been given to ensure that all gas/electric safety certificates would be filed appropriately and could be easily traced. In addition the Head of Neighbourhoods had acted to correct misfiled certificates as they came to officers’ attention.
ICT Governance Systems Audit:
The Head of Audit and Risk Management informed the Committee that although ICT governance, on the whole was good, the audit had returned a limited assurance as improvement was needed around ICT security, security monitoring and reporting
ManjitSaroya, Head of ICT was present to answer questions.
He reported that:
· there had been progress on strengthening management tools and ICT strategy
· all new staff were required to undertake ICT security awareness training as part of their induction
· the recommendations of the Cabinet Office on information governance groups had had an impact on the management of Council data
· much work had been done on data sharing to ensure the Council passed its PSN assessments
In response to Members questions the following information was provided:
Risks around using a third-party manager to administered the Council's ICT infrastructure:
· the Committee was informed that Agilysis were tasked to ensure that all software was up-to-date and patches implemented regularly. These works were carried out to a planned schedule.
Terms and conditions required to be signed by new starters:
· the Committee was advised that these referred only to ICT usage and was a procedure implemented ensure that new starters understood the terms they were required to agree to.
How the Council could ensure that partners were operating best practice in terms of ICT security:
· the Committee was informed that:
o secure data vehicles were utilised such as GSX
o schools had their own specific security protocols
o secure protocols are being extended to the PCT via engagement and evaluation of data exchanges
o the risk management process was used as a key to identify where security issues might arise.
The Head of Audit and Risk Management advised that the outcomes of schools’ audits would be presented separately later in the agenda.
RESOLVED:
That the content of the quarterly audit report be noted taking account of the assurance opinion assigned to the systems reviewed during the quarter.
Supporting documents:
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5.2 Quarterly Assurance Report, item 5.2
PDF 96 KB
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5.2a appx1 Quarterly Assurance Report, item 5.2
PDF 48 KB
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5.2b appx2 Quarterly Assurance Report, item 5.2
PDF 122 KB