Audit and Risk Management Committee Minutes

Date:
Tuesday 18 June 2013
Time:
10:30am
Place:
Council Offices, English Street, Dumfries

Attendance Details

Members:
Gillian Dykes (Chairman) - Mid and Upper Nithsdale
Jack Groom (Vice-Chairman) - Nith
Graham Bell - North West Dumfries
Archie Dryburgh - Annandale East and Eskdale
Andy Ferguson - North West Dumfries
David J McKie - North West Dumfries
George N Prentice - Castle Douglas and Glenkens
Willie Scobie - Stranraer and North Rhins
Davie Stitt - Abbey
Alastair Witts - Nith
Andrew S Wood - Mid and Upper Nithsdale
Officials:
Alex Haswell - Director Chief Executive Service
Richard Fox - Finance Officer (Audit)
Kevin Geraghty - Chief Internal Auditor
Judex Paul - Information Management and Complaints Manager
Sue White - Principal Health and Safety Adviser
Claire Thomson - Committee Clerk
In attendance:
Antony Clark - Audit Scotland
Item Number Item/Description
PUBLIC
1 SEDERUNT AND APOLOGIES

10 Members present

 

PROCEDURE - The Chairman, on behalf of the Committee, welcomed Antony Clark, Audit Scotland, to the meeting.

2 DECLARATIONS OF INTEREST

NONE declared

3 AUDIT SCOTLAND - ASSURANCE AND IMPROVEMENT PLAN 2013-16 - REPORT BY DIRECTOR CHIEF EXECUTIVE SERVICE

Decision

 

Having received a briefing from Audit Scotland and having considered the Assurance and Improvement Plan 2013-16 for Dumfries and Galloway Council:-

 

NOTED

 

3.1      that over the last year the Council had continued to take forward its improvement and service modernisation agenda, with work now taking place to embed its new priorities within Council and Community Planning Partnership key plans and strategies;

3.2      that the Council recognised the significant challenges facing the public sector as a consequence of reducing public finances and the wide-ranging public service reform agenda (welfare reform, community planning, health and social care integration, police and fire reform, college regionalisation) and had demonstrated a good corporate approach to planning for and managing the associated risks;

3.3     that the ongoing progress with its improvement agenda was reflected in further reductions in the scrutiny risk profile arising from the 2013 shared risk assessment, with one area highlighted where further information was required (housing and homelessness), which would be considered in more detail by the Council's Housing Sub Committee; and

3.4      that the significant scrutiny risk identified relating to business planning and financial management in the Social Work Services department was being addressed through the management action plan presented to the Social Work Services Committee on 21 February 2013.

4 HEALTH AND SAFETY PROGRESS REPORT - REPORT BY DIRECTOR CHIEF EXECUTIVE SERVICE

Decision

 

NOTED 

 

4.1      the progress in the corporate health and safety management arrangements within the Council and key events within the previous six months; and

4.2      that reports on health and safety issues would be included within six-monthly performance monitoring reports provided to Service Committees.
 

MEMBER - Willie Scobie entered the meeting during consideration of the following report - 11 Members present

5 ICO FOLLOW-UP DATA PROTECTION AUDIT REPORT- REPORT BY DIRECTOR CHIEF EXECUTIVE SERVICE

Decision

 

NOTED

 

5.1      the Follow-up Data Protection Audit Report, in particular, the revised overall audit opinion which confirmed an improved compliance rating of 'Reasonable Assurance' from the initial overall audit opinion of 'Limited Assurance';

5.2      that a review of the data protection implications arising at the rationalised Gretna customer service centre would be undertaken and reported back to this Committee, with the outcome informing changes at other customer service centres; and

 

5.3      that the Council’s ‘clear desk’ policy was being pursued.

6 CORPORATE RISK REGISTER UPDATE FOR 2013-14 - REPORT BY DIRECTOR CHIEF EXECUTIVE SERVICE

Decision

 

Having reviewed the Corporate Risk Register for 2013-14, which presented 7 risks in total:

 

NOTED

 

6.1      that three risks have been added - welfare reform; partnership working; and demographic change;

6.2      that one risk from the 2012 Corporate Risk Register had been deleted (demonstrating achievement of best value in the use of financial resources and property assets) as a result of implementation of robust business planning processes;

6.3      that two further risks had been transferred from the 2012 Register to service risk registers (decisions at a national level impacting on the Council and securing outcomes from investment in new information systems);

AGREED

6.4      that the annual process to update the Corporate Risk Register and that the related reporting arrangements contributed to the assurance that the Council's risk management arrangements were effective;
 

6.5      that reporting on the Corporate Risk Register to the Committee should be more frequent, to create the opportunity to discuss the individual risks in more depth; and

 

6.6      that all Service Directors be invited to attend and present their service Risk Registers to the Committee over the next 12 months.

7 INTERNAL AUDIT ANNUAL REPORT AND CONTROLS ASSURANCE STATEMENT FOR 2012-13 - REPORT BY DIRECTOR CHIEF EXECUTIVE SERVICE

Decision

 

NOTED

 

7.1      the Chief Internal Auditor's controls assurance statement for 2012-13 which advised that no significant issues had arisen through internal audit's testing programme and consideration of control issues and that an adequate level of control had been in place with an overall conclusion of a positive assurance for 2012-13; and

 

7.2      that Internal Audit would provide risk management support to the Health and Social Care Integration programme.

8 ANNUAL GOVERNANCE STATEMENT 2012/13 - REPORT BY DIRECTOR CHIEF EXECUTIVE SERVICE

Decision

 

NOTED the Annual Governance Statement for 2012-13, which had been signed by the Leader and Chief Executive, and which would be published as part of the certified annual accounts on 30 September 2013.

9 INTERNAL AUDIT REPORTS ISSUED - REPORT BY DIRECTOR CHIEF EXECUTIVE SERVICE

Decision

 

NOTED the four internal audit reports issued on budgetary control, electricity charges, Douglas Ewart High School Fund and Maxwelltown High School Fund and that the agreed action plans addressed the risks.

10 PERFORMANCE AGAINST INTERNAL AUDIT ACTION PLANS - REPORT BY DIRECTOR CHIEF EXECUTIVE SERVICE

Decision

 

NOTED the satisfactory progress made in implementing internal audit recommendations against action plans.

11 ANY OTHER BUSINESS DEEMED URGENT BY THE CHAIRMAN DUE TO THE NEED FOR A DECISION

Decision

 

NOTED that there was no business deemed urgent by the Chairman due to the need for a decision.