Audit, Risk and Scrutiny Committee Minutes

Date:
Thursday 21 June 2018
Time:
10:30am
Place:
Council Offices, English Street, Dumfries

Attendance Details

Members:
Ian Carruthers (Chairman) - Annandale South
Jane S Maitland (Vice-Chairman) - Dee and Glenkens
Graham Bell - North West Dumfries
Karen Carruthers - Annandale East and Eskdale
Patsy Gilroy - Dee and Glenkens
Iain Howie - Castle Douglas and Crocketford
David Inglis - Mid Galloway and Wigtown West
Malcolm Johnstone - Nith
Graham Nicol - Mid Galloway and Wigtown West
Matthew Ronnie - Mid and Upper Nithsdale
Willie Scobie - Stranraer and the Rhins
Officials:
Rhona Lewis - Head of Legal and Democratic Services
Stewart Clanachan - Human Resources Manager
Richard Fox - Finance Officer (Audit)
Kevin Geraghty - Internal Audit Manager
Alastair Johnson - Service Leader Estate Management
Sheila Mohan - Policy Officer
Ieuan Morgan - Treasury and Capital Manager
Andrew Reed - Policy Officer
Lindsay Wilson - Financial Transactions Manager
Sue White - Principal Health and Safety Adviser
Claire Rogerson - Governance Officer
In attendance:
John Boyd - Grant Thornton
Item Number Item/Description
PUBLIC
1 SEDERUNT AND APOLOGIES

11 Members present.

2 DECLARATIONS OF INTEREST

NONE declared.

3 MINUTE OF MEETING OF 10 APRIL 2018

PROCEDURE - The committee was advised that a report on the complaints process for councillors would be presented to Members at the next meeting of the Audit, Risk and Scrutiny Committee.

 

Decision

 

APPROVED subject to an amendment at the procedure note at item 3 - Minute of meeting of 14 December 2017 to read as follows:-

 

PROCEDURE - The Committee was advised with regard to item 5.4 and 5.5.2 of the minute, as detailed below. that a report would be presented to Members at the next meeting of the Audit, Risk and Scrutiny Committee in June 2018:-

5.4 that a report be brought back to this committee for the consideration of a complaints process for councillors
5.5.2 how the Council's complaints process links with both that of NHS Dumfries and Galloway and the Dumfries and Galloway Integration Joint Board.”
 

4 DUNDEE CITY COUNCIL FRAUD - REPORT BY HEAD OF FINANCE AND PROCUREMENT AND BUSINESS AND TECHNOLOGY SOLUTIONS MANAGER

Decision

 

NOTED

 

4.1     the facts of a recent significant fraud which occurred at Dundee City Council;

 

4.2     that a review on the lessons for other councils to consider made by Audit Scotland in their report had been undertaken by Finance & Procurement and Business & Technology Solutions;

 

4.3     that the review concluded that a comprehensive and robust system of internal control which would aim to prevent and detect fraud currently exists for Purchase Ledger systems and processes, and consequently, the likelihood of a similar fraud as that perpetrated at Dundee City Council occurring had been assessed as low risk; and

 

4.4     AGREED that the Council’s Purchase Ledger systems and how they work to prevent and detect fraud would be accessible to Members of this committee.

5 LOCAL AREA NETWORK - LOCAL SCRUTINY PLAN 2018/19 - REPORT BY HEAD OF LEGAL AND DEMOCRATIC SERVICES

Decision

 

5.1 AGREED to receive a briefing to consider the Local Scrutiny Plan 2018/19 for Dumfries and Galloway Council, as attached as an Appendix to this report;

 

5.2 REQUESTED that comments raised with particular regard to expanding on paragraph 10 and the last bullet of paragraph 11 of the Local Scrutiny Plan 2018/19 be fed back to Audit Scotland; and

5.3 AGREED that a report be brought back to the next meeting to provide the opportunity for Audit Scotland to address the committee, and the issues raised, on the Local Scrutiny Plan 2018/19.

6 DUMFRIES AND GALLOWAY DRAFT ANNUAL GOVERNANCE STATEMENT 2017/18 - REPORT BY DIRECTOR CORPORATE SERVICES

Decision

 

6.1     NOTED the draft Annual Governance Statement for 2017/18 (Appendix to the report);

 

6.2     AGREED to delegate to the Head of Legal and Democratic Services to arrange the necessary revisions to the draft Annual Governance Statement following today's meeting and noted that the updated version would be circulated to Members for consideration prior to the Full Council meeting on 26 June 2018; and

 

6.3     NOTED that the Annual Governance Statement for 2017/18 will form part of the unaudited financial accounts presented to Full Council on 26 June 2018.
 

7 VALUATION OF THE COUNCIL ASSETS - REPORT BY HEAD OF ORGANISATIONAL DEVELOPMENT, HUMAN RESOURCES AND ASSETS

MEMBER - Karen Carruthers left the meeting.  10 Members present.

 

Decision

 

NOTED the information provided in relation to the Council Asset Valuation Process.

8 HEALTH AND SAFETY PROGRESS REPORT - REPORT BY THE HEAD OF ORGANISATIONAL DEVELOPMENT, HUMAN RESOURCES AND ASSETS

MEMBER - Graham Bell left and Karen Carruthers re-entered the meeting.  10 Members present.

 

Decision

 

NOTED

 

8.1      the overall summary of performance for the Corporate Health & Safety Plan for the period 1 October 2017 to 31 March 2018 (Appendix 1 to the report); and

 

8.2     the exception reporting at Appendix 2 to the report which details activities that were not on target and the action taken to mitigate or resolve this.

9 INTERNAL AUDIT REPORTS ISSUED IN THE SECOND QUARTER OF 2018 - REPORT BY HEAD OF LEGAL AND DEMOCRATIC SERVICES

MEMBER - Patsy Gilroy left the meeting.  9 Members present.

 

Decision

 

NOTED and commented on the internal audit report finalised:- Commercial Waste Income.

10 RISK MANAGEMENT UPDATE - REPORT BY HEAD OF LEGAL AND DEMOCRATIC SERVICES

Decision

 

NOTED

 

10.1    the co-ordination lead role that Internal Audit has on risk management and embedding this within the Council;

 

10.2    the summary of the use of risk management in the Council, prepared in response to the recommendation from the External Auditors;

 

10.3    that the Council’s Risk Management Policy had been updated and was agreed at Policy and Resources Committee on 14 June 2018;

 

10.4    AGREED  the deployment of the Council's Risk Management Policy at the September meeting; and 

 

10.5    NOTED that at the September meeting of this Committee, Members would be asked to consider the information and the reporting necessary to support the exercise of its delegations.
 

11 SCRUTINY REVIEW - GROW THE LOCAL ECONOMY THROUGH THE PROCUREMENT PROCESS - FEEDBACK FROM WORKSHOP - REPORT BY HEAD OF LEGAL AND DEMOCRATIC SERVICES

Decision

 

11.1    NOTED the evidence and information collected at the workshop held on 14 May 2018 as detailed in Appendices 1-3 to the report; and

 

11.2    AGREED that this should be added to the evidence gathered for the ‘grow the local economy through the procurement process’ Scrutiny Review.
 

12 SCRUTINY REVIEW - IMPROVING INFORMATION SHARING DATA SHARING - FEEDBACK FROM WORKSHOPS - REPORT BY HEAD OF LEGAL AND DEMOCRATIC SERVICES

Decision

 

12.1    NOTED the evidence and information collected at the workshops held on 14 May and 11 June 2018 as detailed in Appendices 1-5 to the report; and

 

12.2    AGREED this should be added to the evidence gathered for the Improving Information Data Sharing Scrutiny Review.
 

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

Decision

 

NOTED

 

13.1   that the Chairman advised the Committee that he had received correspondence from a Dumfries resident with regards to issues relating to Parkhead Dumfries, and that this would be taken forward as appropriate; and

 

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