To consider the Internal Audit work undertaken and the assurance given on the adequacy of internal controls operating in the systems audited for the period April to August 2014.

22.1           The report of the Policy and Performance Group Manager, circulated at Pages No. 172-222, summarised the work undertaken by the Internal Audit team for the period April 2014 to August 2014. The Committee was asked to consider the audit work completed and the assurance given on the adequacy of internal controls operating in the systems audited.

22.2           The Policy and Performance Group Manager indicated that this was the first monitoring report for the year. The work undertaken within the period was set out at Appendix 1 which provided a commentary on the activity audited, the control objectives for each activity and the audit opinion for each control objective.  Appendix 2 set out the progress made against the Audit Plan and he was pleased to report that the majority of the work undertaken was good/satisfactory with the team on course to achieve the minimum 90% target completion of the Plan. Appendix 3 set out the Limited Assurance Statement which referred to the safeguarding audit and Appendix 4 detailed all of the audit recommendations made within 2014/15 monitoring reports. In addition, included within the 2014/15 Audit Plan there was an allocation of days for the team to undertake corporate improvement work and work undertaken during the period, or work to be programmed, could also be found in Appendix 1.

22.3           In June 2014 the Committee had been advised of the intention to second the Council’s Health and Safety Officer to the Policy and Performance Team to undertake audit type assignments. Health and Safety was a key part of the Council’s governance framework and findings from the audits would be formally reported to the Audit Committee. Work had now started and the first audit being undertaken was a review of risk assessments. Other health and safety audits to be undertaken in the year were asbestos and legionella; lone working; and flexible working. In addition, Members were advised that there had been a specific request received from Tewkesbury Town Council for their internal audit work to be undertaken by the Borough Council’s Internal Audit team. This request had now been approved by the Corporate Leadership Team and the number of days requested for 2014/15, estimated between five and seven, would be absorbed within the capacity of the team. The Town Council would be recharged for the work undertaken and future work for 2015/16 would be formally allocated when next year’s Audit Plan was prepared. In response to this, a Member questioned whether five to seven days would be enough. He also expressed some concern about the amount of time that would actually be taken and he felt it would be useful to have that information in future reports. In response, the Policy and Performance Group Manager advised that there would be a ‘light touch’ audit in October and after that he would be better able to assess the audit need. In terms of similar work for other Parish Councils, he indicated that there was potential to offer a similar service; however, there would be a need to look at the capacity within the team.

22.4           Referring to the limited opinion given to the safeguarding audit, Members were advised that a review of the safeguarding children self-assessment had provided assurance that the responses given within it were a fair reflection of the Council’s safeguarding arrangements at the time of its completion in November 2013. Furthermore, the supporting evidence was considered to be appropriate to demonstrate either partial, full or non-compliance; although that evidence could be strengthened in some areas. Areas of good practice were demonstrated through the Council having in place a Safeguarding Children Policy that was available to all staff. The Policy was implemented across the Council which was demonstrated by a number of referrals that had taken place. There was also a clear line of accountability within the organisation with procedures in place for the reporting of any safeguarding issues or concerns at a senior management level and close working with other authorities enabled communication with individual children and their families. Staff awareness in respect of safeguarding children was maintained through staff and Member briefings. In relation to the reporting of safeguarding issues, the audit had identified a number of areas which required attention: Member updates should be made to an appropriate Lead Member; staff contact details required updating following recent staff changes; and safeguarding training was required for appropriate staff. The self-assessment required the creation of an action plan to address those conditions that had not been fully met. The audit had focussed on those actions with due dates up to April 2014; all of which remained outstanding. With this in mind it was recommended that, in order to monitor progress and ensure its completion, ownership of the action plan should be identified and monitored by an appropriate Officer. This was particularly important as the Gloucestershire Safeguarding Children Board would be requesting updates in the Autumn on progress against the action plans. If actions were identified that had not been completed it was possible that a review would be conducted by the Board into the potential impact this would have on safeguarding children and young people in Gloucestershire; this posed a high risk, reputationally, for the Council if there was to be a serious case review.

22.5           The Environmental and Housing Services Group Manager advised that Officers across the Council had responsibility for safeguarding but, as a result of the restructure, the safeguarding policy did require amendment to take account of particular roles. There had been some difficulty recruiting a staff member that would take responsibility for safeguarding. For the items that were not being done there were now further actions in place i.e. the identification of a Lead Member would be considered by Council at its meeting on 30 September 2014; a new staff member had now been recruited and would commence employment in December so there would be another responsible person for people to report concerns to; there was a suggestion that a new safeguarding group be set up, including the Lead Member and operational staff, to help drive the importance of safeguarding through the Council; and there was a training plan being established on the issue as well as it being included within the Corporate Induction Programme. It was understood that this was extremely important and it was felt that the safeguarding action plan should go through the Corporate Governance Group and the Overview and Scrutiny Committee so that there was a check that the work was in compliance with the Children’s Act. The Environmental and Housing Services Group Manager offered reassurance that, although there were some areas of the Act with which the Council was not compliant, referrals were still coming through and being acted upon.

22.6           Members were in agreement that everyone needed to take responsibility for safeguarding and this should include Members as well as staff. One Member indicated that she had recently attended a very informative safeguarding training course and she felt that all Members and staff should receive similar information; particularly with regards to what they should do if they suspected a safeguarding issue.  Another Member indicated that he had previously subscribed to the notion of ‘corporate parenting’ when he was a County Councillor and he felt that the Borough Council may also need to take that approach. In response, the Environmental and Housing Services Group Manager indicated that there were different staff across the Districts that were considered ‘corporate parents’ and the Council’s Chief Executive was one of those people. In terms of the idea that a corporate safeguarding group be set up, Members felt that this would be helpful; particularly in terms of defining the structure and responsibilities etc.

22.7           Accordingly, it was

                  RESOLVED          That the audit work completed, and the assurance given on the                          adequacy of internal controls operating in the systems audited,                               be NOTED.