Issue - meetings

Report by the Chief Operating Officer

49.1     The Committee considered a report by the Chief Operating Officer which summarised the key audit findings, progress against the internal audit plan and the performance of the internal audit service for quarter 3 of 2015/16.   The Head of Assurance drew attention to the SAP Security and Administration follow up and the Coroner’s Office follow up, both of which have resulted in improved opinions of substantial assurance. 

49.2     With respect to the Social Care Information System, the Head of Assurance confirmed that the Adult Social Care and Children’s Services elements had gone live.  Input was provided by the Internal Audit team on the implementation process, identifying gaps and obtaining assurance from programme management that the gaps had been addressed.  SCIS will form part of the internal audit plan for 2016/17.   

49.3     In regard to the work on schools audits, part of which has been delivered by the Internal Audit team and part by Mazars, the Head of Assurance agreed to include details of the location and size of schools when reporting in future.  He also assured the Committee that he was confident of achieving the target of delivering 90% of the Annual Audit Plan.

49.4     The Committee RESOLVED to (1) note the report; and

(2) thank the Internal Audit Team for their work.

Report by the Chief Operating Officer

36.1     The Committee considered a report by the Chief Operating Officer which summarises the key audit findings, progress against the internal audit plan and the performance of the internal audit service for quarter 2 of 2015/16.  The Head of Assurance outlined the three main areas of work within the report which are: individual school audits; Public Health Local Service Agreements; and the Shared Care Information System (SCIS).

36.2     The Committee requested that a summary of planned follow up audits is included in future quarterly monitoring reports for audits where the initial assessment was either minimal assurance or no assurance.

36.3     The Committee discussed the audit findings and made the following comments on the main areas of audit work.

·        Shared Care Information System (SCIS). A decision will be taken shortly on the ‘go live’ date for the new system and the Committee asked what the implications would be if the implementation was delayed. The Chief Operating Officer explained the key impact would be on the Children’s Services department, whose implementation of SCIS is planned to follow Adult Social Care. The Committee asked for an update on internal audit work associated with this project to be given at the March 2016 Audit, Best Value and Community Services (ABVCS) Scrutiny Committee meeting.

·        Highways Contract. The Committee’s concern about the ability to manage the performance of sub-contractors was noted and will be considered as part of any more detailed work that will be undertaken once the new service provider is known.

·        Fraud Awareness. The Committee was introduced to Wendy Hardy, who has joined the team as a Counter Fraud Specialist. Fraud awareness training is being carried out with all staff teams as part of the fraud risk assessment work. It is hoped that increased staff awareness will lead to an increase in reporting by staff of potential fraud issues.

·        Additional Audit Reviews – Superfast Broadband BDUK.  Councillor Barnes raised concerns about the delivery of access to Superfast Broadband in some of the county’s rural areas. As the scrutiny of this project mainly lies within the remit of the ETE Scrutiny Committee it was agreed that Councillor Barnes would liaise with the Chair of the ETE Scrutiny Committee on this issue and the value for money aspects of the Broadband project.

·        High Risk Recommendations Overdue. The Head of Assurance reported that the outstanding management action following the audit of the East Sussex Pension Fund is now complete.

36.4     The Committee RESOLVED to (1) note the report; 

(2) request an update on the SCIS audit work as part of the next quarterly monitoring reports; and

(3) congratulate the Internal Audit Team on their performance indicators.

Report by the Chief Operating Officer

25.1     The Committee considered a report by the Chief Operating Officer which provided a summary of the key audit findings, progress on delivery of the audit plan and the performance of the internal audit service during Quarter 1 of 2015/16. The Committee were provided with a Supplementary Briefing on the Procurement and Contract Management audits.  

25.2     The Committee discussed the assessment of compliance with Procurement Standing Orders and Contract Management with the Head of Procurement.  She offered the Committee the assurance that clear roles and responsibilities were built into the framework for awarding new contracts, and that training was being provided to staff to manage the process robustly.  Progress in implementing the findings of the Procurement Standing Orders audit will be included in future Procurement update reports. 

25.3     The Committee discussed the assessment of the Controcc system.  The Head of Assurance set out the complexity of the system, which the Chief Operating Officer confirmed would shortly be integrated into the new Liquid Logic system of care management. A comprehensive action plan has been developed and will be followed up by the internal audit team, and reported on at a future meeting. 

25.4     The Committee also discussed the means available to secure control over performance of outsourced work, especially that of sub-contractors, and used the Highways Maintenance contract as an example.  Particular concerns over highway drainage issues were raised, and the Committee’s attention was drawn to the Economy, Transport and Environment Scrutiny Review Board on Gully Emptying and Drainage.   The Head of Procurement set out that her team provided advice and guidance to service colleagues, on how to set measurable service levels, and ensure regular receipt of data to support those targets.  Evidence of the effective management of sub-contractors is part of the process for assessing tenders.

25.5     RESOLVED to (1) note the report; and

(2) congratulate the internal audit team on their performance indicators.