The Chief Internal Auditor presented a report, to summarise for Members, the findings of the audits recently completed by the Internal Audit Shared Service, details of which were showed in appendix A to the report.

            Referring to this Appendix, she wanted to raise to Members attention those reviews where issues relating to the internal control environment had been identified as  listed in Appendix A.

            The key messages from this audit revealed that of the 2,418 total of new starter employees or posts being transferred covering the period highlighted in the report, 479 of these (i.e. 20%) were recruited without a DBS check being in place..  Of a sample taken of 50 of these to ascertain if a Risk Assessment had been completed in respect of these individuals, this confirmed that 21 out of the 50 (42% did have Risk Assessments on file.  Of the remaining 29, 25 were covered by other mechanisms such as enhanced CRB checks in place from previous roles, proof of disclosure received prior to 1^st available pay date etc.

            Of the recommendations made as a result of the audit, the management of this Section had been positive in their response to these in that to improve the DBS process they were looking to introduce an E:Bulk System as a method for undertaking the above checks more effectively.  The system was being introduced this month and a further audit review would take place in the New Year.

            The Chief Internal Auditor confirmed that this was being provided as an in-house service for the production of road traffic and other signs.  The Chief Internal Auditor confirmed that in 2013-14.

            191 orders were made with 160 of these being fully completed.  Since April 2014,  31 orders had been received of which 9 had been completed by June.  Concerns as a result of the audit were raised in respect of a lack of continuity of service, and disparities regarding the taking of stock. 

The Chief Internal Auditor advised that this area of Adult Social Care was jointly being covered by the Local Authority and the Local Health Board, namely to provide after-care services for certain types of detained patients when they leave hospital.

Notwithstanding the Audit Opinion, she felt that some credit should be given to the Group Manager who started employment with the Council in January 2013, and she identified significant problems within the service.  There were weaknesses with regard to the application of the Section 117 process, and as this is a high risk area a two part review of procedures, processes and internal control was undertaken.  The first part reviewed the existing processes and procedures so as to identify where the weaknesses were, and the second part to review the current financial arrangements with the Health Board, as there was nothing in place in terms of any financial documentation regarding the joint arrangement other than a ‘gentleman’s agreement’ that the service would be supported financially by way of a “Gentleman’s Agreement”.

The Chief Internal Auditor stated that 277 people had been eligible for assessment in 2013/14, and 295 in 2014/15.  Some of these, but not all, received financial support, and also not all of the patients obtained proper follow-up care arrangements such as an appointed Care Co-ordinator, which was a breach of the Act.

A Member asked if there had been any improvements within the service, since the Audit had been carried out.

            The Chief Internal Auditor advised that the Group Manager was working tirelessly with Internal Audit to improve the service, and a follow-up audit would be undertaken and a further progress report would then in turn be presented to Committee on the outcomes of this, highlighting any improvements that had not been made, this will be undertaken before the end of the financial year.

            Most of the recommendations made as a result of the initial audit had been completed, and the target date for those not yet completed had been set for December/January.

            She further added that this had been the first review of the service by Internal Audit. 

RESOLVED:               (1)        That Members gave consideration to the completed audits referred to in Appendix A to the report and expanded upon by the Chief Internal Auditor at the meeting.

(2)  That Members await a follow-up report on progress being made in terms of the Section.