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The decisions as the council's minutes record them. A plain-language summary follows once it has been written.
RESOLVED that the Audit Wales Work Programme Update be noted.
RESOLVED that the Audit Wales Report: Follow Up Review of Waste Services - Carmarthenshire County Council (November 2024) be noted.
RESOLVED that: 3.3.1 the findings and recommendations of the Audit Wales national report be noted; 3.3.2 the Carmarthenshire County Council response to the recommendations of the national report relevant to the Council be noted.
RESOLVED that: 3.4.1 the findings and recommendations of the Audit Wales national report be noted; 3.4.2 the Carmarthenshire County Council response to the recommendations of the national report relevant to the Council be noted. 3.4.3 the Committee monitor progress with the action being taken in relation to the Management Responses to the recommendations in the local report.
RESOLVED that: 3.5.1 The national report published by Audit Wales in October 2024 be noted; 3.5.2 The National Fraud Initiative Self-Assessment Checklist (issued to local authorities in November 2024) be brought to a future meeting of the Committee.
RESOLVED that: 4.1 the overview of the budget workshop requested by the Committee held on the 8th November 2024 be noted; 4.2 a budget workshop be arranged to take place March 2025.
RESOLVED that: 5.1 the Internal Audit Plan Update 2024/25 be received; 5.2 the assignments on the Risk Register and Cyber Security be deferred from this year's Internal Audit Plan.
RESOLVED: 6.1 that the Council’s Corporate Risk Register 2024/25 be received; 6.2 that Internal Audit, in conjunction with the Chair and Vice Chair of the Committee, develop a Scoping paper for a Deep Dive review of CRR 190019, and share with the Committee for information in January 2025.
RESOLVED that: 7.1 the Council Complaints Annual Report 2023-24 be approved; 7.2 the data and information included in terms of compliance with the Corporate Complaints Policy and Social Services (Complaints Procedure) (Wales) Regulations 2014 and Welsh Government’s ‘A guide to handling complaints and representations by local authority Social Services be received.
RESOLVED that the Ombudsman’s Annual Letter 2023/24 Carmarthenshire County Council be received.
RESOLVED that the Progress on Regulatory Report Recommendations be noted.
RESOLVED that the Governance and Audit Committee Action Log be received.
RESOLVED that: 11.1 the minutes of the Grants Panel meeting held on 12th September 2024 be received; 11.2 The minutes of the Risk Management Steering Group held on 24th September 2024 be received.
An apology for absence was received by Councillor Karen Davies. Due to having technical difficulties Councillor Tyssul Evans, as Councillor Davies’ substitute, was late joining the meeting online. In accordance with CPR4 (12)(c) ‘substitute members may attend meetings in that capacity only if he/she takes his/her place by the commencement of the meeting’, Councillor Evans was therefore not permitted to join the meeting. The Committee requested that to allow for technical difficulties that this CPR be reviewed.
There were no declarations of interest.
Decision as recorded
RESOLVED that the Audit Wales Work Programme Update be noted.
The Committee considered Audit Wales’ Programme Update and timetable as at September 2024. The Audit Wales representative provided the Committee with a verbal update in regard to the Financial Audit and confirmed that the accounts and the annual return settlement within the report had been signed off. It was reported that substantially, the financial audit work for 2023/24 was complete with the audit work in relation to the Housing Benefit claims currently being finalised and was aimed to be completed by the end of January 2025. The Audit Wales representative provided the Committee with a verbal update in regard to the Performance Audit and explained that the position at end of Quarter 3 for 2024 would be available early 2025. The following queries/comments were raised in relation to the report: • In reference to the Thematic Review – Unscheduled Care on page 3 of the report, an update on the status of the report was sought. The Audit Wales Representative explained that whilst there had been delays, the report was due to be issued to the Regional Partnership Board for clearance early January, 2025 which then would devolve to the relevant Health Boards and the relevant Local Authorities following clearance. • Reference was made to the Audit of the senior public service cited on page 15 of the report. Further information in relation to the audit was sought. The Audit Wales Representative stated that further information would be gathered and circulated to Committee members following the meeting. UNANIMOUSLY RESOLVED that the Audit Wales Work Programme Update be noted.
Decision as recorded
RESOLVED that the Audit Wales Report: Follow Up Review of Waste Services - Carmarthenshire County Council (November 2024) be noted.
The Committee received a report which was a follow up review of the action that the Council had taken in response to the eight recommendations Audit Wales issued in their 2021 report - Review of Waste Services in Carmarthenshire County Council. It was explained that in the follow up review, Audit Wales found that the Council had met all the recommendations made in the 2021 report. The eight recommendations in the previous report covered arrangements in the following areas: the garden waste service, CWM Environmental Ltd (CWM), fly-tipping, and the Council’s waste strategy. Audit Wales had set out their detailed findings from the Review in Exhibit 1 and had not issued any further recommendations, therefore, there was no response required from the Council for the current report. Committee Members acknowledged that the report was a pleasing one, and thanks were extended to the Waste Services team for the action that had been taken. UNANIMOUSLY RESOLVED that the Audit Wales Report: Follow Up Review of Waste Services - Carmarthenshire County Council (November 2024) be noted.
Decision as recorded
RESOLVED that: 3.3.1 the findings and recommendations of the Audit Wales national report be noted; 3.3.2 the Carmarthenshire County Council response to the recommendations of the national report relevant to the Council be noted.
The Committee received the Audit Wales’ report on Sustainable Development? – Making best use of brownfield land and empty buildings, which was an all-Wales review undertaken to ‘examine how Welsh councils were supporting and encouraging the re-purposing and regeneration of vacant properties and brownfield sites into homes, or for other uses’. The key question being considered was: Are local authorities doing all they can to support and encourage vacant, non-domestic properties and vacant brownfield sites being repurposed into homes or for other uses? The report set out the context of the review, the key findings, together with 3 recommendations. Appended to the report was Carmarthenshire County Council’s response. The following queries/comments were raised in relation to the report: · It was requested that a progress report be included within the Committee’s Forward Work Programme, for consideration after 31st March 2025. Furthermore, it was suggested that the progress report include quantitative data in respect of the number of empty homes and what support was being provided to enable the homes to be brought back into use. The Head of Economic Development and Property agreed to provide a report in the Spring for the Committee to consider. · The Audit Wales Representative in response to a query regarding Brownfield land and ex-industrial sites explained that there was a view across Local Authorities in Wales that Brownfield sites were not considered as solely ex-industrial land. Essentially, it was land that had been developed in some manner but not Green fields. Such land had a number of aspects including empty properties as well as industrial land that had previously been fully developed. There were no barriers found in respect of Authorities understanding the definition of the type of land. · Reference was made to page 17 of the report – UK Issues. In acknowledging the issues identified, it was asked what Audit Wales’ intended to do? In addition, being identified as a constraint on Brownfield developments it was asked what action Audit Wales intended to take in regard to conservation areas and listed buildings. The Audit Wales Representative explained that the query would be raised with the Study Team to understand what action they had taken as a result of identifying the issues. A response to be circulated to the Committee in due course. UNANIMOUSLY RESOLVED that: 3.3.1 the findings and recommendations of the Audit Wales national report be noted; 3.3.2 the Carmarthenshire County Council response to the recommendations of the national report relevant to the Council be noted.
Decision as recorded
RESOLVED that: 3.4.1 the findings and recommendations of the Audit Wales national report be noted; 3.4.2 the Carmarthenshire County Council response to the recommendations of the national report relevant to the Council be noted. 3.4.3 the Committee monitor progress with the action being taken in relation to the Management Responses to the recommendations in the local report.
The Committee received a two-part report, the Audit Wales Financial Sustainability of Local Government (December 2024), and the Financial Sustainability Review – Carmarthenshire County Council (September 2024). Audit Wales had undertaken a Financial Sustainability Review in each of the 22 local authorities across Wales. The National Overview report was published in December 2024 and was included in the report for reference as there are no specific recommendations for response. The Carmarthenshire County Council specific report and findings was published in September 2024. The local report made one recommendation for the Council and the organisational response was appended to the report. The following points/queries/comments were raised in relation to the Audit Wales Financial Sustainability of Local Government (December 2024) national report: · In reference to Exhibit 2: common themes of Section 114 reports, (paragraph 59 cited on page 23 of the report), it was asked if the Committee could receive further information in relation to the good practice/lessons learned in respect of Denbighshire County Council - as recognised in the report? The Audit Wales Representative explained that Denbighshire County Council had undertaken a self-assessment following the consideration of the risks that had been identified by CIPFA. To gain more detail on what this entailed, it was agreed that Carmarthenshire Officers would liaise with the team in Denbighshire County Council. · Reference was made to page 10 of the report, paragraph 21. It was asked if there were any plans to explore the concerns that national issues or processes make financial planning more difficult? The Audit Wales Representative referred to their comment made within the report and clarified that in addition, discussions on this matter were taking place within the WLGA and at a more strategic level within the Welsh Government. It was confirmed that this was on the Audit Wales radar in terms of risks and assurance. · In commenting that the report was a very useful and informative report, thanks were extended to Audit Wales for their work. The Director of Corporate Services took the opportunity to explain to the Committee the budgetary process, together with the timing and challenges that were arising. It was emphasised that the Authority worked hard to plan for the future by way of a 5-year Capital Plan, 3-year Medium Term Financial Plan and the Departmental Business Plans. In addition to the changes in budget settlements, other challenges were recognised e.g. demands to increase services from society as well has having to respond to last minute changes from Welsh Government and UK Government. The following points/queries/comments were raised in relation to the Financial Sustainability Review – Carmarthenshire County Council (September 2024) report: · In commenting that the report was generally positive but acknowledged the key challenges and pressures being faced, it was asked how the integrating of the reporting and delivery of the corporate objectives would be achieved? The Director of Corporate Services stated that they would do their utmost to integrate as much as possible. It was explained that the Corporate Strategy, business planning process together with the budget considerations would serve to achieve integration. The Corporate Policy and Partnership Manager added that in relation to the Business Plans, when published there was an understanding that they were developed based on the information at a point in time and that they were subject to change which from a performance management perspective was a challenge. · Consideration was given to the Recommendations made by Audit Wales set out in Exhibit 1 and the need for Committee to monitor progress with the Council’s response to these. UNANIMOUSLY RESOLVED that: 3.4.1 the findings and recommendations of the Audit Wales national report be noted; 3.4.2 the Carmarthenshire County Council response to the recommendations of the national report relevant to the Council be noted. 3.4.3 the Committee monitor progress with the action being taken in relation to the Management Responses to the recommendations in the local report.
Decision as recorded
RESOLVED that: 3.5.1 The national report published by Audit Wales in October 2024 be noted; 3.5.2 The National Fraud Initiative Self-Assessment Checklist (issued to local authorities in November 2024) be brought to a future meeting of the Committee.
The Committee received a report, Audit Wales – The National Fraud Initiative in Wales 2022-23 (October 2024) for consideration. The National Fraud Initiative (NFI) was a biennial UK-wide counter-fraud exercise. It used computerised techniques to compare information about individuals held by different public bodies, and on different financial systems, that may indicate the existence of fraud or error. This national report, published in October 2024, provided a summary of the following matters: • Key facts for Wales • Key messages • Overall outcomes • Further analysis of outcomes by type • Future developments • Appendices. The Committee noted that the report did not include any recommendations for response by organisations. The following queries/comments were raised in relation to the report: · Assurance was sought in regard to covering all the items that the NFI highlights. The Head of Revenues and Financial Compliance offered to present the items specifically related to Carmarthenshire County Council to the Committee together with the self-assessment checklist. UNANIMOUSLY RESOLVED that: 3.5.1 The national report published by Audit Wales in October 2024 be noted; 3.5.2 The National Fraud Initiative Self-Assessment Checklist (issued to local authorities in November 2024) be brought to a future meeting of the Committee.
Decision as recorded
RESOLVED that: 4.1 the overview of the budget workshop requested by the Committee held on the 8th November 2024 be noted; 4.2 a budget workshop be arranged to take place March 2025.
The Committee received a briefing on the key issues considered at the Committee’s Budget Workshop that took place on 8th November 2024. The Committee at its meeting held on 12th July 2024 (minute 7 refers), had noted the significant pressures on the budget and had requested that an additional informal briefing be held in the Autumn to discuss the budgetary pressures and the risks associated with the financial implications facing Council services and schools. The Committee felt that budget workshops were beneficial, and it was proposed that a further workshop be arranged to take place in March 2025. This was duly seconded. UNANIMOUSLY RESOLVED that: 4.1 the overview of the budget workshop requested by the Committee held on the 8th November 2024 be noted; 4.2 a budget workshop be arranged to take place March 2025.
Decision as recorded
RESOLVED that: 5.1 the Internal Audit Plan Update 2024/25 be received; 5.2 the assignments on the Risk Register and Cyber Security be deferred from this year's Internal Audit Plan.
The Committee considered an update report on the implementation of the Internal Audit Plan for 2024/25 as at 11th December 2024. The Committee duly reviewed the progress made in respect of the delivery of the audit programme which showed a completion rate of 54% against a target of 55%. The Head of Revenues and Financial Compliance explained that they would be seeking to defer the assignments on the Risk Register and Cyber Security in order to better streamline the timing. In accepting the reasons, it was proposed to defer these assignments on the Risk Register and Cyber Security from this year’s Internal Audit Plan. This was duly seconded. UNANIMOUSLY RESOLVED that: 5.1 the Internal Audit Plan Update 2024/25 be received; 5.2 the assignments on the Risk Register and Cyber Security be deferred from this year's Internal Audit Plan.
Decision as recorded
RESOLVED: 6.1 that the Council’s Corporate Risk Register 2024/25 be received; 6.2 that Internal Audit, in conjunction with the Chair and Vice Chair of the Committee, develop a Scoping paper for a Deep Dive review of CRR 190019, and share with the Committee for information in January 2025.
The Committee received for consideration the Corporate Risk Register which was maintained to evaluate the Council’s exposure to key strategic risks. It was reported that there had been no removal of risks from the Corporate Risk Register, however the following had been added:- · Violence and aggression towards our staff - CRR190085 In highlighting that the Committee had not yet commissioned a deep dive review, it was felt that in order to provide assurance that risk areas were being managed, it was suggested that a deep dive review on one of the following two risk areas which carried a significant uncontrolled risk rating be commissioned in this financial year:- - CRR190019 - Failure to ensure that schools effectively manage their resources and respond to the challenges of reduced funding. - CRR190081 - Failure to ensure that Children’s Services effectively manage the increase in demand and respond to the resourcing challenges (staff and financial) facing the service area Following a discussion in respect of the development of the scope of the review together with consideration of the timing of the commencement review, it was proposed that Internal Audit, in conjunction with the Chair and Vice Chair of the Committee, should develop the ‘Scope’ for a Deep Dive review of CRR190019 and that this be shared with the Committee for information in January 2025. This was duly seconded. Arising from the discussion, it was proposed that the Deep Dive on CRR 190081 should be undertaken early in the 2025/26 Financial Year. The report of the outcome from the ‘Deep Dive’ work on CRR 190019 should be presented at the next Committee meeting in March 2025. UNANIMOUSLY RESOLVED: 6.1 that the Council’s Corporate Risk Register 2024/25 be received; 6.2 that Internal Audit, in conjunction with the Chair and Vice Chair of the Committee, develop a Scoping paper for a Deep Dive review of CRR 190019, and share with the Committee for information in January 2025.
Decision as recorded
RESOLVED that: 7.1 the Council Complaints Annual Report 2023-24 be approved; 7.2 the data and information included in terms of compliance with the Corporate Complaints Policy and Social Services (Complaints Procedure) (Wales) Regulations 2014 and Welsh Government’s ‘A guide to handling complaints and representations by local authority Social Services be received.
The Committee received for consideration the Complaints Annual Report 2023-24 which provided an overview of corporate and social services related complaints received and closed by the Council during the period 1st April 2023 to 31st March 2024. The annual report also detailed compliance with the Social Services (Complaints Procedure) (Wales) Regulations 2014 and Welsh Government’s ‘A guide to handling complaints and representations by local authority Social Services’. The Corporate Policy and Partnership Manager highlighted to the Committee the key changes that had been included within the report. Comments were expressed that the report was clear and informative. UNANIMOUSLY RESOLVED that: 7.1 the Council Complaints Annual Report 2023-24 be approved; 7.2 the data and information included in terms of compliance with the Corporate Complaints Policy and Social Services (Complaints Procedure) (Wales) Regulations 2014 and Welsh Government’s ‘A guide to handling complaints and representations by local authority Social Services be received.
Decision as recorded
RESOLVED that the Ombudsman’s Annual Letter 2023/24 Carmarthenshire County Council be received.
The Chair took the opportunity to wish Mr Nigel Evans, Business Support Manager, Administration and Legal Division best wishes in his impending retirement, and thanks were expressed for his work over the years. The Committee received the Ombudsman’s Annual Letter 2023/24 Carmarthenshire County Council, for consideration. The Public Services Ombudsman for Wales (PSOW) on an annual basis provided every Welsh Local Authority with a letter in the form of a fact sheet and accompanying data in order to assist with understanding performance. The report provided a summary of the information contained within the letter which included factsheets to aid in understanding the breakdown of the information. It was highlighted that the number of new cases the PSOW received relating to local authorities was 1,108 which was reported as being broadly in line with last year. 69 complaints were received about Carmarthenshire County Council in 2023/24, an increase from 53 last year, 60 had been closed. It was pleasing to report that there had been no reports against Carmarthenshire County Council either upheld or not upheld. Furthermore, no public interest reports or special interest reports had been received. More information was provided within Appendix A of the letter. UNANIMOUSLY RESOLVED that the Ombudsman’s Annual Letter 2023/24 Carmarthenshire County Council be received.
Decision as recorded
RESOLVED that the Progress on Regulatory Report Recommendations be noted.
The Committee received a report outlining progress from December 2023 to December 2024 regarding both on-going and completed recommendations, based on Q2 progress as contained within regulatory reports both National and local (local being specific to Carmarthenshire). In addition, the report includes details on the on-going recommendations from past reports together with recommendations completed and closed during the previous year. UNANIMOUSLY RESOLVED that the Progress on Regulatory Report Recommendations be noted.
Decision as recorded
RESOLVED that the Governance and Audit Committee Action Log be received.
The Committee considered the Governance and Audit Committee Action Log detailing the actions to be monitored/progressed from previous meetings. UNANIMOUSLY RESOLVED that the Governance and Audit Committee Action Log be received.
Decision as recorded
RESOLVED that: 11.1 the minutes of the Grants Panel meeting held on 12th September 2024 be received; 11.2 The minutes of the Risk Management Steering Group held on 24th September 2024 be received.
UNANIMOUSLY RESOLVED that: 11.1 the minutes of the Grants Panel meeting held on 12th September 2024 be received; 11.2 The minutes of the Risk Management Steering Group held on 24th September 2024 be received.
RESOLVED that the minutes of the meeting of the Governance and Audit Committee held on the 27th September 2024 be signed as a correct record.
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