Wrthi'n llwytho
Does dim crynodeb o'r cyfarfod hwn eto. Caiff un ei ysgrifennu pan fydd y cyngor yn cyhoeddi'r cofnodion. Mae'r agenda a'r papurau isod.
Apologies were received from: Committee Member County Councillor Chris Walsh. County Councillors Jackie Charlton, Sian Cox, David Selby and Aled Davies. Officers Diane Reynolds, John Forsey, James Chappelle. Audit Wales Officers Euros Lake, Emma Woodcock and Gareth Jones.
There were no declarations of interest from Members relating to items for consideration on the agenda.
Background provided by Assistant Director of SWAP. • From 01/04/2025 the Public Internal Audit Standards were replaced by the Global Internal Audit Standards. A presentation summarising the main differences will be provided to the committee at a future meeting.[LH1] • In the new standard the internal audit plan must be created based on a documented risk assessment considering the strategies, objectives and risks of the Council. Risk assessment is presented to committee in the papers provided. • Sufficient resources to offer an annual audit opinion on internal controls had been allocated to the Annual Audit Plan. • Appendix B: The revised charter explains the relationship between the local authority and internal audit and defines the purpose, authority and responsibilities. It had changed from the previous year to reflect the revised standards • Committee was asked to approve the proposed Annual Audit Plan and Charter 2025. • The Director of Corporate Services noted that the plan considered had not been formally approved through the Senior Leadership Team and may need minor amendments prior to final sign off. Issues Raised by the Committee Responses Received Committee welcomed a briefing on the new standards, with particular interest in root cause analysis. ACTION A briefing session would be scheduled for the Governance and Audit Committee. Committee formally acknowledged the Director of Corporate Service’s reminder that this document had not yet been formally approved by the Corporate Leadership Team. It was requested that the plan be brought back to committee if significant adjustments were made and asked that minor adjustments be included in matters arising in the minutes of the next Governance and Audit Committee meeting. SWAP and Corporate Leadership Team should ensure proper sequencing in future. Committee requested to see more benchmarking, particularly around productivity and asked how this would be used. Benchmarking was carried out across partners in SWAP and was an area that could be improved. SWAP would be happy to work with the authority in auditing productivity so long as a clear understanding of what productivity looks like be provided. The Director of Corporate Services provided assurance that many services already had key performance measures in place to monitor productivity and this data could be provided to committee ahead of a review. Committee to be provided with an assurance report regarding productivity data and value for money, particularly around its use in operational and strategic decision making. If the committee were not assured by control framework in place, it would be asked that SWAP include this in the Internal audit plan going forward. ACTION Committee asked whether the information provided on page 16 of the report included the Pupil Referral Units (PRU) and if not, what mechanisms were in place to audit PRU? The Assistant Director for SWAP answered that the information provided was purely looking at schools in isolation and did not work on PRU. The Director of Corporate Services offered assurance that PRU would be subject to normal internal controls and processes monitored across the organisation and therefore did not undergo specific audits but would be monitored via the many routine controls in place. The Chief Executive added that this would be an area of focus for the Accelerated Improvement Board. Would assurance reports from the Accelerated Improvement Board[LH2] be presented to the committee? Terms of Reference would be sent to Scrutiny, Governance and Audit Committee, Cabinet and Group Leaders. Appendix A explained that there would be an audit reviewing expenditure and its alignment with planned budgets. Committee requested that the scope for this be widened to cover deliverables, outcomes and expenditure. Feedback from this would be helpful in the move to a five-year budget and business planning exercise. The Director of Corporate Services answered that this could be accommodated. The scope of each piece of work was yet to be developed. There needed to be a clear focus on expectations, impacts and outcomes from the beginning to ensure effective monitoring. This was agreed with by the Assistant Director of SWAP. Committee sought clarity on how unanticipated and urgent tasks were integrated into the existing plan and the governance involved in prioritising these over pre-planned work. Assurance was requested that governance mechanisms involving senior officers were in place or would be established and asked how opportunity costs were assessed. The Assistant Director for SWAP answered that the current plan did not have any contingencies built in and there would need to be a process of replacement if more urgent work came up. To ensure transparency with this, a more formalised change management process should be arranged. The Director of Corporate Services added that plan delivery would be monitored via meetings of the Head of Finance and the Assistant Director of SWAP, where minor amendments to the plan would be discussed and accommodated. However major changes to the plan or key pieces of work being displaced would need approval from the Senior Leadership Team. Committee requested more dialogue to ensure the Chair and Vice Chair were informed regarding significant changes to the plan and sought assurance that decisions were made at the highest level by relevant officers. The Chair did not agree with the Monitoring Officer on this matter. The Head of Legal and Monitoring Officer reminded committee that the decision rested with officers but any changes to the plan should be reported back to Governance and Audit Committee.[LH3] [CL4] [LH5] The Chief Executive emphasised the need for flexibility to reallocate resources to address urgent unforeseen issues without waiting for formal approval. However, assurance was given that Governance and Audit Committee would be informed of changes. Assurance was provided that decisions would be made by Senior Leadership Team, Corporate Leadership Team or the Chief Executive Officer themselves. ACTION - Assurance paper to be brought to GAC on this process.[LH6] [CL7] Resolved to approve the Proposed Annual Audit Plan 2025. Resolved to approve the Proposed Charter 2025[LH8] [CL9] . [LH1]please can you ensure that you agree a date for this with Ian, put in the forward work plan and the GAC Action log - don't want to lose sight of this. [LH2]Need to make clear which Board - is this the Accelerated Improvement Board ? [LH3]I dispute this and said so in the meeting. The Plan is approved by GAC therefore changes to the plan should come back to GAC. I believe that Clive is wrong. [CL4]I have added the following into the ‘issues raised by Committee’ box: ‘The Chair did not agree with the Monitoring Officer on this matter’. Are you happy with this or would you like me to reword further? [LH5]I raised this with Jane at our last 121. [LH6]Please schedule on Forward Work Plan, agree date with Ian and Jane and include on Action Log [CL7]I have contacted Ian Halstead to confirm when this can come to Committee [LH8]I understand that Emma and I both need to sign ?? Can you clarify and confirm. [CL9]I have contacted Ian Halstead to confirm whether you need to sign this.
Background presented by Assistant Director of SWAP. • SWAP external inspection results and quality assurance and improvement programme would be presented to the committee at a future meeting. • 49 pieces of work had been completed, 16 pieces of work in progress to be completed by year end to form basis of annual opinion which would be presented to committee at a future meeting. • 70% of work had an opinion of either substantial or reasonable. • 4 areas of limited assurance would be presented to the committee in further detail. • Rate of overdue outstanding actions had reduced from 65% in November 2024 to 21% March 2025. • The National Fraud Initiative 2025 was ongoing, results would be presented at a future committee meeting. Issues Raised by the Committee Responses Received Committee asked what had driven the improvement in outstanding actions and requested assurance regarding how the remaining overdue actions would be addressed. Agreed actions was one of the key markers considered at the Internal Audit Working Group. Some actions remained outstanding due to complex issues. Assurance was provided that none of the outstanding actions endangered the Council’s ability to meet its objectives or goals. The Director of Corporate Services offered assurance that the Senior Leadership Team regularly had sight of the report and acted as necessary. The importance of timescales being adhered to was emphasised, which resulted in some of the improvement seen. Performance at a service level was monitored through quarterly performance meetings. Committee queried whether timescales set for actions were realistic. The Assistant Director for SWAP answered that timescales could be optimistic, and Internal Audit had a role in challenging the likelihood of timescales provided. Action plans sometimes required more complex solutions than originally anticipated. This was acknowledged to be a normal part of business, but committee were assured that changes were monitored and understood. The Director of Corporate Services added that timescales were set by officers responsible for delivering the actions. Resolved to accept the Internal Audit Activity Report (March 2025).
Background provided by the Director of Social Services and Wellbeing. • Recent meetings of the Corporate Safeguarding Board were held on the 12th of December 2024 and March 2025. • Audit Wales Follow Up Inspection Report: • Noted that the follow up inspection was positive, the service had fully implemented 7 of the 11 recommendations. • Progress and plans were in place to fully address remaining recommendations. • No new recommendations came from the follow up report. • Areas of future focus were suggested for which an action plan would be made. • The Board received: • A Regional Safeguarding Board update. • Safeguarding Self-Assessment Action Plan Dashboard. Actions for future improvement were recommended. • The Education Safeguarding Plan: 80% of actions were completed and nearly 85% milestones achieved. A written report was requested to be brought to the March 2024 Board meeting. • A JICPA Action Plan Update with a further update planned in 6 months. • A confidential item on safeguarding in education which included an update on national and local elective home educated pupils. • Several reports for information regarding housing; looking at homeless presentations, accommodation and care leavers. • An update from Adult Social Services regarding safeguarding referrals, efficiency, DOLS and backlogs. • An update from Children's Social Services around contacts, referrals and assessment. • Updated guidance for information on the Single Unified Safeguarding Review. • Feedback on the success of the National Safeguarding Week which was hosted in November 2024. • The Mid and West Wales Safeguarding Children Adults Boards Annual Report. • The Board noted: • Actions on the safeguarding regulatory tracker had progressed with 1 item remaining and under review. • Staff mandatory safeguarding training compliance rate was at 97.5% in December 2024. • Mandatory safeguarding training compliance for volunteers and schools was an area of future focus. • A suggested area of future focus was the mandatory safeguarding training of volunteers. • Noted that the recruitment of volunteers was a working progress with areas for future focus. Issues Raised by the Committee Responses Received Committee raised concern regarding safeguarding issues in schools around volunteer training and the security of school sites across Powys. Should premises security be included in safeguarding? The Chief Officer of Place answered that safeguarding of school property was being addressed by the Accelerated Improvement Board. The Director of Social Services and Wellbeing answered that the Corporate Safeguarding Board focussed on high level corporate issues. Issues of reporting and recording of training in schools was an issue and so an action plan was put in place and the Corporate Safeguarding Board would ensure this was kept as a priority. Committee recommended that the four actions labelled 'work in progress' be separated, with realistic target dates added. Additionally, success indicators were suggested to aid in monitoring progress. The Corporate Safeguarding Board had an updated action plan focusing on those four areas with targets and milestones in place. Future activity reports would have a focus on those outstanding areas. Did the Corporate Safeguarding Board plan to do anything around the safeguarding issues found at local care homes? Assurance provided that all appropriate action was being taken within services. Committee welcomed the progress recorded and noted that there may be an increasing future reliance upon volunteers. It was asked that those who volunteered were approached appropriately regarding training. This was a point of discussion for the Corporate Safeguarding Board and would be reported to committee in future reports. Recording volunteers on itrent would make training easier to track. How would safeguarding be approached with agency workers and short-term contractors? Mandatory training must be undertaken as quickly as possible by new members of staff joining the council. It was noted that this was more difficult with contractors and was an area of work going forward, noted in the action plan. Resolved to note the report.
Background provided by the Head of Business Intelligence and Governance. • The Regulatory Tracker Update provided an overview of the recommendations that the Council had received following external audit or inspection, and it enabled the monitoring of progress against recommendations from regulators. • The tracker did not include recommendations from Care Inspectorate Wales or Estyn as these were tracked through separate monitoring arrangements. • All services within the Council provided quarterly updates on regulatory recommendations which were reviewed at quarterly performance meetings held with the relevant Director, Head of Service and Portfolio Holders. • An extract of the tracker had been included on page 69 to show a snapshot at the end of quarter three. • Committee previously received the report in private session and work had been conducted to enable appropriate public reporting. There were no comments or questions from the committee. Resolved to note the report.
Background presented by Professional Lead Procurement and Commercial Services. The presentation addressed the following areas: • Changes of risk severity, • Potential consequences of the risk, • Controls and actions in place. Issues Raised by the Committee Responses Received As this risk would have a global and national affect, how was this being addressed and assessed? The risk controls in place looked through the lens of the council. Risks and controls were regularly reviewed, and appropriate controls could be put into place should wider risks emerge. This was a dynamic piece of work with mechanisms to review risks and controls. Committee felt assured that officers were playing a significant role within WLGA networks, and it was requested that this relationship be maintained for regular monitoring at an all-Wales level. Noted. It was noted that some of the points raised were pertinent to the Capital Working Group. Yes, particularly around inflation rates. The Director of Corporate Services added that there was monitoring in place from a capital perspective, e.g. treasury management reporting, capital monitoring reports and the medium-term financial plan. Concern was shared around the accuracy of data used from Dunn and Bradstreet. It was acknowledged that information from that source could be 12-18 months old. However, assurance was given that this was only one of many controls and mechanisms in place. Committee thanked the officer for the presentation.
Background provided by the Head of People and the Professional Lead for Human Resources. The presentation addressed the following areas: · Background of risk, · Work achieved to date, · Impacts, · Next Steps. Issues Raised by the Committee Responses Received Were recruitment policies working? What response was received from external applications to senior roles? A satisfactory number of applications for senior roles was received and a robust and successful process was in place. There was one senior leadership position left, and processes were being followed to fill this. Had any changing trends in external applicants been noticed since flexible working had been offered? Assurance was given that trends remained reasonably consistent. Cabinet member for a Connected Powys added that examples of flexible working both supporting and hindering staffing could be cited, but efforts were made to create an environment that brought people back into the office and provided support, as staff needs were many. Creating an environment that presented Powys as a desirable place to work was deemed critical. The Director of Corporate Services added that flexible working arrangements have aided recruitment in some areas but also created greater competition between employers. It was noted that expectations of employees were changing and there was increasing importance in promoting the Council as a conscientious employer. Furthermore, engagement with younger generations was imperative. Was there best practice evolving that can be shared with other organisations in Powys? The service would be happy to share a summary of work with other businesses in Powys and could share information at the Regional Skills Partnership level. The committee emphasised the importance of promoting Powys as a positive and dynamic place to live and work, with cultural events and activities which would appeal to a wide audience. The possibility of engaging with people who had heritage or businesses in Powys was also suggested.
Gareth Hall – Capital Working Group • Previous working group looked at capital programme and capital receipts. • This report was completed in summer 2024 and a lot had happened in the meantime. E.g. Audit Wales recommended 15yr+ Capital Programme time horizon, which indicated a need to revisit work. • The budget forecast had been received and there were substantial capital receipts in the Medium-Term Financial Plan which had implications for additional capital funding, particularly around disposals. • The asset review was put on a hold as it was subsumed in the wider Sustainable Powys programme. • It was requested that the Educational Capital Programme being incorporated into the Terms of Reference for this resurrected group. • Original report needed to be updated in light of information outlined above. • This was a timely resurrection of the group, as Audit Wales had begun to look at the capital programme. • Members John Brautigam, and County Councillor Peter Lewington nominated themselves to join the working group. Peter Lewington – Whistleblowing Working Group • Working group recommendations were still be worked on and it was asked that the committee understand to bring report to next meeting. No Internal Audit Working Group meeting had taken place since the last meeting of the Governance and Audit Committee.
No comments or questions were noted. Resolved to note the work programme.
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