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There is no summary of this meeting yet. One is written once the council publishes the minutes. The agenda and papers are below.
In accordance with the Code of Conduct adopted by the City and County of Swansea, no interests were declared.
Resolved that the Minutes of the previous meeting(s) of the Governance & Audit Committee be approved as a correct record.
Matthew Brushett, Audit Wales presented a report which sought to provide assurance that the Council had proper arrangements to support its financial sustainability. It also sought to explain the Council’s financial position and key budget pressures and risks to its financial sustainability. The audit criteria used to assess the Council's arrangements against each of Audit Wales’ questions was set out at Appendix 1. Overall, it was found that the council had reasonable arrangements to support its financial sustainability coma but there were weaknesses in the delivery and monitoring of the savings programme to support these. These included: - 1. The Council was beginning to develop a long-term approach to improve financial sustainability through its transformation programme, supported by its medium-term financial plan, but progress delivering the required savings had been slower than anticipated, presenting risks to the Council. 2. The Council had a good understanding of its medium-term financial position but the use of reserves in response to service over spend and risks around capital financing weaken its long-term financial sustainability. 3. The Council had arrangements to regularly monitor its financial position, but it did not report progress with individual savings or fully identified the impact of savings proposals to enable effective oversight of its financial sustainability. Exhibit 1 provided the Audit Wales recommendations for the Council. The Audit Wales representative thanked the Director of Finance, Councillors and officers for their help and assistance with compiling the report. Ben Smith, Director of Finance outlined the position of the Council and added that the management response of the Council would be circulated to the Committee following the meeting. The Chair, Director of Finance and Councillor R C Stewart, Leader of the Council referred to the role of the Committee and Scrutiny Programme Committee in monitoring progress. It was added that multi-year budget deals would allow councils to plan ahead more effectively that the one-year budgets currently being administered by the Government / Welsh Government.
Gillian Gillet, Audit Wales presented the Audit Wales - City and County of Swansea Detailed Audit Plan 2024. It was outlined that the Plan specified the statutory responsibilities of the Auditor General as external auditor and fulfilled his obligations under the Code of Practice. It also set out the work Audit Wales intended undertaking to address the audit risks identified, other key areas of focus during 2024, the estimated audit fee, details of the audit team and key dates for delivering the activities and planned outputs of the audit team. The responsibilities of the Auditor General were set out and information regarding the following was provided: - · Audit of Financial Statements. · Performance Audit Work. · Your audit at a glance. · Financial statements’ materiality. · Significant financial statements’ risks. · Other areas of focus. · Financial statements’ audit timetable. · Planned performance audit work. · Fee, audit team and audit quality. The Chair thanked the Audit Wales representative for the report.
Gareth Jones, Audit Wales presented the Audit Wales Work Programme and Timetable – City and County of Swansea. The report detailed the quarterly update and listed the following: - • Annual Audit Summary • Financial Audit Work • Performance Audit Work • Local Government National Studies Planned / In Progress • Estyn • Care Inspectorate Wales (CIW) • Audit Wales National Reports and Other Outputs Published Since October 2023 • Audit Wales National Reports and Other Outputs (work in progress / planned) • Good Practice Exchange Resources The Committee asked questions of the Audit Wales representative, which were responded to accordingly. The Chair thanked the Audit Wales representative for presenting the report.
Lee Wenham, Head of Communications and Marketing provided a report which presented the Committee with a draft of the Council’s Annual Review of Performance 2023/24, which met the statutory requirements to publish an annual self-assessment report and annual well-being report under Part 6 of the Local Government & Elections Act (Wales) 2021 and Well-being of Future Generations (Wales) Act 2015 respectively. It was stated that the report provided the progress the Council had made meeting its wellbeing objectives, as set out in its Corporate Plan 2022/23. The approach, method, improvements made following the 2021/22 assessment and a summary of the 2023/24 self-assessment, were outlined. Councillor D H Hopkins, Deputy Leader of the Council stated that the template of the report had been amended to make the document an easier read, with more focused information than previously, following feedback regarding last year’s report. He added that the report was scheduled to be reported to Council on 5 December 2024. Ness Young, Director of Corporate Services explained that work was underway to complete the improvement actions that were due to be completed by 31 March 2025. She added that there would always be a number of authors working on the annual review which can lead to inconsistencies and style differences, but the final document would be reviewed to avoid this and to clarify references to capital and revenue, the importance of surveys / response rates, which would be reflected in the final version. Ben Smith, Director of Finance commented upon the good financial position of the Council, whilst recognising the challenges raised by Audit Wales. The Committee discussed the following: - · The different format of the report which was welcomed. · The positive development of including an executive summary in the report but the need to ensure it captured the key challenges facing the council to ensure balance. · Whilst there was good evidence included, there was a need to review the detail to ensure consistency / flow / accuracy due to several authors contributing to the report. · The need to include details of measuring carbon reduction. The Chair commented that the report was very positive, but she would like to see more information on the challenges faced and areas of improvement, included in the report.
Ness Young, Director of Corporate Services provided the Committee with an update on actions being taken across the Council to respond to the latest Internal Audit review of the Accounts Receivable function. It was explained that since the last report, the Task and Finish Project Board had continued to clear the aged debt backlog and implement audit recommendations. Most significantly the current debt over 365 days category had reduced to £1,684,757 which was the lowest historical figure for this category since 2011, when these statistics began to be recorded. Progress had also been made on the 3 outstanding IAS recommendations, though full compliance has not yet been achieved. They were all low-risk or good practice actions and would be completed in due course, as outlined in Appendix 1. It was added that as of 15 January 2024, the project baseline identified 6,272 invoices over 365 days old, totalling £2,234,555 (excluding those collected via direct debit). Due to the collaborative efforts of service departments, along with the Accounts Receivable and Legal teams, the number of outstanding invoices had been reduced to 2,714, totalling £1,311,438. This marked a significant decrease of 56.5% in the number of invoices and a 41.3% reduction in the total balance owed. Table 1 of the report provided a detailed analysis of the remaining debt, revealing that 76.2% of the outstanding balance was attributed to specific reasons for non-payment, while the remaining 23.8% was actively being pursued by the relevant service areas for resolution. The Committee were also informed of progress made in respect of the Project Board’s efforts to find the causes of debt backlog and preventing it, the Oracle challenges faced, resource challenges, the focus upon old debt, Legal Debt Recovery Team referrals and the overall outstanding debt position. It was concluded that significant progress had been made since the formation of the Project Team. The Chair congratulated all involved on the progress made, which was a huge amount of work and a significant achievement. The Committee discussed the following: - · Issues faced with Oracle and timescales involved. · Reminder letter procedures in respect of debts. · Ensuring sufficient staff resources were available. · Ensuring departments comply with the Council’s contract procedure rules. · Using the intensive project team approach in other areas across the Council. Resolved that the contents of the report be noted.
Rachael Davies, Head of Human Resources and Service Centre presented a ‘for information’ report which provide an update on the Absence Management and Employment of Agency Workers audit reports since April 2024. It was explained that Appendix A contained the action plan that has been developed to address the ten recommendations made in the Absence Management audit report. Seven of the recommendations were complete. The two recommendations that related to the management of absence policy process and how managers accessed training were being progressed as part of the current review of the Council’s Management of Absence Policy. A new policy was out to consultation with the trade unions, with an estimated implementation date before the end of the year. A new training offer would need to be designed to support the proposed changes. The final outstanding recommendation related to automating sickness absence letters, was the subject of an Oracle change request to build a workflow process for trigger breaches to enable instant email notification. The information was currently available to managers through the existing Manager Self-Service functionality. Details were also provided in respect of sickness data, review of management of absence policy, Occupational Health support and agency provision. Discussions followed regarding the following: - · Sickness benchmarking targets. · Occupational Health procedures, tool kit guidance / training available for managers and moving to a needs-based approach focussed upon the individual. · Potentially using insurance policies, similarly to those used for teaching staff, to cover sickness. The position would be clarified by the Head of Service. · Redeployment opportunities for staff. · Management of Absence Policy review, the process of approval, the cost of agency staff linked to absence rates, which would be clarified by the Head of Service. · The new social care agency framework – see the outcomes against costs in a future meeting. The Head of Service would discuss with colleagues in Social Services Department. The Chair thanked the officer for her report and requested that when the Management of Absence Policy is approved, a training session be organised for the Committee in 2025.
Councillor Peter Black, Chair of the Scrutiny Programme Committee presented ‘for information’ the Scrutiny Annual Report 2023-24 and Scrutiny Work Programme. It was outlined that the report recognised the relationship between Scrutiny and Governance and Audit Committee, its ongoing importance and the actions already taken as part of this process. The Committee discussed the following: - · Recognising the progress made in respect of procurement and the recommendations made by the Scrutiny Inquiry. · Progress made in respect of school procurement procedures. The Chair thanked Councillor Peter Black for presenting the report.
The Social Services Directorate: Internal Control Environment 2024-25 report was provided ‘for information’. It was noted that neither the Director of Social Services or Heads of Service were available to attend the meeting. The Chair commented that she hoped to see specific risks relating to the Director rather than Corporate risks at Appendix A. She added that she would be happy for this to be addressed in the 2025/26 report. The Committee also queried the Welsh Government’s programme for a national community care information system. It was explained that the Welsh Government procurement process was currently underway. The Committee also complimented the integrated work being undertaken.
Sarah Lackenby, Head of Digital & Customer Services presented ‘for information’ the Annual Complaints and Compliments Reports 2023-24. It was outlined that the report provided assurance on the complaints handling process for 2023-24 and highlight compliments received from the public. It was added that the three reports at appendices A, B and C, detailed performance on the operation of the Corporate Complaints Policy and Social Services Complaints Policy between 1st April 2023 and 31st March 2024. Appendix C contained the annual letter for Swansea Council from the Public Services Ombudsman (Wales). The report provided details on the following: - · Corporate stage 1 complaints (informal). · Corporate stage 2 complaints. · Social Services complaints. · Compliments. · Cases reported to the Public Services Ombudsman (Wales). The Chair reminded the Committee of the terms of reference – to review and assess the Council’s ability to handle complaints. She added that she had confidence in the report and believed that the Council was operating an effective complaint procedure. The Committee discussed the following: - · Details of upheld complaints being provided. · The legal requirement to use external investigators, the need to use quality investigators, the complex nature of complaints and the ongoing need to monitor closely. · Assurance that Stage 1 complaints were dealt with effectively by departments and the ongoing monitoring / checks being undertaken. · A quarter of Adult Services complaints being made by one person and how they had been resolved. · Recognising that some complaints in respect of front-line services were out of the control of the Council.
Part of an issue followed across 2 meetings
The Director of Finance / Section 151 Officer presented ‘for information’ a report which provided the financial monitoring of the 2024/25 revenue and capital budgets, including the delivery of budget savings. It was explained that the report was presented to Cabinet on 19 September 2024 and was attached at Appendix 1. The following was discussed: - · Home to school transport costs – permanent release on virement from Education to Place. · High risk directorate overspends. · Permitted temporary overspending underwrite in Social Services – Cabinet decision pending (intention pre-announced).
The governance and assurance arrangements of the Council’s strategic partnerships was presented ‘for information’ and the contents of the report were noted by the Committee. The Chair asked that key challenges be included in future annual updates on the Council’s governance arrangements for its strategic partnerships.
The Quarter 4 and End of Year Performance Monitoring 2023/24 was presented ‘for information’ and the Committee noted the content of the report. The Committee queried the ‘RAG’ status of some areas. The Head of Communications and Marketing stated that he would seek the information from strategic leads and report back to the Committee. The Chair queried the way in which the information was presented. The Director of Corporate Services stated that the information was system produced and providing the Committee with information in a different format would provide an additional burden to officers. It was added that further discussions on the report format would take place at the Performance Management Committee training session arranged for 17 October 2024.
The Quarter 1 2024/25 Performance Monitoring Report was presented ‘for information’ and the Committee noted the content of the report.
The Governance & Audit Committee Action Tracker was reported ‘for information’ and the Committee noted the content of the report.
The Governance & Audit Committee Work Plan was reported ‘for information’ and the Committee noted the content of the report.
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