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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 Governance and Audit Committee Terms of Reference be noted.
RESOLVED:- That the Work Programme be approved.
RESOLVED:- (i) That the Governance and Audit Committee considered the external regulators’ reports and the council’s response to these (Appendix A). (ii) That the Governance and Audit Committee considered progress with actions to address recommendations/proposals for improvement reported since October 2022.
RESOLVED:- (i) The Governance and Audit Committee considered the Audit Wales review at Appendix A. (ii) The Head of Service Audit and Technical will enquire about the appointment of two elected Members onto the Governance and Audit Committee.
RESOLVED: - That the Governance & Audit Committee considered the report and obtained satisfactory explanations regarding any areas of concern.
RESOLVED: - That the Internal Audit Charter 2023-24 was approved.
RESOLVED:- That the press and the public be excluded from the Meeting during consideration of the following item (s) as it is likely that, if they were present, there would be disclosure to them of exempt information as defined in Paragraph 18 of Part 4 of Schedule 12A to the Local Government Act 1972 (as amended).
Apologies of absence were submitted on behalf of Councillor Dana Davies and Lay Member Donald Sturgeon.
During discussion Members highlighted the following extra point:- Item 5 Statement of Accounts There were no uncorrected misstatements of Accounts and the large amendment following review of the capital values of the infrastructure has been included in Appendix 3 of the report. RESOLVED: - That the minutes of the meeting held on Thursday 19 January 2023 be signed as a correct record.
There were no declaration of interests.
Decision as recorded
RESOLVED:- That the Governance and Audit Committee Terms of Reference be noted.
The Terms of Reference was submitted for information. RESOLVED:- That the Governance and Audit Committee Terms of Reference be noted.
Decision as recorded
RESOLVED:- That the Work Programme be approved.
It was confirmed that the performance self-assessment will be included in the updated Work Programme. RESOLVED:- That the Work Programme be approved.
Decision as recorded
RESOLVED:- (i) That the Governance and Audit Committee considered the external regulators’ reports and the council’s response to these (Appendix A). (ii) That the Governance and Audit Committee considered progress with actions to address recommendations/proposals for improvement reported since October 2022.
The Chief Executive submitted a report (CE/04/23) which presented an account of external regulation and inspection received since the last summary report (October 20th 2022). To enable the Governance and Audit Committee (GAC) to fulfil its Terms of Reference in relation to considering an overview of reports issued by external regulators and inspectors so that it could ensure that the council has provided an effective response to any relevant recommendations. The Head of Service Performance Improvement and Partnerships (PIPS) informed Members that: · A process for reporting of external regulation and inspection was agreed with the Governance and Audit Committee in May 2021. · To allow the Governance & Audit Committee to meet its Terms of Reference the Committee has been provided with a summary of the thematic reviews so that it could obtain assurance that the Council was sufficiently and adequately reporting effectively to any recommendations made on such reports. · Any local reports relating to Wrexham Council will be referenced separately as individual items within the agenda. The Audit Wales Lead presented each of the reports and highlighted the main points within them and the appropriate Officers of the Council explained the council’s response to that report and took questions for each report. Appendix A1 Equality Impact Assessments (EIA’s) The Head of Service Performance Improvement and Partnerships (PIPS) informed Members that it was a timely and helpful report and that a new integrated impact assessment (IIA) tool was currently being developed to incorporate the current equality impact process, along with a range of other impacts. Good progress had been made and the Equality Impact Assessment would be strengthened through consideration of the key messages outlined in the report. The following was discussed: · In relation to the IIA that is under development, the Head of Service PIPS advised Members that the categories being included in the IIA had been drawn from equalities guidance, other duties and following consultation with the Senior Leadership Team (SLT) and colleagues from across the council. The IIA will be kept under review and its content updated as necessary, and a post implementation review will be carried out. · Members were concerned that the completion of Equality Impact Assessments (EIA’s) would be a tick box exercise. · Members were assured that guidance and training is already provided for officers in relation to equalities and the need to undertake equality impact assessments and there is already a process in place via an online tool for officers to complete EIA’s, which is well embedded across the Council. Further guidance and support for using the IIA would be included as part of the introduction of the IIA, to help address this concern. · Quality assurance of the new IIA will take place annually. · The current EIA process was a live document and there should be a level of input, mitigations and consultation feedback taken throughout the EIA completion process. This would be the same with the IIA. · Consultation with the public and those with protected characteristics is a key consideration during service changes. The Council also had a directory of organisations that were available to inform the EIA’s. · Scrutiny Committees are provided with EIA’s that relate to the reports that will be discussed at their Committee Meetings. · EIA processes are not currently included on any Scrutiny work programme. · Members considered that the EIA process could be raised as a topic for consideration. Appendix A2 – The National Fraud Initiative (NFI) in Wales 2020-21 The Chief Officer for Finance and ICT informed Members that it was a timely piece of work. Wrexham Council have participated fully in the NFI exercise and have implemented the recommendations. It was highlighted that on receipt of the NFI exercise there have been a number of councils that have carried out separate pieces of work such as reviewing the single persons discount allowance. Members asked a number of questions which were responded to accordingly, and the following points were highlighted during he detailed debate: · The majority of Welsh NFI participants displayed a strong commitment to counter fraud; however 13 out of the 22 Welsh local authorities identified 95% of the fraud and error outcomes achieved by Welsh local authorities. · The Audit Wales Lead explained that they were not allowed to list which of the 13 councils that had contributed to the savings identified in the report and that the whole purpose of the exercise was to provide assurance. · A targeted approach could be undertaken where Audit Wales could provide specific feedback to Wrexham Council. · The testing of the NFI matches was considered to be time consuming and took up resources. · Housing benefit fraud had reduced due to the introduction of universal credit. · Housing benefits was the original NFI significant driver because it showed the matches with the greatest returns. · The Chief Officer Finance and ICT explained if a number of matches indicated a pattern on how the transactions had occurred then it would prompt a quick thorough review on the control mechanisms around them and the service area. · The weaknesses in control will be raised from internal audit who will outline a set of recommendations to address those weaknesses. · A Member enquired on how much of the outcome values outlined in the report had been recovered from the processes nationally and locally. · The Audit Wales Lead informed Members that Audit Wales did not carry out follow ups for the successful outcome values that have been recovered. · The Audit Lead for Audit Wales will feed back to Audit Wales regarding the inclusion of recovery outcomes in future NFI reports going forward. Appendix A3 – Time for Change- Poverty in Wales The Audit Lead for Audit Wales informed Members that the report looked at the challenge of poverty in Wales and that tackling poverty remained a priority at all tiers of government. The Lead Member for Corporate Services welcomed the report and highlighted that the Tackling Poverty Strategy had been in place since 2018 and that it was due for renewal. The Tackling Poverty Strategy for 2024 to 2028 will be taken to the Executive Board to consider and adopt next year. The existing Plan did not include partners and it focused on Council interventions. At a recent Employment Business and Investment Scrutiny Committee (EBISC) meeting, the Chief Executive Officer of the Association of Voluntary Officers in Wales (AVOW) attended expressing support for the Council’s work on tackling poverty and the intent to work together in the revised plan for 2023/28. The report was first in a series of three Audit Wales reviews and the other remaining reports will focus on building community resilience and self-reliance. During discussion the following points were raised: · The measurement of success resulting from the NFI initiatives would be evidenced around the individual service of interventions and the impact on the personal lives that would be anomalised in that area. · It was difficult to measure the direct impact and the correlation of a service. · Regular annual reports will be reported to the Employment Business Investment and Scrutiny Committee (EBISC) where there has been a full discussion regarding the impact, relevance and the ability to engage with the key source. · Poverty was wider than the economy Department. For example, Children Services will equally report through their own processes with partners and they will monitor successes and direct resources in the appropriate way. · A member enquired about the free school meals and how poverty was measured in that area. · It was explained that the council considered poverty as part of the Equality Impact Assessment. · The Council Plan involved partnership working and recently there have been conversations with the nearby college regarding the changed behaviour of learners. · The draft Council Plan priorities were currently out to consultation – there was a proposed priority that related to the promotion of good health and well-being that also linked to reducing health inequalities and tackling poverty. The council’s priorities and anti-poverty work would be informed by the recent Public Services Board’s Well-being Assessment and the council priorities consultation. · The chair highlighted that the well-being narrative within the current council plan was not sharp enough. · The Head of Service PIPS invited the chair of the committee to provide feedback on the draft Council Plan. · Audit Wales will report back to the committee regarding assurance around the tackling of mental health with vulnerable people. · A Member was concerned that people may be left behind due to the implementation of modern ways of working. · Digital exclusion remained a major challenge for tackling poverty and that people found it difficult to access online services such as applying for their blue badge. Appendix A4 - ‘A missed opportunity’ Social Enterprises The Audit Lead informed members that the report focused on the opportunities for local authorities to maximise their impact for the communities that they serve with a strategic approach. The Head of Service Regeneration introduced the report and highlighted that Officers had taken part during the audit and the recommendations. As a result of the recommendations officers have elevated the status of the resultant action plan and will be reviewing it with partners, scrutiny and the Executive Board. The following was discussed: · Members were assured that funding evidence would be required for social enterprise spending. · Social Enterprises that were in receipt of grant income would have to report back to Wrexham Council where intervention checks would be carried out. There would also be certain outcomes that they would have to meet as part of their set funding criteria. · The Council had a good working relationship with the Social Enterprises and should their funding be received from outside bodies other than from the council then funding evidence would be provided to the Council voluntarily. · The business support team were confident that the funding outcomes would be recorded. · Social Enterprises were most often established by the social passion and vision rather than a commercial idea. However, most often they will have to have both of these elements in order to be sustainable and that is where the business support team will provide the dual approach support for the third sector there. · The Business Support team will work with national organisations to provide best practice approach to social enterprises. · The voluntary led Good First Business network in Wrexham may need to be re-established. · The Chief Officer Economy and Planning was a member of a crisis group and has awarded several awards to organisations and has provided sustainable support to them. Appendix A5– A picture of Flood Risk Management The Audit Wales Lead informed Members that the report did not make recommendations but highlighted that there will be a community resilience and flood management review in the near future that will include the risks relating to climate change and the work force. There was also an urgency for local authorities to deal with these challenges. The Head of Service Operations, Environment & Technical Services explained that Wrexham Council’s overarching strategy for the management of flood risk was detailed in the Flood Risk Management Plan. The Flood Risk Management Plan was due for review but has been slightly delayed due to the Covid Pandemic. During consideration of the report the following matters were discussed:- · The environment department has been working on a strategy to share with the Planning Department where more input will be received from the Environment team that related to flooding issues. · A flood risk manager has recently been appointed and their current role was to look into improving better communication with the Planning Department. · Officers would do their best to respond to flood issues and it was identified that the flood team have received a number of accounts of flooding in problem areas that they had not experienced before and this has created a new challenge for them. · Members were assured that the flood team were able to carry out surveys and elevate the flood problems within Wrexham. · Members acknowledged that Wrexham’s flood performance was creditable and that the flood team has recognised the prioritised areas where work had to be done. · A Member enquired if enough money was being brought in to support the flood areas. · Members were assured that Wrexham Council had a flood elevation group that involved fifteen to sixteen volunteers who would also be paid for out of hours work. · Universities were providing flood specialist training and the flood risk Manager had relevant risk management skills. RESOLVED:- (i) That the Governance and Audit Committee considered the external regulators’ reports and the council’s response to these (Appendix A). (ii) That the Governance and Audit Committee considered progress with actions to address recommendations/proposals for improvement reported since October 2022.
Decision as recorded
RESOLVED:- (i) The Governance and Audit Committee considered the Audit Wales review at Appendix A. (ii) The Head of Service Audit and Technical will enquire about the appointment of two elected Members onto the Governance and Audit Committee.
The Chief Executive submitted a report (CE/03/23) that presented a letter from Audit Wales, which presented the outcome of an in-year assurance and risk assessment review of the council’s arrangements for responding to the Local Government and Elections (Wales) Act 2021. The Audit Wales Lead introduced the report and highlighted that: · It was a local report that was replicated across the twenty two Councils in Wales. · Progress has been made with regards to responding to the Local Government and Elections (Wales) Act 2021. · Work was ongoing and there were some issues that related to the North Wales Corporate Joint Committee (CJC). · The Council has not yet confirmed its plans for completing the required external panel performance assessment. The Head of Service Performance Improvement and Partnerships (PIPS) highlighted that Audit Wales’ assurance work had not resulted in any recommendations in this area. In relation to the Self-Assessment requirement, the external panel performance assessment has yet to be finalised and Wrexham Council continues to engage with the Welsh Local Government Association (WLGA) who were currently in the process of arranging suitable peers and support to co-ordinate this piece of work. Once the outcome of this work was available, the Leader and the Chief Executive will be in a position to agree a date for the peer review. A detailed discussion ensued and the Governance and Audit Committee considered the Audit Wales review. It was highlighted that there were two elected member vacancies on the Governance and Audit Committee. RESOLVED:- (i) The Governance and Audit Committee considered the Audit Wales review at Appendix A. (ii) The Head of Service Audit and Technical will enquire about the appointment of two elected Members onto the Governance and Audit Committee.
Decision as recorded
RESOLVED: - That the Governance & Audit Committee considered the report and obtained satisfactory explanations regarding any areas of concern.
The Chief Officer Finance and ICT submitted a report (COFI/05/23) asking Members to consider the Head of Service Audit & Technical’s Interim Report for April 2022 to January 2023. The Head of Service Audit &Technical introduced the report and highlighted that: · Completion of the Audit Plan 2022-23 was on track. · The fourth follow-up audit of the Breakfast Clubs was completed during the period and there was an amber level of assurance. The following was discussed:- · The Payroll report has been drafted and will be reportable at the next Governance and Audit Committee meeting in May 2023. · There were a number of audits that had not yet commenced and Members were assured that Internal audit intend to complete them in the financial year 2022-23. · If there was any changes to the Audit Plan the Governance and Audit Committee will be updated in May 2023. · Members will be provided with details regarding the number of purchase cards that were in circulation across Wrexham Council. · Members were assured that the Fraud telephone hotline and email was in operation. · The Head of Service Audit &Technical assured Members that Internal Audit was satisfied with the controls that were in place for the Breakfast clubs. · There will be no further follow up reviews for the ICT networks because the amber status will always remain the same. Members will be informed on how the ICT networks audit amber status will be dealt with in part 2 of the GAC Meeting. RESOLVED: - That the Governance & Audit Committee considered the report and obtained satisfactory explanations regarding any areas of concern.
Decision as recorded
RESOLVED: - That the Internal Audit Charter 2023-24 was approved.
The Chief Officer Finance and ICT submitted a report (COFI/04/23) asking Members to approve the Wrexham Internal Audit Charter for 2023/24). The Head of Service Audit &Technical introduced the report and highlighted that it was delivered under the framework provided by the Public Sector Internal Audit Standards (the Standards). There were no procedural changes and that the Charter included the Internal Audit Plan 2023-2024. The Governance and Audit Committee will receive regular interim reports and if there were any material variances then they will be highlighted within these reports and will also be reported to the Senior Leadership Team. A discussion pursued and the following was highlighted: · There were a number of planned audits that had been included in the Internal Audit Plan for 2023-24 that had been highlighted in a different colour. It was explained that they comprised of high risk and emerging areas that had not been audited before. · The Senior Leadership Team and all Chief Officers as well as the Chief Executive have been consulted on the audits to be included in the Plan. There have also been follow up discussions with the Chief Officers regarding the scope around assignments. · Members were assured that audit staff were members of professional bodies and that a peer review process was in place. Audit Staff would will undergo appraisal assessments that would form against their objectives as part of their interim and annual review. · Assurance engagements for functions where the Head of Internal Audit and Technical has operational responsibility will be over seen by independent qualified senior Managers who were at Head of Service level. · A consolidated list documenting previous audits will be included in future audit plans. · A Member enquired about the purpose of the Governance and Audit Committee where part of their role was to review and scrutinise the authority’s financial affairs. · A date will be scheduled to enable Members to review the Governance and Audit Committee’s Terms of Reference. RESOLVED: - That the Internal Audit Charter 2023-24 was approved.
Decision as recorded
RESOLVED:- That the press and the public be excluded from the Meeting during consideration of the following item (s) as it is likely that, if they were present, there would be disclosure to them of exempt information as defined in Paragraph 18 of Part 4 of Schedule 12A to the Local Government Act 1972 (as amended).
RESOLVED:- That the press and the public be excluded from the Meeting during consideration of the following item (s) as it is likely that, if they were present, there would be disclosure to them of exempt information as defined in Paragraph 18 of Part 4 of Schedule 12A to the Local Government Act 1972 (as amended).
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