Background
Background

Agenda and draft minutes

Venue: Bainbridge Room, The Copeland Centre, Catherine Street, Whitehaven. CA28 7SJ

Contact: Clive Willoughby  Tel: 01946 598328

Items
No. Item

AU42

Apologies for Absence

Minutes:

There were no apologies for absence.

AU43

Declarations of Interests in Agenda Items:

Minutes:

Councillor Joan Hully declared an interest on issues relating to benefits.

AU44

Minutes of the meeting held on 7 November 2018 pdf icon PDF 55 KB

Minutes:

RESOLVED – That the minutes of the meeting held on 7 November 2018 be signed by the Chair as a correct record.

AU45

Audit Monitoring Report pdf icon PDF 41 KB

Additional documents:

Minutes:

Consideration was given to the 2019 Audit Monitoring report, which summarised the internal audit work in the latest period.

 

Committee was informed that Internal Audit had issued three final reports being Contract Management of Building Contracts, Quality Assurance of Statutory Accounts and Strategic Housing-Disabled Facilities Grants.

 

During discussion of this item, Members expressed concern that a number of recommendations were outstanding and were advised that since the report was written most of these had been cleared and the remainder were in hand.

 

RESOLVED – That the progress on the 2019 2019 audit plan be noted.

 

AU46

Internal Audit Performance Measures (Q3 - 2018/19) pdf icon PDF 63 KB

Minutes:

Consideration was given to the Internal Audit Performance Measure report for Quarter three 2018/19.

 

Committee was advised that there were 20 reviews on the 2019/19 plan. This included one carried forward from 2017/18 and eight follow up reviews.

To date, 15 audits were commenced. Seven of these have had the final report issued, one was awaiting a response to the draft report and seven were in progress.

One audit was postponed until 2019/20 and one was cancelled.

 

During discussion of this item it was asked why staff had not completed the audit customer satisfaction survey and were advised that staff were requested to complete the survey form but there was no compulsion to do so. Comments made at the ‘Close Out’ meeting provided good feedback.

 

RESOLVED – That the report be noted.

 

AU47

Audit Progress Report and Sector Update pdf icon PDF 433 KB

Minutes:

The Chief Finance Officer provided Committee with an update on the accounts and stated that permission was received from Government at the beginning of December 2018 regarding the Capitalisation directive following the cyber-attack. He then confirmed that the 2017/18 Financial Statements would be sent to the external auditors on Friday 1st February 2019.

 

The external auditor from Grant Thornton stated that the Chief Finance Officer had kept the auditors up-to-date throughout and provided the financial statements arrived on 1 February, they were sufficiently resourced and would commence work on them immediately.

 

Consideration was given to the External Audit Progress Update Report showing progress in the delivery of their responsibilities as external auditors.

 

During the discussion that followed, the external auditor set out future timescales that would bring the future accounts back within deadlines and expressed confidence that Copeland was making good progress.

 

Members were encouraged by the updates given and wished to thank the Chief Finance Officer and his team for their hard work.

 

RESOLVED – That the report be noted.

 

AU48

Annual Certification Letter 2017-18 pdf icon PDF 129 KB

Minutes:

Consideration was given to the Grant Thornton Annual Certification Letter for work carried out for the year ended 31 March 2018.

 

RESOLVED – That the Grant Thornton Annual Certification Letter for work carried out for the year ended 31 March 2018 be received and noted.

 

AU49

Internal Audit Plan 2018/19 - Progress against plan at 21 January 2019 pdf icon PDF 62 KB

Minutes:

The Internal Audit Manager introduced the Internal Audit Plan 2018/19 to Committee and advised that the plan for 2019/20 was in the process of being prepared.

 

RESOLVED – That the Internal Audit Plan 2018/19 progress against plan report as 21 January 2019 be received and noted.

 

AU50

Quarterly Risk Monitoring Report for Quarter 3 of 2018/19 pdf icon PDF 51 KB

Additional documents:

Minutes:

Consideration was given to the Risk Monitoring report for Quarter three of 2018/19, introduced by the Performance and Risk Management Officer.

 

It was highlighted that in response to changing Sallafield transformations and the pause of the new Moorside development, a full review of Strategic Risks 5 (Failure by the Council to maintain an effective role within the nuclear and energy sectors) and 6 (Failure to maintain an effective and statutory role in Nationally Significant Infrastructure Projects) was carried out during this period.

 

Committee were advised that two new risks had been added to the Strategic Risk Register, these were Risk 6a (Failure of Copeland economy to fulfil its potential relating to delays in Moorside project and North West Connections) and Risk 12 (Failure for the Council to prepare for the possibility of changes in Local Government governance arrangements).

 

There were also two issues currently being monitored by the Corporate Leadership Team. These were the uncertainty around Government strategy and policy for Brexit, including the impact on funding to rural communities and the Uncertainty around the local impact of Welfare Reform, including the roll out of Universal Credit to Copeland.

 

Committee reviewed the register in detail and made additional suggestions which the Performance and Risk Management Officer may wish to look at for future reports.

 

RESOLVED – That

a)      the updated Strategic Risk Register attached at Appendix A to the report be noted;

b)      the changes made to the Strategic Risk Register during Quarter three attached at Appendix B to the reports be noted;

c)      the ‘Red’ Operational Risks Report for Quarter three attached at Appendix C to the report be noted; and

d)       no further recommendation be made for consideration by the Executive.

 

AU51

Report on the Implementation of Audit Recommendations for Quarter 3 of 2018/19 pdf icon PDF 758 KB

Additional documents:

Minutes:

Consideration was given to the progress of the implementation of Audit recommendations for Quarter three of 2018/19.

 

The Performance and Risk Management Officer highlighted that at the end of Quarter three, there were a total of 35 audit recommendations outstanding, with a target date for completion up to 31 December 2018. Of these 13 were Priority 1 and 22 were Priority 2.

 

During the discussion that followed, Committee were of the opinion that they would prefer that rather than extending the date, they would like the date to remain at overdue and reported to this committee with an explanation.

 

RESOLVED – That

a)      the report and progress being made in implementing overdue recommendations be noted;

b)      the recommendations made by CLT listed in table 1 of the report (2.2 refers) be agreed.

 

AU52

Date and Time of Next Meeting:

The next meeting of the Audit and Governance Committee will be held on Wednesday 10 April 2019 at 2:00pm in the Bainbridge Room, The Copeland Centre, Whitehaven.

Minutes:

It was noted that the next meeting of the Audit and Governance Committee would be held on Wednesday 10 April 2019 at 2.00pm in the Bainbridge Room, The Copeland Centre, Catherine Street, Whitehaven.

 

 

Original text