Agenda item

Internal Audit Progress Report 2020/21

 

The Head of Internal Audit, Anti-Fraud and Assurance will submit a report providing a summary of the Internal Audit activity completed, and the key issues arising from it, for the period 16th November to 31st December, 2020.

 

Minutes:

The Head of Internal Audit, Anti-Fraud and Assurance submitted a report providing a summary of the Internal Audit activity completed and the key issues arising from it for the period 16th November to 31st December, 2020.

 

The report, which was presented by Mrs S Bradley (Audit Manager), outlined, amongst other things:

 

  • The progress of the Internal Audit Plan delivery up to the 31st December, 2020 analysed by the number of plan assignments producing a report and the audit days delivered by Directorate/Service.  It was reported that 79% of the Internal Audit and Corporate Anti-Fraud Plans had been delivered.  Including the external clients, the assurance work and the DPO role, 72% of the planned work had been delivered to date.  This should give Members assurance that the Service was on track in terms of planned delivery for this time of the year
  • A total of 5 reports had been issued in the period with 24 being issued in the previous reporting period.  All the reports issued had resulted in a positive assurance opinion.  One of the reports, a DPO Assurance Review, had a high implication in terms of categorisation in view of the need to remind staff who the Data Protection Officer was together with the purpose of that role.  This action had now been discharged
  • The work that was currently ongoing together with the status of that work
  • Information about the quarter 3 Performance Indicators.  It was pleasing to note there were no concerns to raise, however, whilst productivity was slightly down on target, this was largely due to the profile of annual leave being taken at this time of the year and the Service was confident that the Plan would be delivered
  • Based on the audits reported in the period an overall reasonable assurance option was considered to be appropriate

 

A written response to a question asked by Members of the Committee was provided in relation to the outcome of the Information Governance Awareness surveys and the awarding of a ‘high’ management action.  As previously reported, there was a lack of awareness/misunderstanding of who the Data Protection Officer was and what the remit of that role was.  This matter had been actioned via the issuing of a corporate communications newsletter

 

RESOLVED:

 

(i)           that the issues arising from the completed internal audit work for the period along with the responses received from management be noted;

 

(ii)          that the assurance opinion on the adequacy and effectiveness of the Authority’s Internal Control Framework based on the work of Internal Audit in the period to the 31st December, 2020 be noted;

 

(iii)         that the progress against the Internal Audit Plan for 2020/21 for the period to the31st December, 2020 be noted; and

 

(iv)            that the performance of the Internal Audit Division for the period be noted.

Supporting documents:

 

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