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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 minutes of the Governance and Audit Committee held on 18 September 2023 be approved and signed as a correct record.
RESOLVED:- That the Audit and Governance Committee Forward Work Programme be approved.
RESOLVED: That the Treasury Management Quarter 2 update 2023/2024 be noted.
RESOLVED: That the Internal Audit Performance report (1 April 2023 to 30 September 2023) be noted.
RESOLVED: That the Governance and Audit Committee Training Needs Self-Assessment report be noted.
RESOLVED: That the new practices and developments around monitoring and controlling of programmes and significant projects to be piloted from January 2024 be noted.
RESOLVED: That the external regulatory reports and accompanying action plans be noted.
RESOLVED: a) That a report be presented to the next meeting of the Governance and Audit Committee in respect of the monitoring of partnership issues involving Betsi Cadwaladr University Health Board and that Councillor Penny Andow (Cabinet Member for Integrated Adult and Community Services) and Councillor Cheryl Carlisle (Chair of the Conwy and Denbighshire Public Services Board Joint Overview and Scrutiny Committee) be invited to attend. b) That the progress made on recommendations and proposals for improvement included within external audit reports be noted. c) That the removal of recommendations from future compliance reports be approved as the Committee was satisfied with the arrangements in place to address the recommendations included in the Conwy Audit Compliance Report.
RESOLVED: a) That the Cabinet Member for Democracy and Governance highlight to Cabinet the Governance and Audit committee’s observation that the risk that the Council does not set a balanced budget for 2024/2025 was not set out explicitly enough within the Corporate Risk Register. b) That the corporate issues register and corporate risk register be noted.
Apologies for absence were received from Councillors Gareth Jones, Paul Luckock and John Roberts.
Whilst not a formal declaration, Nigel Rudd (Lay Member) noted that he was a Member of Denbighshire County Council’s Governance and Audit Committee.
None.
Decision as recorded
RESOLVED: That the minutes of the Governance and Audit Committee held on 18 September 2023 be approved and signed as a correct record.
Note: Gareth Lucey (Audit Wales) was in attendance for this item. The minutes of the meeting of the Governance and Audit Committee held on 18 September 2023 were submitted for approval. In response to a query regarding the appointment of affiliates programme (minute 339), Gareth Lucey (Audit Wales) advised that Audit Wales did not currently use affiliates, due to the cost and availability of private auditors. The affiliate programme would remain under review, taking into consideration value for money, quality and availability. RESOLVED: That the minutes of the Governance and Audit Committee held on 18 September 2023 be approved and signed as a correct record.
Decision as recorded
RESOLVED:- That the Audit and Governance Committee Forward Work Programme be approved.
The Governance and Audit Committee Forward Work Programme was presented. The follow up Data Protection Audit was due to take place in January 2024. An update would be provided to Members as part of the Internal Audit Annual Report in May 2024. RESOLVED:- That the Audit and Governance Committee Forward Work Programme be approved.
Decision as recorded
RESOLVED: That the Treasury Management Quarter 2 update 2023/2024 be noted.
The Head of Finance presented Members with an update of treasury management activity undertaken in Quarter 2 of 2023/2024. The following was discussed: • It was confirmed that there had been a reduction in both borrowing and investments – mainly due to the ‘calling in’ of two Lender Option Borrower Option (LOBO) loans by the lender in September 2023. • The existing Capital Programme was being reviewed. • Whilst discussions had taken place with the Council’s Treasury Management Advisors in respect of benchmarking the finance costs as a proportion of net revenue stream it was concluded that meaningful comparison was difficult as each Local Authority was in a different position with different strategies. • The percentage of finance costs to net revenue stream was forecast to increase over the coming years to reflect increased borrowing requirements for the existing capital programme and anticipated minimal/static Welsh Government funding for Local Government. RESOLVED: That the Treasury Management Quarter 2 update 2023/2024 be noted.
Decision as recorded
RESOLVED: That the Internal Audit Performance report (1 April 2023 to 30 September 2023) be noted.
The Audit Manager (Systems and Compliance) presented a report on the Internal Audit Performance 1 April, 2023 to 30 September, 2023. The following was discussed: • In respect of the Cyber Security Audit, the Audit Manager (Systems and Compliance) confirmed that 2 recommendations were not accepted as they were considered to be already in place by management. • It was confirmed that the Information Commissioner had not been consulted in respect of the Social Care, General Data Protection Regulation (GDPR) special investigation. As per the Disciplinary Policy, the Head of Service had considered the case and had decided that no disciplinary action was required. • An audit had not yet been carried out on the new Technology 1 financial system, however, audit staff had attended relevant working groups and an audit of the creditors’ service was scheduled for January 2024. • The Head of Audit and Procurement would confirm timescales for completing cyber security training and would ensure that those who used their own devices were also mandated to complete the training. RESOLVED: That the Internal Audit Performance report (1 April 2023 to 30 September 2023) be noted.
Decision as recorded
RESOLVED: That the Governance and Audit Committee Training Needs Self-Assessment report be noted.
The Head of Internal Audit and Procurement presented a report on the Governance and Audit Committee Training Needs Self-Assessment. The following was discussed: • It was suggested that Governance and Audit Committee Members, who had not completed the self-assessment, be encouraged to do so in order that training needs for all Members could be identified. • It was confirmed that the training plan was fluid and training needs would be identified on an ongoing basis. • The Head of Internal Audit and Procurement would discuss the possibility of an overview of financial management processes with corporate finance. RESOLVED: That the Governance and Audit Committee Training Needs Self-Assessment report be noted.
Decision as recorded
RESOLVED: That the new practices and developments around monitoring and controlling of programmes and significant projects to be piloted from January 2024 be noted.
The Corporate Modernisation Manager presented a report on the review of Conwy's approach to the monitoring and controlling of programmes and significant projects. The following was discussed: • It was confirmed that whilst, external accreditation had been considered, it had not been pursued further due to cost, however, this would continue to be explored in the future. • New practises would be piloted for a period of 6 months from January 2024. Whilst, the new approach would be resource intensive, it would result in highly skilled project managers. RESOLVED: That the new practices and developments around monitoring and controlling of programmes and significant projects to be piloted from January 2024 be noted.
Decision as recorded
RESOLVED: That the external regulatory reports and accompanying action plans be noted.
Note: Charles Rigby – Audit Wales was in attendance for this item. The Corporate Performance and Improvement Manager presented an overview of regulatory reports recently issued by external regulators. The regulatory reports presented were: · Cracks in the Foundation – Building Safety in Wales (Audit Wales) (National Report) · Conwy County Borough Council – Financial Peer Review (Welsh Local Government Association (Local Report) The following was discussed: • It was confirmed that actions were prioritised within the action plan. • Charles Rigby (Audit Wales) advised that concrete failure within buildings was not currently on the Audit Wales Forward Work Programme. • The Development and Building Control Manager confirmed that legislation changes meant that officers within building control would be required to undertake additional training. • Due to the need for building control to be cost neutral, it was difficult to appoint new staff, however, an apprentice, funded by Local Authority Building Control (LABC), would start in January, 2024. • Building control fees had increased and would be reviewed further as well as exploring other opportunities for income generation. • Whilst the action plan had been approved by Cabinet, it was suggested that the Council should maintain contact with the team, who conducted the financial peer review for a period of 12 months. • It was confirmed that the Council’s constitution was being reviewed in line with the all Wales model constitution. • The Corporate Performance and Improvement Manager would seek clarification in respect of a long term financial plan, which included managing reserves and how this would be shared with the Governance and Audit Committee. RESOLVED: That the external regulatory reports and accompanying action plans be noted.
Decision as recorded
RESOLVED: a) That a report be presented to the next meeting of the Governance and Audit Committee in respect of the monitoring of partnership issues involving Betsi Cadwaladr University Health Board and that Councillor Penny Andow (Cabinet Member for Integrated Adult and Community Services) and Councillor Cheryl Carlisle (Chair of the Conwy and Denbighshire Public Services Board Joint Overview and Scrutiny Committee) be invited to attend. b) That the progress made on recommendations and proposals for improvement included within external audit reports be noted. c) That the removal of recommendations from future compliance reports be approved as the Committee was satisfied with the arrangements in place to address the recommendations included in the Conwy Audit Compliance Report.
In presenting the above report, the Corporate Performance and Improvement Manager was able to provide assurance that progress on recommendations made by external auditors were being monitored, progressed and reported adequately. Approval was sought for the removal of recommendations with satisfactory arrangements in place from future compliance reports. The following was discussed: • In respect of recommendation end dates being extended due to capacity issues, it was confirmed that services had been requested to include proposals to change end dates within progress reports. It was also being explored whether an IT system could be utilised to track and monitor end dates. • It was confirmed that issues surrounding Betsi Cadwaladr University Health Board (BCUHB), including partnership working was a high priority corporate issue. Completion dates had been allocated to some recommendations, but others remained outstanding. • Whilst it was confirmed that the Council was in regular contact with BCUHB, Members felt an update report on the monitoring of issues surrounding partnership working would be beneficial. RESOLVED: a) That a report be presented to the next meeting of the Governance and Audit Committee in respect of the monitoring of partnership issues involving Betsi Cadwaladr University Health Board and that Councillor Penny Andow (Cabinet Member for Integrated Adult and Community Services) and Councillor Cheryl Carlisle (Chair of the Conwy and Denbighshire Public Services Board Joint Overview and Scrutiny Committee) be invited to attend. b) That the progress made on recommendations and proposals for improvement included within external audit reports be noted. c) That the removal of recommendations from future compliance reports be approved as the Committee was satisfied with the arrangements in place to address the recommendations included in the Conwy Audit Compliance Report.
Decision as recorded
RESOLVED: a) That the Cabinet Member for Democracy and Governance highlight to Cabinet the Governance and Audit committee’s observation that the risk that the Council does not set a balanced budget for 2024/2025 was not set out explicitly enough within the Corporate Risk Register. b) That the corporate issues register and corporate risk register be noted.
The Corporate Performance and Improvement Manager presented the Corporate issues register and corporate risk register. The following was discussed: • It was confirmed that the lack of strategic vision for assets would be transferred from the risk register to the issues register following approval by Cabinet. • The inclusion of a dashboard was welcomed. • The peer review had highlighted that some reports, including the risks report were too lengthy. • Work was ongoing in respect of improving the format of the risks and issues registers. • It was suggested that there was an overlap between the Finance and Resources Overview and Scrutiny Committee and the Governance and Audit Committee in respect of reviewing the corporate issues and risk registers. • Whilst it was suggested that the Governance and Audit Committee did not continue to review issues, the Corporate Performance and Improvement Manager recommended that both issues and risks were presented in order that a full overview was provided. • Whilst there was a risk in relation to the Council’s finances, the risk did not explicitly refer to setting a balanced budget. RESOLVED: a) That the Cabinet Member for Democracy and Governance highlight to Cabinet the Governance and Audit committee’s observation that the risk that the Council does not set a balanced budget for 2024/2025 was not set out explicitly enough within the Corporate Risk Register. b) That the corporate issues register and corporate risk register be noted.
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