Council and democracy

Gary Clifford, Chief Internal Auditor, introduced the report that provided an independent opinion on the Council’s Governance, Risk Management and Internal Control frameworks and noted that assurance could never be absolute, with reasonable assurances being provided on the work undertaken. Members were informed that the COVID-19 pandemic had an impact on the work being undertaken between March and July 2020, which would normally be the time when end of year reports would be finalised, but this had been taken into account in the Chief Auditor’s opinion. Members were referred to the issues, options and analysis of options on page 58 of the report and were referred to the findings found in Appendix 1.

Councillor Rice referred to the Risk Management on page 67 of the report and asked what this meant and how would this be operated. Gary Clifford stated that meetings were arranged with senior managers to determine their levels of risk and the risk register was reviewed and discussed with the Corporate Risk & Insurance Manager, Andy Owen. The Risk & Opportunity Register was presented to the Standard and Audit committee on a regular basis to ensure that Members received assurance on how risk management was being operated.

Councillor Johnson asked for clarification between an assurance report and an advisory report. Gary Clifford stated that an assurance report would look at a system and provide management with assurance around the controls, risk management and governance around that system. An advisory report would usually be driven by the service who had identified an issue and would look for advice on how to tighten up their controls and risk management around the specific areas of concern.

Councillor Johnson questioned how the assurance reports were selected each year. Gary Clifford stated that the audit plan was developed with senior managers who prioritise their key risks which were then included within the annual plan. As a result, the majority of work in the plan would be made up of assurance reports.

Councillor Rice questioned how engagement was undertaken and the process for reviewing applications, commissioning and the inspection processes to manage footway crossings. Gary Clifford stated that inspections would take place alongside a review of all the documentation from the application right through to the agreement. In addition, comparisons would be undertaken against other local authorities in terms of charges to ensure Thurrock residents were getting value for money.

Councillor Spillman asked about the actual performance for management responses received within 10 days in the last audit report and questioned whether the chasing of management was normal or was this a one off due to the COVID-19 pandemic. Gary Clifford stated that this was a problem in some areas. Councillor Spillman questioned who set the targets and what was the rational of that 10 days. Gary Clifford stated the 10 days tended to be a service standard format and was laid down in the audit protocol which had been presented to, and agreed by the Standards & Audit Committee and Director’s Board. Councillor Spillman questioned why management were not providing this information on time, and what as Members, they could be put in place so that this did not happen in the future. Gary Clifford stated that increased use of the escalation process, that formed part of the audit protocol, would be used going forward which should improve performance.

RESOLVED

That the Standard and Audit Committee considered and commented on the Chief Internal Auditor’s Annual Report – Year ended 31 March 2020.