Audit and Risk-Related Items- Action Log
North Lanarkshire Council · 18 May 2023
Back to Audit and Scrutiny Panel — 18 May 2023 and its agenda
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North Lanarkshire Council Report Audit and Scrutiny Panel Does this report require to be approved? ☐ Yes ☒ No Ref KA/ASP/May23 Date 18/05/23 Audit and risk-related items: Action log From: Ken Adamson, Chief Officer (Audit and Risk) Email: adamsonk@northlan.gov.uk Telephone: 07939 280602 Executive Summary The purpose of this report is to allow elected members to track implementation of outstanding requests and recommendations made by the Panel in respect of audit and risk-related items. The attached log (at Appendix 1) records those audit and risk-related requests and recommendations made by the Panel and when these were addressed and/or are expected to be addressed. Recommendations The Panel is invited to note the report. The Plan for North Lanarkshire: Priority: All priorities Ambition statement All ambition statements Ken Adamson, Chief Officer (Audit and Risk)
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Appendix 1 Audit and risk related items: Outstanding action log. Meeting Requests or agreed action Status February 2023 Request a further report be brought back by management to a future meeting outlining how the Council plans to strengthen pre-employment checks or otherwise address the issue highlighted in the Investigation: Primary School A Internal Audit report regarding the Council re-employing someone who has previously left during a live fraud or disciplinary investigation. Now complete - A report on these matters is included in the papers submitted to the May meeting of the Panel. February 2023 Request a further report be brought back by management to a future meeting outlining progress of agreed actions in respect of issues raised in the Internal Audit report on Supply Teachers Now complete - A report on these matters is included in the papers submitted to the May meeting of the Panel. February 2023 Request a further report be brought back by management to a future meeting outlining how the organisation identifies, ensures, and gains assurance that staff are undertaking all relevant mandatory training. Now complete - A report on these matters is included in the papers submitted to the May meeting of the Panel. November 2022 A further report be brought back by management to a future meeting on progress made implementing agreed actions in relation to audit recommendations in the Internal Audit report on Sundry Debtors/Debt management. Outstanding - Given the timescale for completion of the agreed action is April 2023, it was previously reported that a report providing an update would be submitted to the Panel in Cycle 2 (meeting on 18/5/23). Although relevant actions are largely complete, there has been some minor slippage in concluding this work and which has prevented a report being available for this meeting. A report will now be prepared and submitted to the Panel in Cycle 3 (meeting on 8/9/23). November 2022 A further report be brought back by management to a future meeting on progress implementing agreed actions in relation to audit recommendations in the Internal Audit report on Equalities. Outstanding - Given the wide range of timescales for completion of the agreed actions, the Chief Officer (Audit and Risk) has agreed with the Service that a report will be submitted to the Panel in Cycle 3 (meeting on 8/9/23). This is based, amongst other factors, on the planned dates for the establishment of the Delivery Board, the publication of the Mainstreaming Report and the planned review of the EQIA process. September 2022 Internal Audit to provide specific assurance that management actions proposed in response to Business Continuity Planning are progressed in line with agreed timescales. Partially complete - timescales for agreed actions are not yet due and will be reported on, as they fall due, in line with Internal Audit’s arrangements for reporting on follow-up. September 2022 Updates on the management of key corporate risks to be provided to the Panel in accordance with agreed timetable included at Appendix 3 of Risk Management update report. Partially complete – two of the three planned reports (Supply chain and Governance, leadership and decision-making) were included in the papers for the November 2022 meeting. Work on the third planned report (Resources aligned with future target operating model) is underway but not yet complete and will be reported later.
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Appendix 1 Audit and risk related items: Action log (continued) Meeting Requests or agreed action Status June 2022 Internal Audit to provide an update on whether management actions proposed in response to Internal Audit investigation into overtime issues within Waste and Fleet have been implemented and adequately addressed the weaknesses/identified areas for improvement. Outstanding – Work on this has now been completed and a draft report on these matters issued. The report findings and recommendations are currently being discussed with management. It is now expected that this report will be finalised shortly and available for inclusion in the Internal Audit Progress Report submitted to the August meeting of the Panel Standing item Implementation by management of actions agreed in response to External Audit's recommendations (Annual Report) be monitored through reports from Internal Audit. Complete – This is addressed through the Follow- up of Internal and External Audit recommendations report included as a separate agenda item for this meeting. Internal Audit provide a report to future meetings of the Panel on progress made in implementing agreed management actions in relation to all Internal Audit recommendations categorised as “red” or “amber”. Complete – This is addressed through the Follow- up of Internal and External Audit recommendations report included as a separate agenda item for this meeting.