Internal and External Audit Report Follow Up 2024-25
Argyll and Bute Council · 17 December 2024
Back to Audit and Scrutiny Committee — 17 December 2024 and its agenda
Text extracted from the council's PDF. Layout and reading order may differ from the original.
Page 1
ARGYLL AND BUTE COUNCIL AUDIT AND SCRUTINY COMMITTEE FINANCIAL SERVICES 17 DECEMBER 2024 INTERNAL AND EXTERNAL AUDIT REPORT FOLLOW UP 2024-25 1.0 INTRODUCTION 1.1 Internal and external audit reports include an action plan with a management response establishing the agreed action, timescale and responsible officer. Internal Audit record these in a database and, on a monthly basis, follow them up to ensure they are being progressed. 1.2 This report updates the committee on all open actions as at 30 September 2024 including information on actions where the agreed implementation date has been rescheduled. 2.0 RECOMMENDATIONS 2.1 To endorse the contents of the report. 3.0 DETAIL 3.1 The two tables below provide a numerical summary of open audit actions with a split between actions due by and due after 30 September 2024. 3.2 Appendix 1 provides further detail on actions that have either been delayed and rescheduled, require further evidence or for which Internal Audit have received no response from the service to inform this follow up.
Page 2
Table 1 - Actions Due by 30 September 2024 SMT/Service Complete Delayed/ Rescheduled Evidence Required Delayed & NOT Reschedule d Total Internal Audit DH – Education Performance & Improvement 1 0 0 0 1 DH – Legal & Regulatory Support 1 0 0 0 1 KF – Customer Support Services 2 2 0 0 4 KF – Development & Economic Growth 1 0 0 0 1 KF – Financial Services 3 7 0 0 10 KF – Roads & Infrastructure Services 1 7 0 0 8 H&SCP (IJB) – Adult Services (Older Adults & Community Hospitals 0 1 0 0 1 H&SCP (SW) – Adult Services (Mental Health Learning Disability, Addictions & Lifelong Conditions) 0 3 0 0 3 H&SCP (SW) – Adult Services (Older Adults & Community Hospitals) 0 2 0 1 3 H&SCP (SW) – Strategic Planning & Performance 3 0 1 0 4 H&SCP (SW) – Children and Families and Criminal Justice 0 1 0 0 1 External Audit Nil 0 0 0 0 0 TOTAL 12 23 1 1 37 Table 2 - Actions due after 30 September 2024 SMT/Service Complete Delayed/ Rescheduled On Course Total Internal Audit DH – Commercial Services 0 0 2 2 DH – Education Performance & Improvement 0 0 7 7 DH – Education Wellbeing, Inclusion & Achievement 0 0 1 1 DH – Legal & Regulatory Support 0 0 2 2 KF – Customer Support Services 0 0 7 7 KF – Development & Economic Growth 0 0 6 6 KF – Financial Services 0 1 0 1 KF – Roads & Infrastructure Services 0 0 10 10
Page 3
SMT/Service Complete Delayed/ Rescheduled On Course Total H&SCP (IJB) – Finance/Transformation 0 0 2 2 H&SCP (IJB) – Strategic Planning & Performance 0 0 4 4 H&SCP (SW) – Adult Services (Mental Health Learning Disability, Addictions & Lifelong Conditions) 0 0 3 3 H&SCP (SW) – Children and Families and Criminal Justice 0 0 1 1 H&SCP (SW) – Finance/Transformation 0 0 4 4 H&SCP (SW) – Strategic Planning & Performance 0 0 1 1 External Audit Nil 0 0 0 0 TOTAL 0 1 50 51 4.0 CONCLUSION 4.1 Satisfactory progress continues to be made implementing audit actions. 5.0 IMPLICATIONS 5.1 Policy – None 5.2 Financial – None 5.3 Legal – None 5.4 HR – None 5.5 Fairer Scotland Duty – None 5.5.1 Equalities – protected characteristics – None 5.5.2 Socio-economic Duty – None 5.5.3 Islands – None 5.6 Climate Change – None 5.7 Risk – None 5.8 Customer Service – None 5.9 The Rights of the Child (UNCRC) – None Paul MacAskill Chief Internal Auditor 17 December 2024 For further information contact: Paul MacAskill, 01546 604108 Paul.macaskill@argyll-bute.gov.uk APPENDICES Appendix 1 – Action Plan Points - Delayed and Rescheduled/Evidence Required/Delayed NOT Rescheduled
Page 4
Appendix 1 - Action Plan Points with & Delayed and Rescheduled/Delayed NOT Rescheduled & Evidence Required Action Plan Points due by 30th September 2024 Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer LOW CUSTOMER SUPPORT SERVICES Scottish Social Services Council (SSSC) Registration 1. SSSC Registration Policy Finding: The SSSC Registration Policy and guidance document are not dated and there is no evidence of review date having been considered. Finding: Several of the corporate HR policy and guidance documents reviewed contained no evidence of update or review in a reasonable timescale. Recommendation: Management should apply version control and review schedules to the SSSC Registration and wider corporate HR Policy and Guidance documents. SSSC Registration Policy and Guidance are currently under review to reflect revised SSSC Codes of Practice 1 May 2024, version control will be applied during this review. An exercise will be undertaken to apply review dates to corporate HR policy and guidance documents and these reviews will be scheduled to take place. 30/09/2024 31 Oct 2024 This has now been collated. Document owners have provided review dates and these will be built into the HROD work plan accordingly. The team have a task to complete the document tracker by 25th October 2024. Delayed and Rescheduled HR Officer & HR Manager Operations LOW CUSTOMER SUPPORT SERVICES Scottish Social Services Council (SSSC) Registration 2. Corporate HR Policy and Guidance Documents Finding: Embedded links within policy and guidance documents were no longer active in some instances. Recommendation: Links provided within documentation should be reviewed and updated as necessary to ensure they are returning expected information for employees. Links provided in policy and guidance documents will be reviewed and updated where found to be no longer working. 30/09/2024 31 Oct 2024 All documents owned by HROD have been transferred to an accessible template and all links removed or updated. The team have a task to complete the document tracker by 25th October 2024. Delayed and Rescheduled HR Manager - Operations
Page 5
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer Medium FINANCIAL SERVICES MANAGEMENT OF DEBT/DEBT RECOVERY 5. Debtors Procedure Manual and Processes Finding: There is insufficient evidence to determine whether all Services receive details of invoices being written off. Recommendation: Services should be sent this information. A thorough review of Sundry Debt write-off procedure to be carried out by the working group as part of the overall update of the Sundry Debt Procedures. Reporting and communication with stakeholders is being reviewed by the working group. It is anticipated that reports of debt written off will be sent to departments as part of a standard suite of reporting for discussions at quarterly meetings this will be confirmed within the reviewed Sundry Debt Procedure Manual. 31/12/2023 31/03/2024 30/09/2024 31 Mar 2025 The Debt Recovery Guide was developed in late August for staff, this replaces the old Sundry Debt Procedure Manual. The Guide and the overarching policy has a section on Write- off. We have a new procedure with a new single use spreadsheet for all debt types. Documents being passed to ED- DH for consideration/ approval Delayed and Rescheduled Revenues and Benefits Manager Medium FINANCIAL SERVICES MANAGEMENT OF DEBT/DEBT RECOVERY 6. Debtors Procedure Manual and Processes Finding: While there is a pdf version of the authorisation and the spreadsheets containing the individual invoices, there are concerns that different sources of data are used during the write off process as there is more than one version of the write off spreadsheet. Recommendation: Checks should be carried out to ensure that Original Data is retained with records kept of any alteration to the Source Data. There must only be one version of the write-off spreadsheet. This can be shared between Finance and Legal Services on MS Teams. Changes can be made to the document by Legal or Finance before it is presented to senior management for final consideration. 31/12/2023 31/03/2024 30/09/2024 31 Mar 2025 Comments as per action point 5 Documents being passed to ED- DH for consideration/ approval. Delayed and Rescheduled Revenues and Benefits Manager Medium FINANCIAL SERVICES MANAGEMENT OF DEBT/DEBT RECOVERY 7. Debtors Procedure Manual and Processes Finding: The Debtors Procedure Manual does not mention that the keying of the Sundry Debtors Write Offs has two separate stages - This can be added to the revision of the procedure manual which will be finalised in December 2023. NDR and Income Manager will ensure the write-offs in the Debtors system are fully reconciled 31/12/2023 31/05/2024 30/09/2024 31 Mar 2025 Comments as per action point 5 Documents being passed to ED- DH for consideration/ approval. Delayed and Rescheduled Revenues and Benefits Manager
Page 6
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer first is the creating and approving of invoices as written off on the Debtors system and second is the manual journals to be processed to account for the VAT element of the invoices written off. The journal processed in February did not contain all of the invoices that had been written off. This caused a difference in the debtors’ element of the VAT return. While this was a small value it raises concerns as to whether there is appropriate monitoring and oversight of the balancing of the write off, back to the authorised invoices and values. Recommendation: Checks should be carried to ensure that there is appropriate monitoring and oversight of the balancing of the write off, back to the authorised invoices and values. The Debtors Procedure Manual should be updated to reflect all stages of the write off. with the general ledger position each quarter. Medium FINANCIAL SERVICES MANAGEMENT OF DEBT/DEBT RECOVERY 8. Raising of invoices and Recovery Routes Finding: Invoice inappropriately raised for the drawdown of grant monies. Legal Services confirm this is not a one off. Recommendation: Services should be reminded that Debtors invoices should not be raised for the drawdown of grant monies nor to recover income These examples should be collated and used to support some internal training that will be delivered to launch the new Sundry Debt Procedure Manual. Training will be delivered by Finance and Legal Services to all users of the Sundry Debt System. Consideration will be given to the format of the training, mandatory e-training for all current users and new users or something delivered via MS Teams. Training to be delivered to all users by June 2024. 31/12/2023 31/05/2024 30/09/2024 31 Mar 2025 Training has not yet been delivered, however, e-mails are being sent to users when improvements are identified in the interim. A gap analysis of current service contacts is in progress, any service without a current contact in place will be asked to assign this role. Once all contacts are agreed, training will be scheduled in quarter 4. Delayed and Rescheduled Revenues and Benefits Manager/Legal Manager
Page 7
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer Medium FINANCIAL SERVICES MANAGEMENT OF DEBT/DEBT RECOVERY 11. Performance Monitoring and Reporting Findings: · There are no performance measures in place to monitor recovery of Sundry debt · Quarterly meetings with Legal Services to discuss recovery of Sundry Debtors were postponed during the pandemic, these have not been reinstated. · Management information relating to Sundry Debtors is not made widely available; Aged debtors reports are only sent to Services who ask; Reporting is only to the Financial Services Management Team via Highlight Reports. Recommendations: Appropriate performance measures should be put in place to monitor recovery of Sundry Debt. The meetings with Legal Services should be re-instated and consideration given to which committees and meetings should receive reports regarding the management and recovery of Sundry Debtors. Performance monitoring and reporting will be a key part of the Sundry Debt review undertaken by the working group led by the Head of Legal Services. It is anticipated that proposals for quarterly meetings and the reporting suite will be developed and implemented by March 2024. 31/10/2023 31/03/2024 30/09/2024 31 Mar 2025 A single source data reporting dashboard has been developed which will enable information to be reported at Council, department and service levels. This will be circulated to Debt Coordinators on a quarterly basis and provide high level recovery information with the ability to drill down to invoice level for discussions at quarterly debt recovery account meetings. Documents being passed to ED- DH for review prior to submission to SMT for approval. Delayed and Rescheduled Revenues and Benefits Manager Medium FINANCIAL SERVICES MANAGEMENT OF DEBT/DEBT RECOVERY 18. Procedure Manual and Processes Finding: Management information, detailing outstanding invoices, should be provided on a monthly basis to a Single Point of Contact in each Service. This is not happening, currently only those Services who request the information are being sent the reports. Recommendation: Reports should be provided to all Services. This working group review of Sundry Debt will include the key issue of reporting, this aspect of the process will be vastly improved in the future. A suite of reports will be developed, the identification departmental debt champions reinstated and quarterly meetings setup for all relevant stakeholders. 31/12/2023 31/03/2024 30/09/2024 31 Mar 2025 Comments as per action point 8 Delayed and Rescheduled Revenues and Benefits Manager
Page 8
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer Medium FINANCIAL SERVICES MANAGEMENT OF DEBT/DEBT RECOVERY 20. Procedure Manual and Processes Finding: Insufficient evidence to conclude whether supporting back up evidence of invoices being written off is retained, leading to concerns that full records may not be retained. Recommendations: Checks should be carried out to ensure that appropriate back up is retained. Back up evidence re write-off should be retained, the write-off lists and any backup documentation held together in MS Teams group for example. This could be further enhanced if we can use EDMS for storage of the information. If we can move this onto Civica’s Electronic Document Management System (EDMS) Comino this will make collation of information, document retention and disposal so much easier and more efficient. Discuss with Civica, re the use of the Electronic Document Management System for these purposes and overall case management. Improve the file structure within the network with the supporting documentation. Expected timescales for progress - Civica EDMS System Admin Discussion with Supplier by May 2023 - NDR and Income Manager to review the file structure on the network - Revenues and Benefits Manager Evaluation of options by July 2023 then NDR and Income Manager to review the file structure on the network. Revs and Bens Manager Development and Implementation of Solution March 2024 30/09/2023 30/10/2023 30/03/2024 30/09/2024 31 Mar 2025 As per previous comment - Costs provided by Civica are prohibitive - trying to find a solution with no/minimum cost. Delayed and Rescheduled Revenues and Benefits Manager High ROADS & INFRASTRUCTURE SERVICES Burial Records A unified approach to records management will be implemented and documented in a procedure 30/06/2023 31/12/2023 31/03/2024 A meeting with the Scottish Government Inspector is scheduled for the 15th October Operations Manager, Roads and Infrastructure Services
Page 9
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer 1. No Procedure for Records Management Finding: There is no consistent approach to updating and managing burial records across the Service. Finding: Private burials on home ground do not appear to be authorised or registered. Finding: Officers are printing documentation provided by funeral directors and applicants via email unnecessarily. Finding: Documentation was missing or could not be located at the time of the audit visit. Recommendation: A unified approach to records management should be adopted to establish consistency and provide resilience across the service. Additionally, a sample of burial records should be periodically checked for accuracy. This should be documented in a procedure note and issued to the relevant members of staff. note. This will include a requirement for periodic sample checking to take place. 30/06/2024 30/09/2024 31 Dec 2024 2024, this is an annual inspection which is carried out at Cardross Crematorium. The Inspector will be asked to carry out random visits to the area offices, any findings from these visits would assist with the completion of the procedure. Delayed and Rescheduled Medium ROADS & INFRASTRUCTURE SERVICES Burial Records 2. Review of Policies and Procedures Finding: Policies and procedures provided to the auditor contained no evidence of recent review or were not dated. Recommendation: Policies and procedures should be subject to periodic review and updated as required. Updated documents should be promptly circulated to staff and published on the Council’s website where appropriate. Policies and procedures will be reviewed and updated if required. These will be re-issued to staff and published where appropriate. 30/06/2023 31/12/2023 31/03/2024 30/06/2024 30/09/2024 31 Dec 2024 Following the meeting with the Scottish Government Inspector on the 15th October 2024 any necessary amendments will be made to the updated procedure and this will be circulated by end of October. Delayed and Rescheduled Operations Manager, Roads and Infrastructure Services
Page 10
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer Low ROADS & INFRASTRUCTURE SERVICES Burial Records 5. Additional Functions within BACAS Finding: BACAS system has additional functionality that is not currently utilised to provide efficiencies. Recommendation: Liaise with system provider and other Local Authorities to establish which additional features would provide benefits to the service. The service will liaise with the system provider and other local authorities to identify useful additional system functionality and arrange training for implementation. 30/06/2023 31/12/2023 31/03/2024 30/06/2024 30/09/2024 31 Dec 2024 Engagement has taken place with Inverclyde Council who are currently going through a similar process with BACAS details. To date additional information includes a uniformed approach in communicating each day's services and details to cremator room and chapel staff. Delayed and Rescheduled Operations Manager, Roads and Infrastructure Services VFM ROADS & INFRASTRUCTURE SERVICES External Hire 3. External hires exceeding their expected return date Of the 124 current ongoing hires 101 of these have exceeded their expected return. In addition 29 items were over the return date by more than 1000 days. There is no document available that explains the reasons why these items have substantially exceeded their expected return date. Roads and infrastructure services are currently under a review of all services and the recommendation will be assessed as part of the review. 30/06/2023 31/12/2023 31/03/2024 31 Dec 2024 Assistant Operations Managers have advised that the hire desk circulates a spreadsheet each week showing the hires relating to amenity, waste, roads and street lighting, these are reviewed monthly at area team meetings. From the original document detailed in the audit a number of vehicles and equipment have been off hired. There are a number of lengthy external hires across all disciplines these relate to vehicles not being replaced during the service reviews of 2013/14 and the service choices process of 2014/15 where decisions were being made regarding finance, subsequently a fleet audit was carried out and since all these processes have been concluded insufficient finances have been available to Operations Manager, Roads and Infrastructure Services
Page 11
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer replace all existing hires. The Operations Manager has asked on a number of occasions if the monies being paid for external hires can be transferred to the internal fleet budget to allow the council to purchase its own replacements and cease paying private companies for lengthy hires. Delayed and Rescheduled Low ROADS & INFRASTRUCTURE SERVICES PIERS & HARBOURS 4. Remote Piers and Harbours Harbourmasters based at the main piers and harbours are able to record the use of the facilities where they are predominantly based, however, a number of piers, slipways and harbours are in remote locations and are difficult to manage in terms of use. In addition, there are no robust procedures in place to identify commercial tour vessels using our facilities potentially resulting in a loss of income for the Council. Actionable evidence and enforcement will continue to be an issue where there are no Argyll & Bute Council personnel on site. Investigate issues and possible solutions with Harbour Masters and provide options for consideration in report to DMT. 31/12/2023 31/03/2024 30/06/2024 30/09/2024 30 Nov 2024 CCTV not yet installed. Delayed and Rescheduled Marine Operations Manager Low ROADS & INFRASTRUCTURE SERVICES PIERS & HARBOURS 5. Fishing Fleet Fees and charges for the fishing fleet within the Council area are managed by the fishing fleet whereby they advise us of the value of their landings once the catch has been sold. There is no back up information provided to substantiate Investigate issues and possible solutions with Harbour Masters and provide options for consideration in report to DMT. 31/12/2023 31/03/2024 30/06/2024 30/09/2024 30 Nov 2024 CCTV not yet installed. Delayed and Rescheduled Marine Operations Manager
Page 12
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer the value and it is generally paid through cash receipting or by cheque. Low ROADS & INFRASTRUCTURE SERVICES PIERS & HARBOURS 6. Management of Debt The outstanding debt owed to the Council at the end of June in respect of Piers and Harbours amounted to £143k. There are a number of long-term outstanding debts, and it was noted that in some instances there is continued use of our facilities by vessels who have outstanding debts dating back to 2019. Investigate with legal department recovery or right off options. Provide a report to Head of Service and Director with options. 31/12/2023 31/03/2024 30/06/2024 30/09/2024 30 Nov 2024 This process is continuing with collection / write-off of outstanding debts. Delayed and Rescheduled Marine Operations Manager Low ADULT SERVICES (OLDER ADULTS & COMMUNITY HOSPITALS) Adult Services - Adult Support & Protection 1. Progress Whilst significant progress has been made to address the key areas identified within the report there remains challenges in terms of ensuring attendance by all relevant partners at case conferences, ensuring that chronologies and risk assessments are completed and ensuring that the ‘three-point test’ is undertaken. Adult services will facilitate an ASP audit on a six-monthly basis to determine practice and compliance with ASP legislation and KPIs. 30/09/2024 31 Dec 2024 This audit has taken place and reported through the Adult Protection Committee. A planning group is also to be established to consider the ASP audit practicalities, timings, model etc for the next ASP case file audit. A report this has been passed on for consideration, however, currently delayed due to operational issues. Delayed and Rescheduled Head of Adult Services (Mental Health, Acute and Complex Care) High ADULT SERVICES (MENTAL HEALTH LEARNING DISABILITY, ADDICTIONS & LIFELONG CONDITIONS/CSWO) CLIENT FUNDS 6. Unaccounted Funds Detail Restricted. Detail Restricted 30/06/2023 31/08/2023 31/12/2023 31/03/2024 30/09/2024 31 Mar 2025 Delayed and Rescheduled SW Admin Manager
Page 13
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer Medium ADULT SERVICES (MENTAL HEALTH LEARNING DISABILITY, ADDICTIONS & LIFELONG CONDITIONS/CSWO) CLIENT FUNDS PROGRESS REVIEW 1. Procedures Detail Restricted. Detail Restricted 30/09/2024 31 Mar 2025 Delayed and Rescheduled SW Admin Manager Medium ADULT SERVICES (MENTAL HEALTH LEARNING DISABILITY, ADDICTIONS & LIFELONG CONDITIONS/CSWO) CLIENT FUNDS PROGRESS REVIEW 3. Implementation of New Working Practices Detail Restricted. Detail Restricted 31/08/2024 31 Dec 2024 Delayed and Rescheduled SW Admin Manager Medium ADULT SERVICES (OLDER ADULTS & COMMUNITY HOSPITALS) Learning & Physical Disability Care Packages 6. Allocation of Resources The large majority of Learning Disability services are commissioned under the Supported Living contract and Older People services are commissioned under Care at Home contract. There are a few anomalies where some providers of Care at Home services are commissioned to provide support outside of their normal client group, however it was found that priority was given to older peoples services with Learning Disability clients remaining on a waiting list for personal care services. Review the Care at Home contract as a matter of priority to ensure that there is personal care provision across the authority for those under the age of 65 with complex needs, who do not require more intensive care such as that provided via Supported Living. 30/06/2024 31/08/2024 Comments have been provided as this action is now due. Due to responsible person being off work this is to be delayed and NOT rescheduled. This will be rescheduled when a revised date is received from HSCP Leadership. Delayed and NOT Rescheduled Head of Adult Services - Acute & Complex Care Medium ADULT SERVICES (OLDER ADULTS & COMMUNITY HOSPITALS) Learning & Physical Disability Care Packages Include the data re unmet need for those under 65 in the weekly reporting format already in place for Older People. 30/06/2024 30/09/2024 The reporting of Unmet need across the HSCP is a national weekly data return. LD specific client data is accessible via the Head of Strategic Planning, Performance and Technology & Head
Page 14
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer Unmet Need Unmet need for Older People Care at Home is collated by the resources team on a weekly basis, this is then submitted to Performance and Improvement Team and is reported to Scottish Government. The data for Learning Disability is not currently recorded formally and not included in the above. Eclipse reporting database using SAP BOBI. There is also an Unmet Need – Self Service Performance Dashboard for all managers to track their performance within SharePoint The SG criteria for unmet need includes: · All clients 18+ in receipt of care at home this could include LD clients · This includes the 4 SDS options which could include LD clients · Unmet need also includes those who are in receipt of an assessment this will include social work, third sector etc. The care package part of the return includes those in supported living, adapted housing etc. Evidence Required of Adult Services (Health & Community Care) Low ADULT SERVICES (OLDER ADULTS & COMMUNITY HOSPITALS) Scottish Social Services Council (SSSC) Registration 6. Care Home Handbook Finding: Details of how to communicate concerns/complaints were provided in two out of three handbooks provided. Recommendation: Review and update content of care home handbooks to ensure complaints contact details are consistently provided. Review all care home complaints/concerns processes. 31/07/2024 31 Dec 2024 All care homes have posters up indicating how to make a complaint, confirmed by our Lead Nurse. Managers are not yet in full agreement about a handbook for every home. Delayed and Rescheduled Lead Nurse (Care Homes)
Page 15
Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer Low ADULT SERVICES (OLDER ADULTS & COMMUNITY HOSPITALS) Scottish Social Services Council (SSSC) Registration 3. Service-user information Finding: Service-users and their family, friends and non-Council carers are advised that violence, threats or abuse towards them from Council employees will not be tolerated, however, only one handbook provided advised visitors on expected conduct regarding violence, threats or abuse towards employees. There was no documentation containing information regarding conduct of service users towards employees. Recommendation: Service-user documentation should be revised to advise that instances of violence, threats or abuse directed towards employees is not acceptable. Review all social work and social care service user documentation in adult services. 31/08/2024 31 Dec 2024 Audit Action-Violent Behaviour- not complete, Lead Nurse will pick up by the end of the year. Delayed and Rescheduled Senior Manager - Resources/Professional Lead - Social Work Medium CHILDREN AND FAMILIES AND CRIMINAL JUSTICE Scottish Social Services Council (SSSC) Registration 4. Supervision Policy Finding: The Supervision Policy is dated November 2011 with no evidence of review or update, additionally, the requirements in terms of frequency and duration of supervision meetings are considered by mangers to be unrealistic in terms of current available resources. Recommendation: The Supervision Policy be reviewed and updated to ensure it incorporates up-to-date needs and requirements of service delivery. Develop a social work and social care supervision policy. 31/08/2024 30/09/2024 31 Dec 2024 This is a larger piece of work than first anticipated. Updates are required to reflect changes in the HSCP structure, SSSC registration and CPL that took place earlier this year as well as the implementation of the NQSW mandatory supported year which came into place October 2024. The updated policy will be assurance checked for compliance and circulated to SW managers and practitioners for comment before taken to the SW Leadership group and CC&G for sign off/noting. Delayed and Rescheduled Professional Lead - Social Work
Page 16
Action Plan Points due after 30th September 2024 Service, Report, Plan no. & Finding Agreed Action Dates Comment Responsible Officer Medium FINANCIAL SERVICES – Capital Monitoring Capital Programme Planning & Management Guide The Council’s Capital Guide has not been revised since 2018 and requires a review to ensure it reflects current working practices and provides appropriate support to officers involved in the capital monitoring process. The Council is currently developing a new Capital Strategy which is to be presented to the Policy and Resources Committee in August 2021 and we recognise that a review of the Guide should be conducted after the Strategy has been finalised to ensure the two documents complement each other and. The Guide could also benefit from being linked to, or referencing, other relevant Council processes, in particular the Project Management section on the Hub. Capital Planning and Management Guide to be updated once the Capital Strategy has been approved to ensure the two are aligned and provide clarity. 31/03/2022 30/09/2022 31/12/2022 31/03/2023 30/09/2023 31/12/2023 31/03/2024 31/03/2025 30 Sep 2025 Further information to be gathered on current governance processes around capital, including PIP/POP, capital planning, monitoring, reporting, Capital board, Asset Management Plans and links to budget processes. Delayed and Rescheduled Head of Commercial Services/Finance Manager