Meeting documents

To consider a report by the South West Audit Partnership (attached).

The Committee considered a report by the South West Audit Partnership (SWAP) concerning the audit plan progress in 2018-19.

The report was introduced by the SWAP Assistant Director.  A key part of this latest update report related to Disclosure and Barring Service (DBS) checking where an audit opinion of "no assurance" had been given.  The full audit report had been included as an appendix to the report.  The Service Manager - HR Operations was also present at the meeting to explain the actions being taken to mitigate the areas that had been highlighted in the audit report. 

However, to ensure appropriate coverage, the Committee agreed to initially focus on the other key issues contained in the SWAP quarterly report, before returning to a fuller discussion on DBS.

The SWAP Assistant Director reported on the proposed removal of 2 audits by the Interim Director of Children's Services relating to Children's Social Care Caseload Management and Readiness for Ofsted Inspection. 

Members were concerned that significant audits that had been removed from the audit plan and other items added involving more minor matters.  They sought reassurance from SWAP that audits were not being focussed away from the higher risk issues.

It was confirmed that SWAP responded to reactionary work throughout the year in order to address emerging issues (e.g. combat fraudulent activity).  However, in such situations, these were reported by SWAP to the Committee to allow for an appropriate level of challenge and, where appropriate, to ensure a continuing dialogue with the relevant Director.

Following an explanation of the reasons for the removal of the 2 audits, it was agreed that a report on the Children's Social Care Caseload Management would be requested from the Interim Director of Children's Services and circulated to the Committee who could then decide whether they wished to take the matter further.

The SWAP Assistant Director was asked whether he was satisfied that the scrutiny that had already taken place in relation to the Ofsted Inspection had been effective. He confirmed that as this audit had only recently been requested to be removed, he had not yet received that assurance.

Turning his attention to the latest update on the audit of Dorset County Council's (DCC) oversight of Tricuro Governance Arrangements, the Chairman reported that following discussion at the last meeting of the Committee, his enquiries had resulted in agreement that the People and Communities Overview and Scrutiny Committee would now receive an annual report from council officers about Tricuro. 

Members asked whether the Council had ever received copies of the minutes of the Tricuro Audit, Governance and Risk Committee and it was confirmed that the Council had never received minutes of this meeting.  However, the details within this was considered to be a company issue and DCC needed to be assured and focussed in respect of the overall governance arrangements and confident in the effectiveness of its own contract monitoring arrangements. It was confirmed that monthly monitoring reports were, however, being received by the Council. 

Members recalled that this issue had been under discussion by the Committee for some time, and the SWAP Assistant Director confirmed since January 2018.  Routine formal follow-up of the actions remained on the audit schedule as these had not been implemented.  In May / June 2018 the Interim Commissioning Strategic Lead for Adults and Community Services had indicated that a broader review had prevented the implementation of some of the actions.  The Committee was eager to ensure a satisfactory conclusion was brought to the outstanding issues and that the necessary assurance could be provided on appropriate oversight of the arrangements by the Council. The SWAP Assistant Director noted that this would now be escalated to the Director of Adult & Community Services.

Members then asked about the audit work in relation to the governance of the Shaping Dorset Programme, seeking assurance on the ongoing issues.

The SWAP Assistant Director advised that hyperlinks to the specific audit reports had been included in the report.  He reported on the fast pace of the LGR Programme that required quick reporting by SWAP and that it was therefore difficult to pinpoint the key issues that required addressing as these would change between the pieces of assurance work. The audit reports were considered by the Shadow Executive and Shadow Overview and Scrutiny Committee and this also involved ‘gateway review work’ to provide a check on the key milestones.

During the discussion members highlighted that although the overall pace of the programme was very quick, there remained some areas of concern that had not progressed fast enough, and these were subject to oversight by the Shadow Council to ensure activity and improvement. 

The Committee considered the DBS audit report in some detail and the SWAP Assistant Director stated that robust management responses and proposed actions had been given to mitigate the risks identified, if implemented, however, there remained uncertainty in relation to DBS checks for volunteers that had been risk accepted by the authority.  The Corporate Leadership Team (CLT) had reviewed the report in full and requested updates at each of its meetings until implementation of the necessary actions had been signed off.

The Cabinet Member - Workforce welcomed the report and explained that

DBS checks formed part of general managerial duties for staff commencing employment and also as part of the regular Personal Development Review process. A previous audit had awarded a partial assurance due to insufficient data analysis and capture.  The subsequent officer development work to improve the process to capture this data had then led to the "no assurance" opinion as issues came to light.  It was now considered vital that the action plan was robust to fully resolve these issues. 

Officers confirmed the guidance for managers had been updated and improved and was accompanied by appropriate training. CLT had considered the costs to support the necessary changes and had agreed the required funding levels.  The Interim

Director of Children's Services was keen to let the Committee know that Children's Services Directorate were 100% compliant for DBS checks. The risk in relation to volunteers had been carefully considered and was accepted, provided that there was assurance that updated guidance to managers had been issued and a register of volunteers was in place and available for scrutiny at any time. 

The Service Manager - HR Operations stated that the SWAP report complemented work that was already taking place.  Following the first audit 2 years ago officers had worked hard to improve the way in which data was collected and the SWAP report had been helpful in highlighting areas of further improvement.

Members expressed concern that the existing system was not sufficiently robust and that there was a risk that those managers who did not complete the checking process could pose a significant risk to the authority.  The view was expressed that this role should be undertaken centrally in the same way as other organisations.

Members heard that although HR had an administrative role to process the applications and hold a central record once clearance was received, that DBS checking was completed by the manager as part of the recruitment process and through regular staff development review processes. Some changes had been made in HR to increase support and align DBS administration to the HR support roles for particular areas of the business.  A risk assessment was undertaken for those people who commenced employment without DBS clearance in place. The audit report had highlighted 4 instances where a person had been employed without a DBS check, however, assurances were given by the Service Manager - HR Operations that they had not been deployed fully in the role in terms of any regulated activity. 

The Vice-Chairman drew attention to occasions outlined in the report where these processes had clearly failed.  She stated that it was important not to lose sight of this when the Committee was being told that there were adequate processes in place.  It was important to recognise staff capacity as well as cost in fully resolving the issues.

The Cabinet Member for Workforce took on board the concerns and advised that CLT were clear that this was a priority in terms of capacity as well as cost.  The decision to accept the risk in relation to volunteers had not been taken lightly, however, he wanted to take the opportunity to look at this again, based on the discussions and concerns that had been raised by the Committee.

The Chairman commented that the processes in place were dependent on a large number of managers understanding the complexity of the system and he invited the Cabinet Member for Workforce to attend the next meeting in January to report on activity and progress.

Members highlighted that there remained some ambiguity with the role of HR and that gaps in the procedures could potentially be exploited by predatory individuals, including those in voluntary roles.

The Service Manager - HR Operations stated that there were strict criteria to determine when a DBS check was necessary, particularly with regard to an enhanced check for regulated activity where roles involved unsupervised access to vulnerable adults and children.  He confirmed that basic DBS checks were undertaken for employees who had access to sensitive information in IT systems.  The DBS body was also clamping down on situations where organisations had implemented a process of ‘overchecking’.

The Chairman highlighted the need for the Committee to be reassured that those working in "at risk" areas could be identified and appropriate checks undertaken.

Resolved

1.        That a report is provided by the Interim Director of Children's Services concerning the removal of audits in relation to Children's Social Care Caseload Management and Readiness for Ofsted Inspection in order that the Committee can decide whether to take the issues further;

2.        That the above audits be referred to the Chairman of the Safeguarding Overview and Scrutiny Committee;

3.        That the Committee makes contact with the Cabinet Member for Health and Care to seek assurance that appropriate overall governance arrangements and contract management and monitoring procedures are in place with regard to Tricuro; and

4.        That the Cabinet Member - Workforce provides an update on DBS checks at the next meeting in January 2019.