Agenda and minutes

To confirm the minutes of the meetings held on 19^th April, 21^st June, 9^th July, 27^th September, 15^th November 2021 and 17^th January 2022.

Proposed by Cllr Parkes, seconded by Cllr Adkins.

Decision: The minutes of the meetings held on 19th April, 21st June, 9th July, 27th September, 15th November 2021 and 17th January 2022 were agreed and signed as a correct record.

To disclose any pecuniary, other registrable or non-registrable interest as set out in the adopted Code of Conduct.  In making their decision councillors are asked to state the agenda item, the nature of the interest and any action they propose to take as part of their declaration.

If required, further advice should be sought from the Monitoring Officer in advance of the meeting.

No declarations of disclosable pecuniary interests were made at the meeting.

To receive questions or statements on the business of the committee from town and parish councils and members of the public.

When submitting a question please indicate who the question is for and include your name, address and contact details.  Questions and statements received in line with the council’s rules for public participation will be published as a supplement to the agenda.

The deadline for submission of the full text of a question or statement is 8.30am on 6 April 2022.

There were no statements or questions from the Public or Town and Parish Councils at the meeting.

To consider a report by Sally White, SWAP

The Assistant Director, SWAP presented the Internal Audit Annual Opinion Report for 2021-22.  The paper was presented annually and provided an independent and objective opinion on the effectiveness of the Authority’s risk management, control and governance processes. 

The Key items in the report were highlighted.  A reasonable opinion had been offered but some areas [SW1] of coverage had been limited due to covid grant work and limited staff[SW2]  re-deployment.  No significant corporate risks in the year had been identified.

Financial savings had been made and the Executive Director, Corporate Development was supportive of the report and confident that audit actions were moving in the right direction.

In response to member questions the Executive Director, Corporate Development explained the implications of the future contributions for adult care service users.  He felt this was a topic that could cost all councils a lot of money. 

It was considered that the forthcoming adult care changes were a matter for People and Health Scrutiny to look into and an action for the Executive Director, Corporate Development to take forward. 

It was not known at this stage how much impact the new reforms would cause.

Assistant Director, SWAP undertook to look at items 45124 and 25129 in the audit tracker which didn’t[SW3]  appear to have completion dates.

Members noted the report.

To receive a report by Sally White, SWAP

The Assistant Director, SWAP presented the Approach to Internal Audit Planning 2022/23 and the Internal Audit Charter

Members were advised that change and unpredictability was here to stay, therefore it was proposed to continue with the rolling planning approach. The rolling plan spreadsheet was accessible to senior managers and members of audit committee which gave members the opportunity to review and be confident appropriate risks were being covered.

The Chairman requested that it would be helpful if the committee were informed of the outcomes for some of the items that were passed to the Senior Leadership Team.

Members noted the report.

To consider a report by Marc Eyre, Service Manager for Assurance.

The committee received a Risk Management Update report from the Service Manager for Assurance.

In additional to the regular quarterly update of risk report there were additional appendices for information compliance and emergency planning.

The information compliance appendix indicated a low level of completion of mandatory training, the key reason was because the learning portal was a year old and the first year’s completions had expired and figures were re-set for the second year. 

The emergency planning appendix gave a basic overview, however the next report would include a debrief from the recent storm Eunice.

In response to member questions the Service Manager for Assurance

advised that the Council and Local Resilience Forum partners maintained a range of plans in response to risks associated with the situation in Ukraine.

In response to a comment that Risk 378 – “Failure to inspire a future generation of political leaders” was not within the gift of the council the Service Manager for Assurance agreed to take the comment back to the Senior Leadership Team. 

More assurance was requested that the mandatory training was being addressed and the Service Manager for Assurance was asked to provide an update on progress at the next meeting.

It was also suggested by members that councillors should also be held accountable for the completion of information compliance training.  The Service Manager for Assurance would liaise with the Member Development & Support Officer and bring back figures.

The Chairman raised points on the following risks with a A&G link:

345 346 212 388 393 316 286 and 348 – he asked the Executive Director Corporate Development to consider whether these should be considered for inclusion on the forward plan. 

The Chairman also felt that there were some areas not deemed to be emergency planning incidents but that require debriefing, such as the A30 closure in Sherborne following the collapse of a wall.  He considered that this had caused reputational damage to the council and asked for this to be subject to review so that lessons could be learnt for future.

The Chairman commended work done by the Service Manager for Assurance and the Risk & Resilience Officer but was concerned on the dependence on just two people in this area if either were off long-term sick.  He asked the Director of Legal & Democratic to consider how resilience in the service can be improved.

Decision: the committee noted and reviewed:

i)      the key risks identified in the corporate and service risk registers, with escalation to Scrutiny Committees where appropriate,

ii)     the key metrics and headlines from emergency planning and

iii)   the key metrics and headlines from information compliance

To consider a report by M Eyre, Service Manager for Assurance.

The Annual Governance Statement was presented by the Service Manager for Assurance. The statement is a statutory document that accompanies the annual accounts and looks back on the previous 12 months. The purpose of the Annual Governance Statement was to provide assurance that the governance arrangements were fit for purpose and identified any areas for improvement.

There were a few actions identified for improvement which included:

Mandatory Training.

Assurance mapping.

Improvement of compliance rates for subject access requests.

Improved use of impact assessments.

Dorset Council wide asset management register.

There were no questions from the committee, the Chairman complimented the Service Manager for Assurance on a good report but asked if it could be less wordy.

The report was noted.

To receive the report considered by Cabinet on 18^th January 2022. 

The Executive Director, Corporate Development introduced the Quarter 3 Financial Management Report which had been considered by Cabinet on 18 January 2022 and made comment on the current cost of living issue and consequent impact on residents and council services.

The Corporate Director, Finance & Commercial advised that the

forecast overspend had reduced through year and there had been improvements against budgets across many of the service areas.  The accounts were in the process of being finalised for 2021/22 and predictions were that the outturn would be very close to the budget set.

The Corporate Director, Finance & Commercial gave a Summary of the report before inviting Finance Business Partners to give updates on the impact of inflation affecting pay, fees and energy costs, procurement services, types of procurement contracts and the impacts of the forthcoming Adult Services care fee cap.

The Corporate Director, Finance & Commercial confirmed the next steps to Close the 2021/22 accounts and present the outturn position to Cabinet in June.

In response to member questions, members were advised that some suppliers had found it difficult to price goods and services in the current economic climate, there was some risk that there may not be such an open market.

The need for good contract managers who would seek assurance of where costs had been occurred was raised and whether more in-house provision should be investigated for children’s residential homes which could provide more value for money in the future.

In response the Executive Director, Corporate Development reminded members that inflationary risk had been highlighted during the budget setting process.  In addition to an inflation uplift there had also been additional uplifts in some specific areas.  £8.7m had been set aside as a contingency budget and general fund reserves of approx. £33m.

The profile on contract management had been raised across the organisation but there was a fine balance to reach, including talking to suppliers to see if there was a way for the council to help them reduce their costs to avoid them passing those costs on to us.  Balance between being a firm contract manager but having an open relationship with suppliers. Many skilled people in various sectors of the council had set up an internal network to learn from each other.

Members were concerned over inflationary pressures faced by the council and felt it would be helpful to understand the inflationary cost pressures for the separate directorates as they would vary. 

Inflation was changing weekly and the committee were keen to know what the various inflationary pressures were on a more regular basis.

The Executive Director, Corporate Development confirmed that the intention was to look at reporting mechanisms, with more information on the sensitive areas reported.

The report was noted.

To receive a Power point presentation by Jim McManus, Corporate Director Finance & Commercial.

The Corporate Director, Finance & Commercial referred to his power point presentation which had been included in the agenda pack and gave a verbal explanation of the previous revenues & benefits partnership arrangements and update on transformation progress.

In response to a member question the committee were assured that the IT transition to a single customer revenues & benefits portal had taken place a few months ago and therefore it was hoped any initial IT issues were over.

To consider a report by Jonathan Mair, Corporate Director, Legal & Democratic.

The Director of Legal & Democratic welcomed the return to in person meetings, but there were settings and circumstances where it was considered more appropriate and efficient to meet online.  The Health and Wellbeing Board (HWB) was an example of that.  The HWB was not like any other council committee, having a membership of 18, only 3 of whom were elected members of the council. The remainder were council officers and representatives of NHS bodies and other bodies. The diversity of membership made it difficult for all members of the board to attend meetings in person.

The Chairman of the HWB, Cllr Knox, had requested that the board continued to meet informally online and that Sam Crowe, Director of Public Health be given delegated powers to make decisions on behalf of the HWB.

Additionally, the report recommended a wider change to the Constitution, that in exceptional circumstances the Chief Executive, after consulting with the relevant committee chair, may convene informal online meetings of the Full Council, the Cabinet, a Committee or Sub-Committee.

Members were generally supportive of the proposal but requested more clarity on what constituted exceptional circumstances and urged caution over the ability to meet virtually and suggested putting a time limit on the recommendations.

The Director of Legal & Democratic suggested that a paper could be brought to the Audit & Governance committee after a year, in order to review the working arrangements.

Proposed by Cllr Cocking, seconded by Cllr Atkins.

Decision: Recommendation to Full Council:

1.    That the Health and Wellbeing Board should meet informally online as its usual way of doing business.

2.    That as a matter of course and for the duration of their appointment the co-opted members of the Health and Wellbeing Board should be given a dispensation from attending meetings in person.

3.    That delegated authority be given to the Director of Public Health, after consultation with the Health and Wellbeing Board at informal online meetings, to make all decisions within the terms of reference of the Board.

Proposed by Cllr Cocking, seconded by Cllr Biggs.

Decision: Recommendation to Full Council:

4.     the Chief Executive be given delegated authority:

(a)  In exceptional circumstances and after consultation with the relevant chair, to convene informal online meetings of the Full Council, the Cabinet or any committee or sub-committee.

(b)  After consulting members at informal online meetings to make any decision (save those that cannot by law be exercised by an officer) taking into account the views expressed by Members about the decision that they would have been minded to make had it been possible to hold a formal decision making meeting in person.

5.                  That all 4 recommendations be subject to review after 1 year.

To receive a verbal update on any changes to the Constitution, Jonathan Mair, Corporate Director, Legal & Democratic.   

The Director of Legal & Democratic gave a verbal update on recent changes to the constitution that he had made under delegated powers.  Colleagues in Adults & Housing had made some consequential changes to the Housing Allocation Policy because of the Ukrainian Family scheme and Homes for Ukraine scheme.  The need to satisfy residency conditions had been removed to comply with legal national changes by Government.

The committee noted the update.

To note the minutes of the Audit & Governance Hearing Sub-committee (if any meetings have been held).

The minutes of the Audit & Governance Sub-committee were noted.

To consider the work programme for the Committee.

The Service Manager for Assurance and the Executive Director, Corporate Development would liaise with the Democratic Services Team Leader to programme the items discussed at the meeting.

To consider any items of business which the Chairman has had prior notification and considers to be urgent pursuant to section 100B (4) b) of the Local Government Act 1972. The reason for the urgency shall be recorded in the minutes.

There was no urgent business.

To move the exclusion of the press and the public for the following item in view of the likely disclosure of exempt information within the meaning of paragraph X of schedule 12 A to the Local Government Act 1972 (as amended).

The public and the press will be asked to leave the meeting whilst the item of business is considered.

There are no scheduled exempt items.

There was no exempt business.