Agenda item

The Director of Adult Social Care, Head of Service for Adult Social Care and the Risk and Insurance Officer were in attendance for this item.  The Chief Internal Auditor summarised that internal reviews had been carried out in Special Educational Needs and Disability (SEND), Adult Social Care Direct Payments and Risk Management. 

In response to Members questions the following points were raised:

SEND

1.      It was noted that the findings of the internal review should be read in conjunction with the SEND statement, increased SEND team capacity and the implementation of clearer systems and new standard operating procedures.

2.      It was confirmed that the mechanism for further updates on the exception reports were scheduled in following year via an annual update or exception report.

3.      It was commented that a number of issues with SEND had been an ongoing problem for some time and had required a corporate restructure to deliver greater focus within the People Directorate including SEND.  There was recognition of great breadth of statutory responsibilities within the People Directorate which was responsible for 75% of the Council’s financial expenditure.  In line with the direction of travel other Councils the decision had been made to split the Director roles of Adult and Children to enable significantly more capacity to focus on this important work.

4.      It was questioned whether the hiring freeze would have an adverse impact on some of these existing problems.  It was confirmed that frontline critical staff were necessarily exempt from the freeze as vacancies in this area could create additional problems over and above the financial impact.

Direct Payments

5.      The progress that had been made to review partnership working to deliver increased capacity had been noted.

6.      It was questioned whether there had been a percentage drop in the take up of Direct payments due to the impact of the pandemic.  It was confirmed that there had been a 2-3% drop in 22/23 and take up was 1% below the national average.

Risk Management Review

7.      A concern was raised regarding the rationale for the small number of risks that had been internally reviewed with the rating of ‘limited assurance’ status.  It was confirmed that the reviews were carried out at roughly the same time each year and regularly monitored through the Pentana Risk system and the CIA was satisfied with level of progress made.

8.      It was noted that this could be a feature of the infancy of the new Pentana system.  It was agreed that things had significantly improved since the audit review and were now further forward.  There had been a roll out across the council with processes and training being embedded. Risk Officers now attended Department Management Team Meetings and meetings with all risk owners going forward would include a review of tolerances and measurable specific actions.

9.      It was suggested that Members would benefit from greater detail regarding the process for delivering a service level review.  Action: Officers to arrange a session for Committee Members to review the process.

Resolved: That the outcomes of the internal audit reviews on Special Educational Needs and Disability, Direct Payments and Risk Management are noted.

Resolved: That the progress being made by management in implementing

the agreed management actions arising from Internal Audit reviews is noted.