The Governance, Audit, Risk Management and Standards Committee met on Tuesday 24 September 2024 to discuss audit progress, risk registers for various directorates, and the annual health and safety report. The committee also established a new Standards Working Group.

Establishment of the Standards Working Group

The committee resolved to establish the Standards Working Group. The group will comprise one member from each of the main political parties on the Council and one Independent Member. The Independent Member will chair the group. The members appointed to the group are Mr James Coyle, Dr John Kirkland (Independent Members), Councillor Yogesh Teli (Conservative), and Antonio Weiss (Labour). Reserve members appointed are Christopher Baxter and Paul Osborn (Conservative), and Dean Gilligan and Eden Kulig (Labour).

Audit Progress Report 2022/23

Members received an update on the progress of the 2022/23 external audit from representatives of Mazars. The amended backstop date for these accounts is now 13 December 2024, with auditors aiming to complete the audit by the end of November. For the 2023/24 audit, the amended backstop date is 28 February 2025. Mazars indicated they would issue a disclaimed audit opinion for the 2023/24 audit due to insufficient time to complete it.

During discussions, clarification was sought on property valuations, with members advised that an external company had been engaged due to capacity issues, and had applied a more optimistic assumption. Mazars' audit fees were questioned, and it was explained that the Council had opted into a new procurement process, marking the first year of the fee contract, which had increased substantially due to new Public Sector Audit (PSA) requirements and a greater workload. The auditors confirmed that the audit was almost complete. Significant risks related to the valuation of property, plant and equipment, investment property, and cash equivalents were discussed, with confirmation that an issue regarding bank confirmation had been resolved.

The committee resolved to note the Audit Progress Report 2022/23.

Children's Services Directorate Risk Register 2024/25

An information report was presented detailing the quarter 1 2024/25 risk register for the Children's Services Directorate and corporate risks. The Strategic Director of Children's Services outlined the report, noting that there were six open risks, all rated amber. One risk had increased in significance, three had reduced, and two remained constant.

A key risk identified was the potential downgrading of the inspection outcome for Children's Services from Good to Requires Improvement. This risk had reduced to an amber D2 level due to swift action in critical areas such as the Multi-Agency Safeguarding Hub (MASH) and the Assessment Section. However, early help still required improvement.

Another significant risk concerned the failure to recruit and retain permanent, experienced, and qualified social work staff. This was rated amber D2 due to an imbalance of inexperienced social workers. Measures to mitigate this included recruiting additional capacity, introducing an extra management layer, and agreeing to temporary social work posts, which had resulted in reduced caseloads.

The risk related to the Mosaic system and a funding gap was rated amber C3. While the system had been reviewed and the team operating it would now sit within the Director of IT's service area, the funding gap remained and was being managed by holding a vacancy.

A corporate risk, Failure to adequately deliver a statutory service/duty at Children's Services leading to a harmful event, was rated amber D2. This risk had been separated from a previous joint risk with Adult Services.

The committee resolved to note the report.

Adult Social Care & Public Health Directorate Risk Register 2024/25 Q1

Members received an information report on the risk register for the Adult Social Care and Public Health Directorate for quarter 1 of the 2024/25 financial year. There were eight open risks, with one rated red, five amber, and two green. One risk had increased in significance, four remained stable, and three had decreased.

The red-rated risk (C2) was the Failure to recruit and retain permanent experienced and qualified social work staff across Adult Services to meet the demand and complexity of cases. Agency staff were in place for most vacant positions, but efforts were ongoing for permanent recruitment and international recruitment.

A revised risk, Harrow has a high-volume oversaturated spot provision of homecare which is not sustainable or affordable, was rated amber C3. This risk was being further understood, with a review of unit costs and a new protocol for setting rates being developed.

The Adult Social Care budget was rated amber A3, described as significantly challenged. Despite receiving growth funding, the directorate remained in a difficult position, though budget monitoring had improved with a new Business Partner in place.

Other risks discussed included poor provider performance in the community equipment market (amber C3), fraud within the directorate (amber C3), and issues with the Mosaic system (amber D2). A risk concerning the use of public health resources and functions leading to ineffective partnership working was rated amber D3, and the risk of a resurgence of COVID-19 or other pandemic virus cases was rated green D3.

A previously identified risk regarding adverse CQC inspections was closed, as the final report had been received and was not adverse.

The committee resolved to note the report.

Annual Health and Safety Report for 2023-2024

Members received a report detailing the annual review of health and safety performance. The report highlighted a 52% increase in reported accidents and incidents compared to the previous year, reaching 558. This increase was attributed to the relaunch of the Evotix Assure system and efforts to foster a positive health and safety culture. However, the number of RIDDOR incidents decreased to four.

Key accident types across the corporate estate, including schools, were slips, trips, and falls on the same level (91 incidents), followed by challenging behaviour (70 incidents) and physical assaults (55 incidents). The Place directorate accounted for the highest number of incidents (51%), followed by schools (33.7%).

The report noted that 84% of risk assessments on SHE Assure had no review date set, and 50% were over a year old, indicating a significant overdue review rate. Fire Risk Assessments (FRAs) were ongoing, with 51 completed for corporate buildings and 339 for Council Housing. Asbestos re-inspection surveys were also carried out.

The committee was informed about the Occupational Health (OH) service and Employee Assistance Programme (EAP), which continued to provide support. The report also detailed the Council's Health and Safety Strategy 2022-2025 and the Corporate Health and Safety Performance Plan 2023-2024.

A significant risk identified was the Failure to fulfil the Council's Health & Safety duties leading to a harmful event, which remained rated as RED. Mitigations included continuous monitoring of key measures and a review of the H&S service structure.

The committee resolved to note the Accidents and Incidents report, the Health and Safety and Corporate Health and Safety Plan, and the information relating to the Employee Assist Programme.

Internal Audit & Corporate Anti Fraud Team (CAFT) Progress Report for the period ending 31 August 2024

Members received a report on the progress of the Internal Audit and Corporate Anti-Fraud Team (CAFT) against their 2024/25 plans. Overall, Internal Audit had achieved 39% of its annual plan, exceeding the target of 37.5%. 100% of recommendations made to management for improving internal controls were agreed for implementation.

The report detailed the outcomes of CAFT investigations, highlighting estimated savings and avoidance of loss totalling £418,323.78 from 6 completed investigations. The National Fraud Initiative (NFI) exercise had resulted in 63 positive outcomes, with savings/loss avoidance exceeding £482,000.

Progress against the 2024/25 Pro-Active Anti-Fraud Plan was on track, with most work streams either achieved or on target. Key performance indicators for CAFT were generally exceeding targets.

The committee resolved to note the progress report.

Establishment of the Standards Working Group

The committee resolved to establish the Standards Working Group. The group will comprise one member from each of the main political parties on the Council and one Independent Member. The Independent Member will chair the group. The members appointed to the group are Mr James Coyle, Dr John Kirkland (Independent Members), Councillor Yogesh Teli (Conservative), and Antonio Weiss (Labour). Reserve members appointed are Christopher Baxter and Paul Osborn (Conservative), and Dean Gilligan and Eden Kulig (Labour).

The committee also noted that no public questions, petitions, or deputations had been received, and no references from other committees were presented. Reserve members, including Councillor David Perry and Councillor Ramji Chauhan, were noted as in attendance. No declarations of interest were made by members present.