Agenda item

8.1

The Committee considered a report of David Hollis, Interim General Counsel, which updated on Governance Issues outlined in the Annual Governance Statement 2021/22.

8.2

As part of its annual Statement of Accounts, the Council must prepare and obtain approval for an Annual Governance Statement (AGS).  The statement serves as an evaluation of the effectiveness of the Council’s Internal control system.  There were several control weaknesses identified in the AGS 2021/22 that the council must rectify.

8.3

• Personal Development Review (PDR) completion rates were significantly lower than target – Actions were implemented earlier this calendar year, meaning this issue was also identified as a non-compliance in the AGS 2022/23.

• Completion of Mandatory Learning was behind target – Actions were implemented earlier this calendar year, meaning this issue was also identified as non-compliance in the AGS 2022/23.

• Inconsistent establishment controls could hinder the ability to review service efficiency and effectiveness – Processes were currently being reviewed for establishment controls beginning with a review of fixed term and temporary contracts.

• Retention and Disposal Schedules not present or routinely applied – work was in progress to make sure that new or replacement systems incorporate enquiries aimed to fully understand the capabilities of the system in terms of deletion and anonymisation at the tendering process.  Actions continued to be implemented, meaning this issue was also identified as a non-compliance in the AGS 2022/23.

• The Record of Processing Activities (ROPA) not kept up to date - Actions continued to be implemented, meaning this issue was also identified as a non-compliance in the AGS 2022/23.

• Not processing information requests (FOI, EIR and SARs) within timescales- Actions continued to be implemented, meaning this issue was also identified as a non-compliance in the AGS 2022/23.

8.4

The Interim General Counsel advised that these issues were reported regularly through portfolio leadership teams.

8.5

Following questions from members the following points were noted:

• Staff not completing mandatory training would have IT system access removed;
• It was felt that the quality of training was important, and it should not be a tick box exercise;
• Recognition should be given to those staff who have completed the training, as system issues had cropped up of staff not showing as completing training when they had.

8.6

RESOLVED: That the Audit and Standards Committee acknowledge the actions taken to address the control weaknesses relating to Human Resources and Information Governance, which were all being closely monitored by the Council’s Performance and Delivery Board and Strategic Leadership Team.