Issue details - Risk and Audit Service: Performance Report

Issue details

Risk and Audit Service: Performance Report

Report to: Audit and Governance Committee
Date of Meeting: 5 December 2018
Subject: Risk and Audit Service: Performance Report

Report of: Chief Internal Auditor
Wards Affected: All
Cabinet Portfolio: Regulatory, Compliance and Corporate Services

Is this a Key Decision: No Included in Forward Plan: No
Exempt / Confidential Report: No

This report details the performance and key activities of the Risk and Audit Service for the period 6 September to 21 November 2018.

Members are requested to:

(i) Note the progress in the delivery of the 2018/19 Internal Audit Plan and the activity undertaken for the period 6 September to 22 November 2018
(ii) Note the contributions made by the Health and Safety, Insurance and Risk and Resilience teams in managing key risks.

Reasons for the Recommendation(s):
Approval of the recommendations will facilitate the continued provision of a comprehensive and effective Risk and Audit Service.

Alternative Options Considered and Rejected: (including any Risk Implications)

What will it cost and how will it be financed?

(A) Revenue Costs
There are no direct financial implications arising from this report. However, the Council benefits from the work of the section in reducing the impact and likelihood (and so the cost) of risk.

(B) Capital Costs
There are no capital costs arising from this report.

Implications of the Proposals:

Resource Implications (Financial, IT, Staffing and Assets):
There are no specific resource implications arising from this report.

Legal Implications:
There are no specific resource implications arising from this report.

Equality Implications:
There are no equality implications.

Contribution to the Council’s Core Purpose: The Council’s Risk and Audit Service is a key enabler to the delivery of the Council’s Core Purpose as set out below

Protect the most vulnerable: Positive

Facilitate confident and resilient communities: Positive

Commission, broker and provide core services: Positive

Place – leadership and influencer: Positive

Drivers of change and reform: Positive

Facilitate sustainable economic prosperity: Positive

Greater income for social investment: Positive

Cleaner Greener: Positive

What consultations have taken place on the proposals and when?

(A) Internal Consultations

The Head of Corporate Resources (FD) and Monitoring Officer (LD) have been consulted and any comments have been incorporated into the report.

(B) External Consultations

Implementation Date for the Decision

Immediately following the Committee meeting

Contact Officer: David Eden
Telephone Number: 0151 934 4051
Email Address:


The following appendices are attached to this report:
• Risk and Audit Service Performance Report

Background Papers:

Internal Audit Plan 2018/19 (as approved by this Committee on 23 March 2018)

1. Introduction/Background

1.1 The Risk and Audit Service is managed by the Chief Internal Auditor, who reports to the Head of Corporate Resources.

1.2 The mission of the service is “to deliver a first class risk and audit service that is highly respected and valued by Sefton and is the envy of our peers”.

1.3 The Service has the following objectives:

• To lead the Council in embedding a system of internal control and risk management that facilitates the achievement of the organisation’s objectives.
• To be a valued corporate influence in promoting the due consideration of risk in Council decisions, strategies and plans.
• To align the service with the Council’s changing needs.

1.4 In delivering this mission and objectives, the Service encapsulates the following teams:

• Internal Audit
• Health and Safety
• Insurance
• Risk and Resilience

1.5 This report summarises the main aspects of the performance of the Service during the period 6 September to 21 November 2018, and gives members a detailed overview of the following areas:

• Internal Audit:
• work undertaken in the period, including a summary of work and an outline of the high priority recommendations made
• performance against Key Performance Indicators
• developments relating to this part of the Service.

• Health and Safety, Insurance and Risk and Resilience:
• work undertaken in the period, with key data provided
• developments relating to these parts of the Service.

The report concludes by looking ahead to the forthcoming activities being undertaken by the service.

Decision type: Non-key

Decision status: For Determination

Wards affected: (All Wards);

Decision due: 5 Dec 2018 by Audit and Governance Committee

Lead director: Head of Corporate Resources

Contact: David Eden, Audit Manager Magdalen House, 30 Trinity Road Bootle L20 3NJ. Telephone number 0151 934 4053 Email:

Agenda items

List of background documents to be considered by decision maker

  • Risk and Audit Service: Performance Report  

Background papers