Issue - meetings

Report of the Executive Manager – Finance and Corporate Services

Mr Chris Williams, Head of Internal Audit at RSM, the Councils internal auditors attended the meeting to present the Internal Audit Report for Quarter 3, for the financial year 2019/20. The report highlighted the completion of six assignments: Cyber Risk Management, Insurance, Creditors and e-procurement, Markets (Review of New Contractual Arrangements), Business Support Unit and Payroll.

In terms of the audit findings, Mr Williams reported that out of the six substantive audits, four returned findings of Substantial Assurance resulting in a number of low-level recommendations where management actions were agreed.

In respect of Cyber Risk Management after testing identified two medium and eight low-level priority recommendations. The medium recommendations related to improvements to the Council’s response testing for a cyber incident and the Intrusion Prevention System, which was found to not have an automated alert system in place to notify the ICT team of a potential incident. Management actions were agreed for all recommendations.

In respect of Markets – Review of New Contractual Arrangements, this was an advisory review undertaken by the auditors to review the actions taken by the Council when it appointed a new managing agent for the markets operated at Bingham. The review confirmed that a new Markets Manager had been selected and a new contract had been put in place to formalise the arrangements between the Council and the Markets Manager. The audit confirmed that a process of due diligence checks were completed prior to the contract being signed.

Cllr J Stockwood asked a specific question relating to cyber security and whether there were audit checks on Councillors’ e-learning. Mr Williams advised that the internal audit covered all e-learning, Officers and Councillors and that e-learning was equally important to assist cyber security within the Council’s IT systems.

It was RESOLVED that the Internal Audit Progress Report for Quarter 3 be noted.