Agenda

Members are asked to declare any interests they may have in the business to be discussed.

The Minutes of the previous meeting of the Audit and Risk Committee held on 20 November 2019 are attached, and Members will be asked to confirm them as a correct record.

The letter from Grant Thornton concerning the Certification of Claims and Returns Annual Report year ending 31 March 2019 is attached.

The ‘External Audit Plan’ report prepared by Grant Thornton, which provides an overview of the planned scope and timing of the statutory audit of the Council, is attached.

The ‘Informing the Audit Risk Assessment’ report prepared by Grant Thornton, which covers important areas of the auditor risk assessment under auditing standards, is attached.

The City Barrister and Head of Standards submits a report, which advises on

the performance of The Council in authorising Regulatory Investigation Powers Act (RIPA) applications, from 1 June 2019 to 31 December 2019.

The Director of Finance and the City Barrister & Head of Standards submit a report, which presents for approval updates to the assurance and corporate governance processes at the City Council and to approve the Local Code of Corporate Governance.

The Director of Delivery, Communications and Political Governance submits a report, which presents the revised Risk Management and Business Continuity Policy Statement and Strategies.

The report of the Director of Delivery, Communications and Political Governance submits a report on Risk Management and Business Continuity Strategy and Policies is attached.

The City Barrister and Head of Standards submits a report reviewing the Leicester City Council Whistleblowing Policy.  The Committee is advised to note the policy and suggest any changes.

The report of Leicestershire County Council’s Head of Internal Audit & Assurance Service on the Internal Audit Charter (March 2020) is attached for approval of the committee.

Members of the Public to Note

Under the law the committee is entitled to consider certain items in

private where in the circumstances the public interest in maintaining the

matter exempt from publication outweighs the public interest in

disclosing the information. Members of the public will be asked to leave

the meeting when such items are discussed.

The Committee is recommended to consider the following reports in private on the grounds it will contain “exempt” information as defined by the Local

Government (Access to Information) Act 1985, as amended, and consequently makes the following resolution:

“that the press and public be excluded during consideration of the following

report in accordance with the provisions of Section 100A(4) of the Local

Government Act 1972, as amended, because it involves the likely disclosure of “exempt” information, as defined in the Paragraph detailed below of Part 1 of Schedule 12A of the Act, and taking all the circumstances into account, it is considered that the public interest in maintaining the information as exempt

outweighs the public interest in disclosing the information.”

Paragraph 3

Information relating to the financial or business affairs of any particular person

(including the authority holding that information).

The reports concerns the strength of internal controls of the City Council’s

financial and management processes and includes references to material

weaknesses and areas thereby vulnerable to fraud or other irregularity. It is

considered that the public interest in maintaining the exemption outweighs the

public interest in disclosing the information.

Appendix K- Internal Audit Service – Annual Plan 2020-21

Appendix L- Progress Against the 2018-19 and 2019-20 Internal Audit Plans

The internal auditor submits a report, which provides an indication of internal audit work planned to be conducted during 2020-21.

The internal auditor submits a report, which provides a summary of progress against the Internal Audit Plans 2018-19 and 2019-20, summary information on high importance recommendations and progress with implementing them, and information on resources used to progress the plan.