Of the ten internal audits completed during the year, two concluded with satisfactory assurance, five required some improvements and three were categorised as unsatisfactory assurance. The findings and actions arising from the unsatisfactory audits are summarised below. The Audit and Risk Committee oversees implementation of actions arising from internal audits and the internal auditor obtains evidence that all medium and high-risk actions have been completed by the due date. 5 Directors' Report
Taking all the above into account, the Board considers that internal controls have operated effectively during the year. This view has been reached, not because the operating environment has been perfect, but because the majority of controls have worked well in reducing or removing risk. Where they highlighted improvements and concerns, appropriate action has been taken to improve the control framework.
Risk highlighted Some colleagues are required to have a Disclosure & Barring Service (DBS) check as a pre-requisite for their employment at Anchor. These are refreshed periodically. The internal audit identified that some colleague DBSs had not been refreshed by the due date. Some colleagues had a basic DBS check on file but were required to have an enhanced check due to their role. Issues with training system configuration and consistency. Control weaknesses relating to manual override of training records. Training not assigned in accordance with role training requirements. The team responsible for integrations have limited awareness of how the systems that rely on small, internally developed apps are used by the business. Therefore, they cannot develop adequate plans for prioritising and restoring service in the event of a system failure. Critical knowledge related to the legacy integrations has not been formally documented in a manner that allows it to be passed on when the current integration manager retires.
Action taken
Internal audit subject
Safeguarding in housing – follow up
All expired checks were renewed. All colleagues requiring an enhanced check were renewed with this status. DBS refresh period has been reduced from five years to three years. Review of automated system to ensure reminders are being sent to managers to renew DBS checks.
Regulatory assurance in care
Manual override of training tracker removed. Investigated why manual override had been used in two cases. Checked the two systems which allocate training modules are aligned. Followed up with any colleagues who may have missed mandatory training.
Software development
Work underway to map out the usage of apps. This will be used to prioritise and ensure appropriate contingency plans are in place.
Signed on behalf of the Board
Vicky Parr Company Secretary 8 August 2024
56 Anchor Hanover Group Annual Report & Financial Statements 2024
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