Agenda and minutes
Venue: Conference Room 4B - Tŷ Hywel. View directions
Contact: Clerk: Kathryn Hughes Deputy Clerk: Buddug Saer
No. | Item |
---|---|
Introductions, apologies and declaration of interests Minutes: 1.1
The
Chair informed the Committee that although Commissioners had been appointed,
there was no representative at this meeting as their portfolios had not yet
been agreed. He also wanted to formally
thank Angela Burns on behalf of the Committee for her five years of service as
a member of the Committee and wished her the best for the future. 1.2
The
Chair welcomed Ian Summers to the meeting.
Ian is providing support, challenge and assurance to the Statement of
Accounts. 1.3
The Chair declared that he was a
Non-Executive Director on the Cabinet Office Modern Electoral Registration
Programme. 1.4
No other interests were declared. |
|
Minutes of 25 April, actions and matters arising Minutes: ACARAC
(03-16) Paper 1 – minutes of 25 April ACARAC
(03-16) Paper 2 – Summary of actions 2.1
The minutes of the meeting on 25 April
2016 were agreed and officials provided the following updates on the
outstanding actions. 2.2
Claire Clancy confirmed that Dave Tosh
would be presenting an updated Business
Efficiency Review document at the July meeting. This would take account of comments from
Committee members. 2.3
Claire agreed to keep the Committee
informed on the potential purchase of Tŷ
Hywel but stressed that
this was dependent on the new Assembly Commission’s priorities. 2.4
Claire also confirmed that the
Management Board would be considering the risks around senior management
changes at its meeting in June and that a meeting in July had been assigned to
undertake a full review of the Commission’s risks. 2.5
The clerking team would ensure that any
comments relating to Internal Audit reports circulated out of committee would
be captured and stored appropriately.
They also confirmed that the Assurance Framework was on the Forward Work
Programme for November. |
|
Internal Audit Activity Report Minutes: ACARAC
(03-16) Paper 3 - IA Update Report
2015-16 3.1
Gareth
Watts updated the Committee on recent audit work. He had finalised all 2015-16 audits and had
completed his Annual Report and the Annual Report on Fraud. He had also completed a self-assessment against
the Public Sector Internal Audit Standards (PSIAS). 3.2
Gareth
had discussed his 2016-17 audit plan with the TIAA, the Commission’s outsourced
internal audit service provider, and an audit of risk management had commenced
on Monday 13 June. 3.3
Although
the focus would be on future audits, which could be subject to change depending
on the new Assembly Commission’s priorities, Gareth assured the Committee that
he would continue to follow-up on recommendations from prior years’ audits. The Committee welcomed this, particularly in
relation to the procurement follow-up audit.
Gareth would also continue to provide assurance on: the Voluntary Exit
Scheme; be an active member of project board for the new finance system; and
carry out a review of the Investment and Resourcing Board (IRB). 3.4
In
relation to HM Treasury’s revised Audit and Risk Assurance Committee Handbook,
the Committee suggested further consideration should be given to the relevance
of guidance in the new appendices on cyber security and whistleblowing. 3.5
The
Committee asked for clarification on the timing of the External Quality
Assurance (EQA) of internal audit services and the outcome of a review of the
Governance and Audit team. Gareth
explained that whilst PSIAS required the EQA be completed by 2018, he was
aiming to complete it sooner. He also
described how an away day had generated clear proposals on how to take the team
forward. He agreed to keep the Committee
informed of any changes. Action -
Gareth to review
appendices of HMT’s revised Audit and Risk Assurance Committee Handbook
regarding cyber security and whistleblowing and report findings to the
Committee. -
Gareth to update the
Committee in November of changes to the Governance and Audit team. |
|
Internal Audit Annual Report Minutes: ACARAC
(03-16) Paper 4 – IA Annual Report 4.1
Gareth
presented his 2015-16 Internal Audit Annual Opinion and Report. This report provided an overview of the work
undertaken by the Internal Audit service during the year and provided an
opinion based on that work and other wider observations. 4.2
In
response to questions from Committee members about outstanding recommendations,
Gareth explained that these related to the documentation of processes for key
performance indicators (KPIs) for which a review was on-going by members of his
team. The review, which was considering
the process of collating and reporting on the KPIs as well as how meaningful
they were, would address these recommendations.
He confirmed that engagement with Heads of Service had so far been
positive. 4.3
Gareth’s
opinion stated, ‘the Assembly Commission
has adequate and effective risk management, control and governance processes to
manage the achievement of its objectives.’
4.4
Gareth
had shared his report with Ann-Marie Harkin and Matthew Coe prior to this
meeting. They both praised the report
for its detail and informed the Committee that they had used the key financial
controls audit to aid them when auditing the accounts. 4.5
The
Committee welcomed this comprehensive report and Gareth’s audit opinion. They
encouraged Gareth to share reports and updates with them through the year which
he was more than happy to do. 4.6
In
relation to the review of the Commission’s Fraud, Bribery and Corruption
policy, the Committee suggested checking the relevance of recent Ministry of
Justice guidance on fraud and bribery. Actions -
Gareth to check Ministry
of Justice guidance on fraud and bribery risk assessments and report findings
to the Committee. |
|
Fraud Report Minutes: ACARAC (03-16) Paper 5 –
Annual Report on Fraud 5.1
Gareth
was pleased to report that during 2015-16 there had been no cases brought to
his attention of actual or suspected fraudulent activity regarding cash,
allowances and expenses or theft of assets.
5.2
The
Committee and the WAO made reference to work undertaken by the Commission to
strengthen internal controls to prevent or detect fraud and in raising staff
awareness which had been a priority following the previous incident. The WAO frequently shared examples of fraud
across the public sector with Nia Morgan and Gareth and would continue to do
so. They believed that prevention and
awareness, including sharing details of attempted fraudulent behaviour, as well
as having robust controls in place, were fundamental to tackling fraud. 5.3
The
Committee welcomed this well written report, subject to the rewording of
paragraphs 3.1 and 3.2. Action -
Gareth to clarify
reference to coverage of live data in the Annual Fraud Report. |
|
Annual Accounts Minutes: ACARAC
(03-16) Paper 6 – Draft Annual Report and Statement of Accounts 2015-16 6.1
Committee
members congratulated Commission staff, particularly Nia and Chris Warner, on
the quality and timeliness of the draft Annual Report and Accounts and asked for
this to be passed on to the teams.
Members agreed that it reflected a positive, mature, professional and
progressive organisation. The combined
document had been circulated two weeks in advance of the meeting and the
Committee welcomed the opportunity to fully digest and scrutinise the
information being presented. 6.2
The
report reflected the revised structural changes that had been recommended by
recent HM Treasury guidance and Chris stressed his objective of avoiding
unnecessary duplication. 6.3
Along
with the typographical errors that Nia had already informed the Committee
about, and points of clarification suggested at the meeting which would be
taken on board, she welcomed any further comments to be sent to her via email. 6.4
Claire
also commented that she was pleased and impressed with the process of collating
the report and thanked her team for their efforts. 6.5
The
Chair welcomed the review meeting that took place after publication of last
year’s Annual Report and Accounts to capture any lesson learnt and assumed that
the same would happen this year. Overall
he was pleased with the process and the quality of the report and thanked Ian
Summers for his additional assurance. |
|
External Audit Minutes: ACARAC
(03-16) Paper 7 – WAO NAWC ACARAC update 7.1
Ann-Marie
and Matthew informed the Committee that the 2015-16 audit, which had started on
23 May was, subject to final revisions, substantially complete with no
significant issues identified so far. The
ISA 260 report, which would be presented at the July meeting, would reflect
this unless any significant issues were identified. 7.2
The
WAO thanked Nia and her team for their helpful co-operation and noted further
improvements in the process, timeliness and standard of documentation being
presented this year. |
|
Update on Fifth Assembly transition Minutes: Oral item 8.1
Claire
provided the Committee with a very positive report on the transition to the
Fifth Assembly. Planning for dissolution
and the post-election period had been very thorough and effective and she and her
staff had received high praise from returning and new Assembly Members. A letter of thanks and praise had also been
received from Her Majesty the Queen. The
take up of Continuous Professional Development across all parties had also been
positive. 8.2
Claire
described how the procedural side of the early days post-election had also
worked well, particularly as Commission officials were responding to unfamiliar
circumstances around the appointment of a First Minister and the challenge of
different ways of working, such as secret ballots for election of the Llywydd
(Presiding Officer) and Deputy Presiding Officer. She also explained that risks around
compliance with the Political Parties, Election and Referendums Act (PPERA)
2000 were being managed. 8.3
During
the dissolution period, the Siambr in the Senedd had undergone a complete
refresh as had some of the Members’ offices.
The Chair praised the Commission for demonstrating effective business
continuity for the use of Siambr Hywel during this period for the recall of the
Assembly due to the steel industry crisis.
The recent Royal opening had also been very successful due to effective
planning and Claire expressed her pride in everyone’s efforts. 8.4
Claire
also updated the Committee on discussions held by Business Committee on plans
for early business, including the structure of Assembly committees and a
further review of Standing Orders. 8.5
The
Chair thanked Claire for this update and congratulated her and her team for
delivering such an outstanding service.
|
|
Corporate Risks Report Minutes: ACARAC
(03-16) Paper 8 - Corporate Risks ACARAC
(03-16) Paper 8 – Annex A - Corporate Risks Summary Report ACARAC
(03-16) Paper 8 – Annex B - Corporate Risks plotted 9.1
The
Committee welcomed the report and the planned review of risks at the Management
Board in July, which would take into account the new Assembly Commission’s
priorities and objectives. 9.2
Claire
outlined the scope and scale of the Commission’s current exposure to
risks. She emphasised the effort that
went into managing the risks in order to maintain such high standards and
quality of delivery. The Committee
agreed that this was particularly important at the start of a new Assembly in
terms of building and maintaining credibility and trust of the Llywydd,
Commissioners and Assembly Members. Actions -
Kathryn Hughes to ensure
risks around replacing the Finance system alongside recruitment of a new
Finance Director were adequately captured. -
Dave Tosh to provide
details to the Committee on the approved option and timescale for the CCTV
project. |
|
Critical examination of one identified risk Minutes: ACARAC
(03-16) Paper 9 – Corporate Bilingual Capacity 10.1 Craig Stephenson
introduced his paper which invited the Committee to provide their views on the
management of the risk on corporate bilingual capacity. 10.2 Craig described the advancements
of Machine Translation and the on-going commitment from Microsoft to
continuously increase the translation vocabulary. Well established links with other public
sector bodies meant that they were also feeding text into the system, which
would further increase the accuracy of the translation and therefore people’s
confidence in using the facility. 10.3 He also described
improvements implemented since the launch of the Official Languages Scheme in
2013, such as the provision of bilingual briefings for Assembly Committees and
the flexible approach adopted by the multi-skilled Translation and Reporting
Service. Positive feedback had also been
received on the use of integrated clerking teams. 10.4 Feedback from Members and
the results of the forthcoming language preference exercise would further
inform plans and the capacity needed to provide bespoke services in the
language of choice. 10.5 The Committee thanked
Craig for the informative discussion and wished him well in taking this
forward. |
|
Papers to note and any other business Minutes: ACARAC
(03-16) Paper 10 - Departures summary ACARAC
(03-16) Paper 11 - Forward Work Programme 11.1 The Committee noted one
departure from normal procurement procedure. 11.2 A revised forward work programme
would be circulated in July to reflect changes agreed by the Committee. 11.3 Claire informed the
Committee about an issue regarding the payment of the Auditor General For
Wales. 11.4 The Chair concluded the
meeting by thanking everyone for their papers and contributions. Actions Clerking team to: -
update
FWP for November 2016 to include both the HR/Payroll project closure report and
feedback from the Chair on presentation of the ACARAC Annual Report to the
Commission. -
confirm
dates for future meetings when Commissioner with responsibility for governance
has been confirmed. Next meeting is scheduled
for 11 July 2016. |