Agenda and minutes
Venue: Conference Room 4B - Tŷ Hywel. View directions
Contact: Clerk: Kathryn Hughes Deputy Clerk: Buddug Saer
No. | Item |
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Introductions, apologies and declaration of interests Minutes: 1.1
The Chair welcomed the attendees to the
meeting. He declared that he was currently a Non-Executive
Director on the Electoral Registration Transformation Programme, as the
Committee would be discussing constitutional change. 1.2
No other interests were declared. |
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Minutes of 9 February meeting, actions and matters arising Minutes: ACARAC
(27) Paper 1 - Minutes of 9 February 2015 ACARAC
(27) Paper 2 – Summary of actions 2.1
The minutes of the meeting on 9 February
2015 were agreed and officials provided the following updates on the
outstanding actions. 2.2
Claire Clancy provided an update on the strategic programme of change to prepare
for the Fifth Assembly. A business as
usual, centralised approach was being adopted with a number of work streams
identified. The approach had been
discussed in principle with the Assembly Commission. 2.3
The evaluation of the transition to the
Fourth Assembly indicated that a more streamlined method of delivery should be
adopted. Claire agreed to circulate
details of the Fifth Assembly work streams to ACARAC members (complete). 2.4
All other actions would be covered as
agenda items at this, or future meetings. |
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Internal Audit Activity Report Minutes: ACARAC
(27) Paper 3 – Progress report 2014-15 IA Programme ACARAC
(27) Paper 4 – IA Recommendations – Monitoring ACARAC
(27) Paper 5 – Internal Audit Strategy 2013-16 3.1
Gareth
Watts had completed his 2014-15 programme of work and focussed on the good
progress made in relation to 2014-15 recommendations. 3.2
The
Committee questioned the Data Analytics -
accounts payable audit which did not have a conclusion rating. Gareth confirmed that he had no concerns
regarding the integrity of the data or the risk of fraud. 3.3
They
also asked for details of Gareth’s plans to audit the Finance Accounting System. Nicola
Callow and Gareth confirmed that when a project was established, he would
schedule it into his work programme.
Nicola had shared the business case with TIAA and received some valuable
feedback. She would also review the
initiative with Keith Baldwin. 3.4
Gareth
confirmed that he would be including his vision for the role of Internal Audit
in the Assembly as part of his forward programme of work. He would also discuss with the Head of
Communications whether the Better Engagement audit could be brought forward. 3.5
The
Chair thanked Gareth for his revised strategy and welcomed his flexible
approach, especially the increased focus on Assembly Business areas. 3.6
The Committee then received an update from
Mike Snook on the Security Vetting audit.
His team had identified those employees who required Security Clearance
(SC) and had been working to ensure they were all vetted by the start of summer
recess in July 2015. 3.7
For
the lower level clearance (CTC), discussions were on-going with the trade
unions and the vetting process should be completed by May 2016. Mike and Dave Tosh had also spoken with the
Welsh Government about their approach. 3.8
Committee
members were assured that there are close links with South Wales Police (SWP),
but questioned whether all intelligence was being shared with Assembly
Officials at appropriate times. 3.9
Dave
confirmed that SWP had been heavily involved in discussions recently and were
providing the Assembly Commission with updates and intelligence. The Assembly Commission would be discussing
security in the round at their meeting on 23 April. 3.10 Overall, Committee members
and Internal Audit were satisfied with progress. Actions -
Discuss
with SWP whether there is further intelligence on local threats that they are
able to share and how this can be disseminated more widely. -
IA
Strategy 2013-16 - Ensure the IA strategy document captures the vision for the
future role of Internal Audit in the Assembly.
-
Ensure
information contained in tables presented in the IA Strategy and the IA Charter
is aligned. -
Better
Engagement
- assess
whether the date of the final report can be brought forward from January 2016
to autumn 2015. |
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Latest Internal Audit Reports Minutes: ACARAC (27)
Paper 6 - Review of the appointment of Expert Advisers to Committees 4.1
The
Committee welcomed this report and the robust recommendations to strengthen the
process, which they hoped to see implemented so that expert advisors are used more
widely and effectively in the future. As
part of this, they suggested that officials should examine the need for
training for Committee Chairs or Clerks and Deputy Clerks in the use of expert
advisors. They reflected on the
potential conflicts of interest but recognised the small pool of experts
available to some Committees. The
evaluation of the effectiveness of advisers was also encouraged. Members noted that the Commission should
consider the NAO Report from November 2014 and take account of this and any
additional guidance the Wales Audit Office may provide on managing conflicts in
the future. Actions -
Appointment
of Expert Advisors to Committees – ensure the agreed recommendations are
implemented and that there are no obstacles to using expert advisors in the
future. -
Examine
the need for, and if appropriate make available, training for Committee Chairs
or Clerks and Deputy Clerks in the use of Expert Advisors. ACARAC (27) Paper 7 –
Value for Money report 4.2
Gareth
was pleased to report that there was a strong Value for Money (VfM) culture
across the organisation, although efficiencies could be more widely
captured. 4.3
The
Committee queried whether recruitment delays should be reflected as VfM
savings. Claire confirmed that delays in
appointing staff were sometimes inevitable and that recruitment had sometimes
been purposely delayed in order to deliver savings. 4.4
Nicola’s
team had discussed savings with Heads of Service across the organisation and
VfM savings would be captured in the Annual Accounts. 4.5
The
Chair welcomed the inclusion of this information in the accounts and encouraged
officials to concentrate on capturing efficiency/process streamlining and
procurement savings. ACARAC (27) Paper 8 -
Review of the Assembly Commission’s Project Management Arrangements (also item
12) 4.6
Gareth’s
audit confirmed that there were no surprises in this area. Many of the historical issues that had been
identified would continue to be addressed.
Business cases could be sharper, as could post implementation reviews
and benefits realisation analysis.
4.7
Dave
informed the Committee of the increased involvement of Business Analysts in
projects and the on-going work on benefits management. He highlighted the culture already embedded
in some areas of the Assembly where formal project management processes were in
place. 4.8
Committee
Members urged officials to ensure that there was a sufficient focus on
delivery, that clear objectives were set and that post project reviews captured
and shared lessons learned. 4.9
The
Chair welcomed both papers, was satisfied with progress to date and noted that
the papers were complementary. |
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Review of the Internal Audit Charter Minutes: ACARAC
(27) Paper 9 – Internal Audit Charter 5.1
Gareth
highlighted the sole change to the charter which was that his reporting line
was directly to Claire Clancy. 5.2
The
Committee were content with the charter. |
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Joint Working Protocol Minutes: ACARAC (27) Paper 10 –
Joint Working Protocol 6.1
The
IA/WAO Joint Working Protocol encouraged a collaborative working approach
between the two organisations. 6.2
Ann-Marie
Harkin confirmed that this document was a fair reflection of the current situation
and that, as in previous years, they would be placing reliance on IA’s work on
Payroll. 6.3
Gareth
would examine the WAO Management Letter for areas of focus. |
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WAO View of Effectiveness of the Committee Minutes: 7.1
As
this was only Ann-Marie and Matthew Coe’s second meeting, they had discussed
the Committee’s effectiveness with their colleagues (Richard Harries and Mark
Jones) who had a positive opinion. 7.2
WAO
felt that the Committee’s focus was pitched at the right level with plenty of
constructive challenge and debate.
Committee members were well prepared for the meetings; demonstrated a
good understanding of the Assembly Commission and the way the organisation
works; and meetings were run effectively.
7.3
Matthew
confirmed that the WAO interim audit and work on the AM pension scheme audit
were progressing well. He agreed to
provide a brief update paper for the next meeting. |
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Budget update 14-15 Minutes: ACARAC (27) Paper 11 – Budget update 8.1
Nicola
updated the Committee on the fraud incident and would continue to do so as the
case progressed. 8.2
The
budget was on track to meet financial targets.
At the request of the committee, Nicola agreed to look into the VfM
analysis and targets. Actions -
Examine
the VfM analysis and targets. |
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Corporate Risk Summary Report and Critical examination of one risk Minutes: ACARAC
(27) Paper 12 – Corporate Risk Report ACARAC
(27) Paper 12 - Annex A - Corporate Risk Summary Report ACARAC
(27) Paper 12 - Annex B – Corporate Risks plotted ACARAC
(27) Paper 13 – Constitutional change 9.1
There
were no risk severity uplifts. The Chair
welcomed the strategic risk review planned by Management Board. 9.2
Anna
Daniel presented the detailed examination of constitutional change. She noted that strong productive
relationships were in place with key stakeholders. 9.3
David
Melding commented that the work was being performed to an exceptionally high
standard and the paper presented a clear picture of the situation. 9.4
Hugh
Widdis questioned whether the risks around the proposed model of powers were
being managed. Anna confirmed that her team
were raising awareness on this issue and were working closely with the Wales
Governance Centre, with an event planned in May. 9.5
Committee
Members offered their support as appropriate and suggested further independent
challenge, for example from the Institute for Government, Cabinet Office or
other legislatures. Actions -
Pursue
other sources of independent challenge and advice including the Institute for
Government and other legislatures. |
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Capacity Planning and Recruitment Minutes: ACARAC
(27) Paper 14 – Capacity Planning and Recruitment 10.1
Mike
and Dave presented this paper and confirmed that the guidance and procedures
detailed in the paper were now fully in place and that IRB considered each
Recruitment Authorisation Document in the context of the capacity planning
exercise. They felt that this was
extremely beneficial and, when assessing a request to recruit, always
considered whether the service could be delivered in a different way. 10.2
The
Committee were pleased with the progress and the twice yearly review of
capacity planning. They felt that it was
a comprehensive process. 10.3
Officials
confirmed that, when a new Assembly Commission is established in 2016, a new
strategy would be agreed and it would be a natural point to review and take
stock. |
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Draft Governance Statement for 2014-15 Minutes: ACARAC
(27) Paper 15 – Draft GS 2014-15 – cover paper ACARAC
(27) Paper 15 – Draft GS 2014-15 11.1
Claire
thanked Hugh for his participation in the governance review meeting. The draft governance statement was in a
relatively advanced state, and Hugh and Eric had already provided
comments. A final draft would be brought
to the Committee in June 2015. |
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Meeting The Commission's Needs For Project And Change Management Minutes: ACARAC
(27) Paper 16 – Update on Project Management approach 12.1 Covered under item 4. |
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ACARAC Annual Report 2014-15 Minutes: ACARAC
(27) Paper 17 – 2014-15 ACARAC Annual Report 13.1 The Committee approved
this report, pending one suggested amendment from the WAO. 13.2 The Clerking team would
arrange for the report to be branded and translated in time for the Assembly Commission
meeting in July. |
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Northern Ireland Assembly visit by Assembly Officials Minutes: 14.1
Dave
thanked Hugh and his colleagues for the opportunity to visit the Northern
Ireland Assembly. They had found
discussions about current and future budgets, VfM, benefits realisation and
process improvements extremely beneficial.
Constitutional issues were also considered, and there would be further
discussion of the business management system. |
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Papers to note and any other business Minutes: ACARAC
(27) Paper 18 – Revised Terms of Reference ACARAC
(27) Paper 19 – Departures Summary ACARAC
(27) Paper 20 – Forward Work Programme 15.1 All three papers were
noted and Committee members were asked to inform the Clerking team of their
availability for future meeting dates. Next meeting is scheduled
for 11:00 8 June 2015. |