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 and declared that he was currently a Non-Executive Director on the Electoral
Registration Transformation Programme. 1.2
David Melding declared that he was a Trustee
for the National Assembly for Wales Members' Pension Scheme. 1.3
No other interests were declared. |
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Minutes of 20 April meeting, actions and matters arising Minutes: ACARAC
(28) Paper 1 - Minutes of 20 April 2015 ACARAC
(28) Paper 2 – Summary of actions 2.1
The minutes of the meeting on 20 April
2015 were agreed. 2.2
3.8 Security – Dave Tosh confirmed that South Wales
Police were happy to provide confidential briefings on potential threats. The
Committee suggested that Dave develop clear mutual understanding with South
Wales Police about methods of communicating and recording such briefings. |
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Internal Audit update Minutes: ACARAC (28) Paper 3 - IA
Progress Report 3.1
Gareth
updated the Committee on activity since the April meeting. The scope for the procurement audit had been
finalised and a report would be produced over the summer. 3.2
The
Committee asked about activity planned for January 2016 – ‘Value for Money
Study into making use of the Assembly Estate’, in light of proposals to review
business efficiency more widely. Gareth
explained that this was linked to one of the Assembly Commission’s key
priorities. Dave Tosh and Mike Snook
would lead on this work, which would feed into the wider business efficiency
review. The Committee also asked about
the results of the benchmarking of the Governance Statement against WAO
guidance. Gareth explained that this showed that all guidance had been taken
into account. 3.3
Nicola
Callow informed the Committee that the business case for the replacement
finance system project had been scrutinised by the Investment and Resourcing
Board (IRB) and Keith Baldwin. A revised
business case would be presented to the IRB before the procurement
exercise. |
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Internal Audit Annual Report Minutes: ACARAC
(28) Paper 4 – IA Annual Report 4.1
The
Committee considered the report to be a good assessment of work undertaken by Gareth
during the year. Committee members were
encouraged by the forums and events that he had attended recently and his
pro-active approach in seeking contacts and examples of good practice. Gareth agreed to share these best practice
methods with the Committee. Actions -
Gareth Watts to share
experiences of public sector internal audit best practice |
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Internal Audit Quality Assessment Framework Minutes: ACARAC
(28) Paper 5 – Quality Assessment Framework – cover paper ACARAC (28) Paper 6 –
Quality Assessment Framework 5.1
Gareth
provided the Committee with a summary of the results of a self-assessment
against the Internal Audit Quality Assurance and Improvement Programme, carried
out in line with requirements of the Public Sector Internal Audit
Standards. 5.2
He
commented on his work to raise the profile of Internal Audit within the
organisation and felt that engagement had improved since he was appointed. A scoping exercise needed to take place,
before exploring potential procurement routes and suppliers to carry out an
external review. 5.3
The
Committee thanked Gareth for his update and welcomed the suggestion from him to
update the Committee on progress against actions in the future. Committee members also welcomed his
self-critical approach. Actions -
Gareth Watts to provide
regular updates on progress against actions contained in the Internal Audit
Quality Assessment Framework. |
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Internal Audit Annual Report on Fraud Minutes: ACARAC (28) Paper 7 - IA
Annual Report on Fraud 6.1
This
report gave the Committee a synopsis of the one case of fraud, identified in
May 2014. An assessment of the adequacy
of the controls in place, the work undertaken to raise staff awareness of fraud
risks and to establish areas of focus for covering fraud risks would be carried
out over the coming year. 6.2
Ann-Marie
Harkin and Matthew Coe informed the Committee that the WAO had prepared a
generic questionnaire on dealing with fraud for all its clients to
complete. A copy would be sent to Claire
Clancy. 6.3
When
questioned about the Commission’s sources of intelligence on fraud, Gareth
confirmed that TIAA and the WAO provided regular updates on fraud
incidents. 6.4
The
Committee agreed that Gareth should explore the role of the National Fraud
Authority (NFA) and to be pro-active in the sharing of intelligence in the
future. Actions -
Gareth Watts to liaise
with WAO to ensure intelligence and contacts around fraud are shared,
especially with the National Fraud Authority (NFA). |
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External Audit - update on work to date and progress and consider (emerging) External Audit findings for the financial year 2014-15 Minutes: ACARAC
(28) Paper 8 – WAO update June 2015 Consider (emerging)
External Audit findings for the financial year 2014-15 (oral update) 7.1
Ann-Marie
and Matthew informed the Committee that the audit on the accounts had only just
started and that, so far, there were no material weaknesses to report. 7.2
Ann-Marie
commented on the complexity of the accounts and would work with Nicola to
streamline their presentation. Actions -
Review opportunities to
streamline structure of accounts and share conclusions with ACARAC (WAO/Nicola
Callow). |
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2014-15 Draft Annual Report and Statement of Accounts Minutes: ACARAC (28)
Paper 9 – 2014-15 Draft Annual report and Statement of Accounts 8.1 An extensive discussion took place on the
annual report and statement of accounts.
The report was commended by the Committee and the following suggestions
were made: ·
Cross
reference the KPI report to evidence the key achievements in performance. ·
The
transition to an insourced ICT arrangement needed elaboration. ·
The
Business Efficiency Review could be expanded upon. ·
Highlight
the Value for Money successes but also describe enhanced levels of service. ·
Be
clear about when savings could be rolled over year-on-year, and when costs
should be re-baselined. ·
Capture
positive quotes from staff and Assembly Members’ survey results if available. ·
Ensure
the section on losses was explained fully. 8.2 Officials accepted the comments and a final version would be
presented to the Committee in July. |
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Corporate Risks Report Minutes: ACARAC (28)
Paper 10 - Corporate Risk Report ACARAC (28)
Paper 10 – Annex A - Corporate Risk Summary ACARAC (28)
Paper 10 – Annex B - Corporate Risks plotted 9.1
Dave
and Claire provided feedback on the recent business continuity exercise carried
out by the strategic response and tactical teams. Lessons learned from the mock mobilisation of
the incident response plan were being captured.
Initial discussions had identified the need to test the plan further,
involving Assembly Members, Commissioners and external stakeholders. 9.2
The
Committee was reassured by the results and welcomed plans to involve Assembly
Members and Commissioners in future exercises.
Committee members stressed the importance of flexibility in the approach
to enable officials to adapt to the circumstances and constraints of particular
incidents. 9.3
The
Committee considered the Commission’s Corporate Risk Register, noted the
movements and questioned the low number of risks remaining. Committee members also suggested that consideration
should be given to capturing risks with a potentially high impact, such as the
Fifth Assembly transition and constitutional change. 9.4
Dave
Tosh assured the Committee that the Management Board would shortly carry out a
full review of current and emerging risks, to include static risks. Actions -
Following a discussion at
Management Board, an updated risk register, taking into consideration the areas
highlighted by the committee to be presented at the November meeting. |
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Critical examination of one of the areas identified as being of interest (Fifth Assembly Transition) Minutes: ACARAC (28)
Paper 11 – Transition to the Fifth Assembly ACARAC (28)
Paper 11 – Annexes 1-4 10.1 Sulafa Thomas explained
the approach being adopted, which was to treat much of the transition as business
as usual, but with clear visibility across the full range of work. Work streams had been identified and the
leads were working on estimating the resource requirements. Lessons learnt from the transition to the
Fourth Assembly had been examined and Sulafa welcomed the offer of discussing
past election experiences with Hugh Widdis. 10.2 The Committee was content
with the detail presented in the papers, and the clear dependencies and
interactions listed, but in light of recent project management experiences, to
define the project, (including roles and responsibilities) in accordance with
the Commission’s standardised methodology.
Actions -
Define role and
responsibilities of SRO for the Fifth Assembly Transition. |
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Update following the Business Continuity exercise 27 April 2015 Minutes: 11.1 This item was discussed under item 9. |
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Papers to note and any other business Minutes: ACARAC (28)
Paper 12 - Departures summary ACARAC (28)
Paper 13 - Forward Work Programme 12.1 The Committee noted one
departure to normal procurement procedures.
12.2 An updated Forward Work Programme
would be prepared by the Clerking team and presented to the Committee in
July. Next meeting is scheduled
for 6 July 2015. |