Monday 20 May 2024, 10am
Board Room, University Street, Belfast
Members Present:
Dorinnia Carville, Chair (C&AG)
Rodney Allen (COO)
Patrick Barr (Director)
Suzanne Jones (Director)
Colette Kane (Director)
Brian O’Neill (Director)
Seamus Wade (Director)
Tomas Wilkinson (Director)
Apologies:
No apologies recorded.
In Attendance:
Louise Donnelly (Secretariat Support)
Catherine O’Hagan (Audit Manager) – Agenda item 1
Apologies
No apologies were recorded.
Declaration of Conflicts of Interest
There were no conflicts declared by members.
Minutes of previous meeting
Minutes of the previous meeting held on 15 April 2024 were agreed and the matters arising noted as updated.
Corporate Management Team (CMT) Briefing
Catherine O’Hagan joined the meeting and provided an update on the following key areas arising from the recent CMT meeting:
- QAD Review – Managers discussed their concerns surrounding the root cause analysis completed after the 2023 review and the impact of the recently completed 2024 review.
- Recruitment - Managers discussed the upcoming Senior Auditor recruitment exercise and the impact and possible disruption this may cause due to internal staff applying for the competition.
- Public Reporting – Managers noted their concern at a lack of flexibility of QA1 meetings when requests for rescheduling were made.
- HLA/GTA Training – CMT to liaise with the L&D Officer to analyse how best to ensure all trainees get the same development opportunities.
SLT welcomed the update provided and recorded their thanks to the Catherine and the Team.
People and OD
People and OD Monthly Report
Brian O’Neill provided an update noting specifically the following:
- Sickness Absence Statistics - Members noted the continued positive trend in the figures presented.
- Recruitment - Recruitment exercises for the roles of Head of People and Organisational Development, Information and Systems Officer, Audit Manager, Senior Auditor and Auditor closed on 13 May 2024. Interview Panels have been agreed, with shortlisting and interviews are taking place during May and June 2024.
- Performance Management Compliance – All employees have completed end of year reviews and expectations planning for the next year.
- Diversity Mark – Work is due to commence on the process towards accreditation.
Strategic Projects
Accommodation Project
Rodney Allen advised that the lease is currently with the new tenant for signature. Efforts to secure potential tenants for the remaining office space are ongoing.
Workforce Planning
Seamus Wade provided an update on the recent meeting of the Workforce Planning Group. He advised that a draft plan has been created to help identify any potential resourcing gaps and this will be discussed at the next scheduled meeting to be held on Friday 24 May 2024. It is anticipated that a clear plan of action will be in place by November 2024. Post recess resourcing is also on the agenda for this meeting.
Strategic Performance
Management Information Report
The C&AG advised that she was meeting with Chris Broughton later in the week and would discuss a review of the report over the summer months. Once again it was noted that for information in the report to be relevant, it is essential that staff regularly update Time and Space for all jobs, this is a key action for all Managers to implement and Directors to oversee.
Position re Backlog Accounts
Members provided the C&AG with an update on the current position concerning the number of backlog audits.
Audit Costs
Members noted the paper presented and as recorded at previous SLT meetings, requested that staff regularly update the Custom Fields section in the Administration Tab on Time and Space for all jobs so that up-to-date information is reported.
Public Reporting Monitoring Report
Members noted the update provided on the status of all Public Reports, it was agreed that a meeting should be scheduled over the summer months to discuss and review the public reporting schedule.
Policy Review
Brian O’Neill advised the review is ongoing for all Audit Policy Circulars and the Personnel Policy Circulars. Going forward updates on progress will be provided quarterly to SLT.
Performance against Key Performance Indicator’s (KPI’s)
Brian O’Neill presented a report to provide an update on progress, members noted that KPI’S would now change as a result of the publication of the 2024-29 Corporate Plan. It was agreed the annual business plan would be discussed at the next meeting of SLT.
SLT Self-Evaluation Exercise
A draft self-assessment checklist was endorsed by SLT. Members are asked to complete the assessment before 31 May 2024, findings will be presented at the June SLT meeting. A day will be scheduled over the Summer for SLT to review and discuss the results of the exercise, along with other strategic issues.
Quality Report
Public Reporting Update
Patrick Barr provided an update on the following key areas:
- Further awareness sessions will be scheduled and staff will be asked in advance of the meeting to highlight any areas they feel might need clarification, or to submit any other questions or comments they might have.
- Practitioner Group - The first meeting is scheduled for 21 May 2024 and will focus on the purpose and function of the group.
- A review of the findings of the External Quality Review Panel will be undertaken.
Technical Team Update
Suzanne Jones provided an update on the following key areas:
- Financial Audit – Members were advised that laying guidance will be issued from Accountability & Financial Management Division (AFMD). It will require signed accounts to be submitted to AFMD by 3 July to facilitate laying by 5 July.
- IT Audit - The audits within Digital Security and Finance Shared Services (DSF) are progressing to plan and the ISA 402 report is expected to be completed by the agreed date of 17th June 2024.
Data Analytics Review
A report seeking SLT approval to engage a consultant to undertake a review of the roles and responsibilities of the data analytics team was presented. Members considered the report presented and approved the request for the review.
Financial Management
Corporate Services Report
Brian O’Neill provided an update on the following:
- Finance – Members were asked to note the draft final financial position for 2023-24 and variances from budget. The Estimates for 2024-25 have been submitted to the Department of Finance (DoF) and will be presented to the NI Assembly Audit Committee (NIAAC) on 5 June 2024.
- IT – We are scheduled to move to Exchange Online in July 2024 and all staff are encouraged to reduce their mailbox content before then.
Corporate Governance
Business Support Services Report
Brian O’Neill presented a report to update members on Complaints, Procurement, Legal Advice, Information Management, Governance and Assembly Liaison. Members noted the report presented with no significant issues raised.
Communications and Engagement
Communications and Engagement Report
Brian O’Neill provided an update on the following key areas:
- A summary report was presented to provide an update on the implementation of feedback received from the Accessibility Audit of the NIAO website.
- Members were advised the 2024 Survey of Audited Bodies has commenced and is scheduled to close on Friday 24 May 2024.
Handling Correspondence Quarterly Update
Patrick Barr presented a report to update SLT on the current position regarding MLA Correspondence and Raising Concerns cases. Members noted the reports presented and welcomed the improved database used to record raising concerns cases.
Risk Management
Corporate Risk Register
The Corporate Risk Register was presented by Colette Kane. Minor changes since the last meeting were highlighted for members’ convenience. Members noted the changes presented and after discussion agreed an action should be added as a result of the recent Investors In People (IIP) survey.
Papers to note:
- ARAC Agenda – 22 May 2024
- Draft Advisory Board Agenda - 3 June 2024
Matters for Escalation to Advisory Board, ARAC, RemCom
For escalation to ARAC:
- Anti Fraud Policies, Fraud Response Plan
- Raising Concerns Policy
- Direct Award Contracts
- IT Disaster Recovery and Business Continuity Plan (IT DR & BCP)
Internal Audit Reports
- Review of Outstanding Recommendations
- Budgetary Control
- Staff Recruitment
- Year End Assurance Report
Next meeting dates:
- ARAC – 22 May 2024
- Advisory Board 3 June 2024
AOB
IIP Re-accreditation
Stephanie McCutcheon presented her report on the recent IIP re-accreditation to SLT on 17 May 2024 noting that NIAO had retained its accredited status. Discussion followed on the findings and detail in the report and the potential actions arising for further improvements across the organisation. Staff will be provided with an update at the Team Brief scheduled for 22 May 2024.
Date of next meeting
17 June 2024 @ 10am