Members Present:
Dorinnia Carville, Chair (C&AG)
Rodney Allen (COO)
Patrick Barr (Director)
Colette Kane (Director)
Brian O’Neill (Director)
Suzanne Jones (Director)
Tomas Wilkinson (Director)
Seamus Wade (Director)
In Attendance:
Julie Brown (Head of People and OD) Agenda item 2
Andrew Allen (Audit Manager) Agenda item 4.6
Garry Currie (Audit Manager) Agenda item 4.6
Louise Donnelly (Secretariat Support)
Apologies
No apologies were recorded however Colette Kane advised that she would have to leave the meeting early.
Declaration of Conflicts of Interest
There were no conflicts declared by members.
Minutes of previous meeting
Minutes of the previous meeting held on 15 January 2024 were agreed and the matters arising noted as updated.
Corporate Management Team (CMT) Briefing
Julie Brown provided an update on the following key areas discussed at the recent CMT meeting:
- Procurement Plan and Manual
- Accounts and IT
- Leadership Charter
- Fraud in the planning of audits
The next meeting will be held on 29 February 2024 and will be chaired by Declan Cooper. Consideration is currently being given to extending the time allocated to the meeting. Rodney Allen asked that the Leadership Forum be added to the agenda for the next CMT meeting.
People and OD
People and OD Monthly Report
Julie Brown provided an update on the following:
Sickness Absence Statistics - Members welcomed the positive figures presented and the continued positive trend.
Learning & Development – Members noted the update on recent training attended by staff and welcomed the positive feedback received.
Performance Management Compliance – Members agreed to ensure that all outstanding staff performance reports are completed as soon as possible.
Annual Leave Uptake – An email will be issued to remind staff of the need to avail of their annual leave entitlement and the limit on the carry over of excess days.
TU Liaison – the following main points were discussed at the January 2024 meeting:
- Update on recruitment
- Update on budgetary position
- Annual leave balances
- Wellbeing
- EDI committee and survey
- Training opportunities
Learning, Development and Talent Management Strategy
People Strategy
Members endorsed the Strategies presented, these will be considered by the Advisory Board at their next meeting scheduled for 26 February 2024.
Colette Kane left the meeting.
Strategic Projects
Accommodation Project
Rodney Allen provided an update on developments to secure potential tenants for the vacant office space advising that advanced talks are still ongoing with a number of potential tenants.
Strategic Performance
Management Information Report
Brian O’Neill presented the interactive performance report to update members on the status of all ongoing audits and Public Reports.
Position re Backlog Accounts
Members provided the C&AG with an update on the current position regarding backlog accounts. Discussion followed concerning the reducing number of backlog audits, the reasons for backlog and target certification dates.
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 on the status of all Public Reports. Discussion followed concerning the time scale relating to the clearance process with Departments.
Policy Review
Brian O’Neill advised that a review of all NIAO policies was currently underway, a paper will be presented at the next SLT meeting to update members.
Workforce Planning
Andrew Allen and Garry Currie joined the meeting to provide SLT with an update from the Assignment Delivery and Resourcing Project Group. Members were advised the Group had met to consider resourcing gaps identified and the options available to address this. Three options to address the resourcing shortfall were considered by the Group with one option now being recommended to SLT. After a detailed discussion members agreed to proceed with the option presented. The C&AG and members recorded their thanks and appreciation to the Group for their work to help ensure the delivery of the office’s portfolio of work.
Public Reporting Guidance
Patrick Barr presented a paper to update members on the planned refresh of the Public Reporting guidance for staff. Patrick advised that a launch event had been scheduled for 21 February 2024 to brief staff on the new guidance, the expectations for how it will be implemented and to answer any questions. Members were asked to encourage staff to attend the launch.
Charging for Audits
Members approved the report presented for onward consideration by the Advisory Board at their meeting scheduled for 26 February 2024.
Review of SLT Terms of Reference (ToR)
Members approved the revised ToR presented. This will be considered by the Advisory Board at their meeting scheduled for 26 February 2024.
Charge-out Rates
Brian O’Neill presented a paper to Members outlining various assumptions used to compile the 2024-25 charge out rates. After discussion members agreed the rates. A circular will be issued to staff detailing the agreed charge out rates.
Future delivery of financial audit work – Strategic Review
Members noted the report presented with no significant issues raised. The report will be presented the Advisory Board at their meeting scheduled for 26 February 2024.
Financial Management
Corporate Services Report
Brian O’Neill provided an update on the following:
Finance – Members were asked to note the current financial position for 2023-24 and that the office’s requirements for 2024-25 is currently being compiled to submit to the NI Assembly’s Audit Committee on 6 March 2024.
Business Continuity Planning (BCP)
As a result of a successful recent test of the BCP on 11 January 2024, lessons learned have been presented to staff at the last team brief. A Management Information Circular summarising the lessons learned will be issued to staff.
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
Members noted the report presented with no significant issues raised.
Handling Correspondence Quarterly Update
MLA Correspondence
Raising Concerns CaseloadBrian O’Neill presented a report to update SLT on the current position regarding MLA Correspondence and Raising Concerns cases. There are currently no MLA correspondence cases outstanding and members were asked to note the Raising Concerns cases reported.
Risk Management
Corporate Risk Register
Members noted the Risk Register presented with no significant issues raised.
Audit Technical
Technical Report
Suzanne Jones advised the results of the recent QAD reviews had been received. The teams have now put forward all responses and the technical team have met with ICAEW to discuss any issues relating to the ISA 315 approach. A full root cause analysis will now also be undertaken. A meeting will be held later this week to enable some SLT members to further discuss the results received.
Papers to note:
ARAC Draft minutes of a meeting held on 22 January 2024 – noted.
Advisory Board Agenda – 26 February 2024 – noted.
Matters for Escalation to Advisory Board, ARAC, RemCom
Next meeting dates:
Advisory Board 26 February 2024
ARAC – 22 May 2024
For escalation to Advisory Board:
Section 75 – Annual Progress Report
AOB
There was no AOB to note.
Date of next meeting – 19 March 2024 @ 10am