Minutes of the HMIE Audit and Risk Committee
Thursday 5 February 2009
Boardroom, Denholm House, Livingston
HMIE: Andrew Cubie (AC) (Chair)
Graham Donaldson (GHCD)
Shirley Young (SY)
Annette Bruton (AB)
Stuart Robinson (SR)
Gillian Howells (GH)
Rona Littleproud (RL)
Eileen Quigley (EQ) (minutes)
Phil Denning (PD)
Audit Scotland: Ruth Brown(RB)
Geoff Lees(GL)
Internal Audit: Pearl Marshall (PM)
Apologies:
David Morrison (DM)
Alison Thomson (AT)
Welcome and apologies
Noted 1:
GHCD congratulated AC on behalf of HMIE on his recent Knighthood.
It is very fitting that his huge contribution to Scottish public life has been recognised
in this way.
Noted 2:
The committee recorded its thanks to Murdoch McCamley for his
contribution to the work of the committee.
1.
Minutes of the meeting held on 17 August 2008
Noted:
2.
The minutes were accepted as accurate.
Matters arising
Noted 5:
Item 7. The revised complaints procedure has been accepted by Audit
and Risk Committee.
3.
Comprehensive review of the committee’s role and remit
Agreed 1:
Work is ongoing in this area.
Agreed 3&4: Work on this is on-going. It is the intention to tailor an induction
course for David Morrison, the new non executive member, when his appointment
has been finalised.
Agreed 5:
per year.
This point has been actioned, meetings are now scheduled four times
Agreed 6:
Audit and Risk Committee are content with the suggestion.
Agreed 7:
Actioned.
Agreed 8:
Actioned and covered later on under the agenda.
Agreed 9:
Audit and Risk Committee has been provided with a draft copy of the
report and an Audit and Risk Committee Annual Report meeting has been arranged
for May.
4. Conclusion of 2007- 08 External Audit
Agreed 1&2: Actioned and completed.
8.
Quarterly Report
Agreed 1:
Audit and Risk Committee has agreed that they no longer need this
level of information.
3. Audit plan for 2008-09
Noted 1: RB gave a brief overview of the Audit Plan to the Committee, highlighting
some key areas. The plan was developed following a useful meeting between HMIE
and Audit Scotland. It was agreed that the Audit Scotland best value guides can be
used as self assessment tools.
Agreed 1: A paper listing the benchmarking currently taking place is to come before
a later Audit and Risk meeting. Action SR
Noted 2: GL noted that he was pleased to see the continued improvement in the
high level financial controls.
Agreed 2: GL suggested adding a covering paper to the finance papers highlighting
any changes from the previous periods and what control actions had been taken.
Action GH
Agreed 3: Audit and Risk Committee have noted and approved the Audit Plan.
4. Risk Management update (including Certificates of Assurance)
Noted 1: RL gave Audit and Risk Committee an overview of her paper, including the
section on what work had been done as a result of the last Audit and Risk meeting.
SR took the opportunity to inform the group that SG are trialling an encrypted USB
stick. Discussion centred around the implications of the new USB stick including the
high cost and the practical implications.
Action 1: Risk Management Group to work with ISRG to develop guidance notes on
the proper use of USB sticks to all inspectors
Noted 2: HMIE has received detailed guidance on the proposed SG information
security framework. Three members of HMIE are attending an SG course on the
security framework and will present a paper on the implementation of the framework
at a future Audit and Risk Committee meeting.
Noted 3: RL explained that HMIE were looking to develop a traffic light coded risk
report to highlight when corporate risks change. She explained that SG have a
similar model.
Action 2: RL to bring an example of the risk report to a future Audit and Risk
Committee meeting.
Noted 4: RL presented Audit and Risk Committee with copies of the HMIE
Certificates of Assurance. The committee agreed that this represented a
comprehensive piece of work. Business Managers performed a challenge and
support function in compiling the reports and that should increase the level of
assurance they represent.
Action 3: SY to come back to the committee with a note of key learning points from
the recent risk seminar in London.
5. Internal Audit Plan for 2009-2010
Noted 1: Internal Audit will bring a formal plan to the next committee meeting,
following further discussions between PM, SR and GH.
Noted 2: SR noted that delegated budgets are beginning to work well.
Noted 3: RB will contact internal audit to ensure that there is no duplication between
the internal and external audit plans.
Noted 4: GHCD commented that there will be a need to respond to
recommendations arising out of the Government’s response to the post-Crerar action
group reports. An update will be brought before the committee when details are
known.
6. Quarterly Reports
Noted 1: SR reported that a combination of circumstances led to not all of the
general enquiries being answered within the agreed 20 day limit, but this should be a
one-off.
Noted 2: SR advised the committee that SMG had commissioned an analysis of
how complaints related to quality indicators and other factors. The analysis has been
undertaken and no obvious correlations were found.
Agreed 1: HMIE should consider how to benchmark complaints against similar
bodies.
Noted 3: The new inspection models are attracting a significant degree of
unsolicited compliments.
7. Any other business
Noted: Audit and Risk Committee were advised that a fatal accident inquiry is to be
held into the death of Irene Hogg.