agenda item 8.3 audit mins 5.9.03
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agenda item 8.3 audit mins 5.9.03

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Avon, Gloucestershire and Wiltshire Strategic Health Authority Audit and Risk Management Committee thMinutes of Meeting 5 September 2003 Present: Martin Harker (Chair) Penny Bennett Steve West Caroline Kay In attendance: Vicky Landell-Mills Kevin Henderson - Audit Commission Steve Malyn - Peter Gorin - CW Audit Consortium Jenny McCall - Avon Audit Consortium Paul Nicholls Paul Dodd Colin McInnes (items 1 to 3) 1. Apologies Action Robin Nicholl Gordon Shurmer th2. Minutes of Meeting held on 4 July These were noted. 3. Matters Arising Minute 1 - Whistleblowing Policy: Paul Dodd reported that work was commencing to prepare a single policy, integrating three drafts that had arisen from separate sources. A draft policy had been issued to staff in the interim. Minute 2.1 – Final Accounts 2002/03: The DoH had made £17m available to AGW to help with the costs of meeting successful continuing health care claims. It was reported that PCTs had included provisions of £11.6m in their 2002/03 accounts in respect of continuing care. Further guidance is awaited from the DoH on how this will be handled in 2003/04. Minute 2.2 – Outstanding Report, Avon HA: It was agreed not to pursue the outstanding report from PricewaterhouseCoopers on the use of management consultants. AGW NHS Trusts: Audit Reports Paul Nicholls reported that he had obtained a list of audits ...

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Nombre de lectures 33
Langue English
Audit Committee Minutes Page 1 of 5
Avon, Gloucestershire and Wiltshire
Strategic Health Authority Audit and Risk
Management Committee
Minutes of Meeting
5
t
h
September
2
0
0
3
Present:
Martin Harker (Chair)
Penny Bennett
Steve West
Caroline Kay
In attendance:
Vicky Landell-Mills
Kevin Henderson
- Audit Commission
Steve Malyn
- Audit Commission
Peter Gorin
- CW Audit Consortium
Jenny McCall
- Avon Audit Consortium
Paul Nicholls
Paul Dodd
Colin McInnes
(items 1 to 3)
1.
Apologies
Action
Robin Nicholl
Gordon Shurmer
2.
Minutes of Meeting held on 4
th
July
These were noted.
3.
Matters Arising
Minute 1 - Whistleblowing Policy:
Paul Dodd reported that work
was commencing to prepare a single policy, integrating three
drafts that had arisen from separate sources.
A draft policy had
been issued to staff in the interim.
Minute 2.1 – Final Accounts 2002/03:
The DoH had made
£17m available to AGW to help with the costs of meeting
successful continuing health care claims.
It was reported that
PCTs had included provisions of £11.6m in their 2002/03
accounts in respect of continuing care.
Further guidance is
awaited from the DoH on how this will be handled in 2003/04.
Minute 2.2 – Outstanding Report, Avon HA:
It was agreed not
to pursue the outstanding report from PricewaterhouseCoopers
on the use of management consultants.
AGW NHS Trusts:
Audit Reports
Paul Nicholls reported that he had obtained a list of audits
undertaken in UBHT, North Bristol and RUH Trusts (copies
attached)
Audit Committee Minutes Page 2 of 5
Members should contact Paul Nicholls should they wish to
see any of the reports
Non Execs
4
Minutes of meeting held 8
th
August 2003 and Matter Arising
These were noted
With respect to the SHAs’ increased under spend it was
confirmed that as this was identified after month 12, it
would be
carried forward and returned to the SHA in 2004/05
It was agreed that:
a) the 2002/03 Annual Report should include a note
explaining how the total under spend for the SHA/WDC had
arisen.
b) this note should be tabled at the next public Board
meeting
Paul Dodd
Ross
Weatherburn
Colin McInnes asked if the wording at the top of page 2 could be
revised.
It was agreed that this was possible but any revision
would have to be agreed with Paul Nicholls and circulated to
members for their agreement.
Colin McInnes to discuss wording with Paul Nicholls
Colin McInnes
5
SHA and WDC Committee Amalgamation
The paper prepared by Ross Weatherburn was considered.
It
was noted that there would be a continuing need to consider
WDC business separate to SHA Board meetings.
There was
general support for joint audit committees but agendas would
need to be appropriately structured.
It was agreed:
(a) to merge SHA and WDC Audit and Risk Management
Committees as soon as possible
(b) Caroline Kay to take forward the issue of ensuring
that appropriate committee arrangements were put
in place to consider WDC business
(c) Ross Weatherburn to co-ordinate agendas, with
input from PN and CMcInnes to include a section for
WDC, corporate SHA (internal) and SHA wider
agenda (external)
Caroline Kay
Ross
Weatherburn
Peter Gorin noted that many (larger) organisations have two
committees covering audit and risk separately, and some also
have a Governance Committee.
This enables certain issues to
be considered in more detail.
This idea was considered by
members, as was the possibility of a sub-committee.
It was
noted that the 2002/03 statement of internal control stated that
Audit Committee Minutes Page 3 of 5
the committee structure would be reviewed during 2003/04.
It was agreed that the present Audit & Risk Management
Committee should be retained, merged for SHA and WDC,
and that the November meeting would focus on Controls
Assurance (including Assurance Framework) and major
risks with limited time on audit.
Ross
Weatherburn
6
Director of Finance Update on Financial Position
Paul Nicholls referred to the report on financial performance to
the July Board meeting which explained the 2003/04 plan
position and risks.
A full report updating on the month 5 position
will be provided to the September Board meeting.
The content
and format of future Board reports was being enhanced to
provide more detail.
The month 4 position was an overspend of £12.7m for all
organisations with AGW.
The forecast year-end deficit was
£7.5m, mainly attributable to the RUH, Bath NHS Trust.
Outstanding risks have reduced from £107m at plan but
remained high at £40m.
Organisations were being pressured to
ensure they deliver savings plans.
Geoff Scaife had met with a
Chief Executive Group and the Group were developing
contingency plans to manage £20m of risks.
Paul Nicholls stressed that it was important to look at the in-year
position of individual organisations in more detail but this was
difficult as the Finance Team remains under-resourced.
The
current restructuring prevents recruiting to permanent posts so
arrangements were being considered for temporary support.
Members were concerned that the substantial savings may
affect services and asked for information on how the savings
are being found.
A full report on the Month 5 position, including an analysis
of savings, will be provided to the September Board
meeting.
Paul Nicholls
Paul Nicholls reported that the 2002/03 audited outturn position
was a deficit of £64.7m for all organisations within AGW,
compared to a forecast deficit of £76.4m at Month 12.
This
improvement was largely due to unused resources received for
continuing care provisions.
It was noted that the external report commissioned on the North
Bristol NHS Trust financial position had been finalised and it
was anticipated it would be published at the end of September.
7
Internal Audit Progress Report
Peter Gorin reported that internal audit work to date had
focussed on Controls Assurance and a review of Drugs and
Alcohol Treatment funding that was commissioned by the SHA.
Work on the core audit programme will commence in October.
Peter Gorin explained the dual role of the SHA in relation to the
Audit Committee Minutes Page 4 of 5
Assurance Framework i.e. for the SHA itself and for
PCTs/Trusts, and stressed the need to progress work urgently
to ensure arrangements were in place by the end of 2003/04.
8
Interim External Audit Report
Kevin Henderson introduced this report and took members
through the Action Plan.
It was agreed that a table of outstanding actions would be
presented to future meetings
Paul Dodd
9.
External Audit Progress Report
Kevin Henderson Introduced this item.
The report was noted.
10
External Audit Report on SHA Fitness For Purpose
Kevin Henderson noted this was now the final report, including
SHA comments.
The report recognised that the SHA was
continually changing.
A key element of the report was the
survey of PCTs/Trusts.
The report was a one-off but could be
re-run to check progress.
Kevin drew member’s attention to appendix 1 which
summarises the responses/scores of the PCT/Trust survey.
AGW scored below the national average in all areas except
clinical governance.
Members noted the recommendations of the report.
It was also
noted that the report had gone to Geoff Scaife.
It was agreed that :
(a) it would be useful to compare AGW scores against other
challenged SHAs and the ‘best’ SHA
(b) the report should be repeated annually to check
progress.
(c) the report should go to the Board with a request that the
Action Plan comes back to the Audit Committee .
Kevin
Henderson
Steve Malyn
Ross
Weatherburn
11
Controls Assurance and Statements on Internal Control
(SIC)
Paul Nicholls introduced this item, explaining the SHA had a
dual role i.e. to produce it
s
own SIC and to performance
manage PCTs/Trusts with respect to their SICs.
He explained
there was a long way to go to ensure full compliance by the end
of 2003/04.
Peter Gorin and Jenny McCall explained the Controls
Assurance process and the methodology for arriving at scores
and Action Plans.
There are 21 standards but not all are
relevant to SHAs.
The focus is on three core standards of Risk
Management, Governance and Financial Management.
A score
Audit Committee Minutes Page 5 of 5
of 75 is generally considered as acceptable but the aim is for
continued improvement.
Action Plans have been developed for
this purpose.
Members were concerned at the level and extent of detail
involved and how best to manage this to ensure the Audit
Committee has assurance that progress is being made.
Members noted the report and agreed:
(a) the Audit Committee should concentrate on the
SHA’s own position and consider an overview of the
position of PCTs/Trusts
(b) the detailed position should be considered by a sub-
group and a progress needs to be established to
manage/review progress and provide reports to the
Audit Committee.
Paul Nicholls
12
Date of Next Meeting
It was agreed that the next meeting be held on 6
th
November at
9.30 am.
Ross
Weatherburn