Birmingham & Solihull Mental Health NHS Foundation Trust

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Gladys McBride
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1 In attendance Birmingham & Solihull Mental Health NHS Foundation Trust AUDIT COMMITTEE Minutes of the Meeting held on Thursday 2 June 2011 at 3pm In the Seminar Room at B1 Trust Headquarters Members of the Audit Committee Alison Lord (AL) Non Executive Director (Chair) David Boden (DB) Non Executive Director Stella Layton (SL) Non Executive Director Stan Baldwin (SB) Non Executive Director Directors/Officers of the Trust Georgina Dean (GD) Dee Roach (DR) Peter Lewis (PL) Frances Allcock (FA) Suddy Bharaj (SBh) Gill Harrad (GH) Julie Hipkiss (JH) Dr Lisa Brownell Director of Finance Director of Quality, Improvement & Patient Experience Medical Director Director of Organisational Development & Performance Improvement Head of Financial Services Trust Solicitor Notetaker Assistant Medical Director (for item 9.2 only) Internal Auditor and Local Counter Fraud Gus Miah (GM) Deloitte External Auditors Ali Breadon (AB) Ian Ratcliffe (IR) Andrew Shaw (AS) Pricewaterhouse Coopers Pricewaterhouse Coopers Pricewaterhouse Coopers (for the first part only) 1. Apologies for absence Sukhbinder Singh Heer (SSH) Chair of Audit / Non Executive Director 2. External Audit 2.1 Annual Governance Report (ISA260) AB and IR presented their findings resulting from their audit work on the Trust s Annual Report including the Quality Report and Accounts. The following was noted: Delays were experienced in receiving the Annual Report and Quality Accounts. However the Accounts were prepared and submitted on time and were of a good standard. There were some items to highlight to the Audit Committee but none were material to the accounts and the Auditors planned to issue an unqualified opinion. Page 1 of 6

2 A long form report on the Quality Report would be required to be submitted by 30 June and further work was required to be performed by the Auditors on the 3 performance indicators selected by management. AB agreed to circulate the report separately to Audit Committee members once completed and before the next meeting. ACTION: AB to circulate report on 3 performance indicators before the next meeting. Two areas identified within the Trust s internal control processes around the process of payroll and expenses. It was noted that the Trust were working with providers of the service, SBS on making improvements. There was a further issue regarding the method of payment of two of the Non Executive Directors. However, these were not considered to be material and did not impact on the audit opinion. Following discussion it was noted: Concern and disappointment around the delay of the Annual Report being ready for the Auditors. It was noted that in main this had been due to the lateness of guidance from Monitor being published and the changes required for the Quality Report. A full appraisal of the process will be undertaken and improvements for next year identified. DR advised that she is taking this forward. It was agreed that the new Auditors for this year had given the Audit Committee assurance that the Trust s Annual Report and Accounts had been vigorously audited. The Committee agreed to recommend to Trust Board the approval and signing of the Annual Report including the Quality Report 2010/ Approval of Annual Accounts 2010/11 The Committee agreed to recommend to Trust Board the approval and signing of the Annual Accounts for 2010/ Corporate Governance 4.1 Statement of Internal Control The Committee agreed to recommend to Trust Board the approval and signing of the Statement of Internal Control. The first part of the Audit Committee was concluded at 3.45pm The Audit Committee reconvened at 4pm. 5. Minutes of the meeting held on Thursday 10 March 2010 The Minutes were approved as a true and accurate record, following the removal of The report was well received under item Matters arising (not on Agenda) and Progress Log Page 2 of 6

3 Matters Arising 6.1 Value of PFI Contracts The Committee were advised that the variance identified related to a contract for patient smoking shelters costing 13k for the Barberry and Oleaster sites. However, it had not been identified that the lease was for 33 years with a total cost of over 400k. This had now been approved and signed off. Assurances were given that tighter processes and checks are now in place prior to agreements for lengthy contracts and had been included in the revised Scheme of Delegation received at the Finance Committee in April Statutory & Mandatory Training update The Committee were advised that multiple issues had been addressed and action taken, including: Centralising administration Standardising booking and cancellation processes Training plan developed by service line Monthly reporting to managers Individual accounts accessed via intranet Increased the charge for DNA Increased capacity to address the backlog Launched e-learning. It was noted: Within 2 months (Mar/Apr) the trend of attendance on courses had increased; with 23 areas of Statutory & Mandatory training, 80% will have reached the deadline. Action has been taken to increase this to 100% by offering extra courses; re-evaluating course content and where appropriate producing leaflets to raise awareness or launching e- Learning courses. The effective of this should be seen within a further 2 months. Further work is being done around cleansing the data. Talks with Unions are progressing to withhold increments for staff who are not compliant with Statutory & Mandatory training. It was suggested that IT be involved in the problems with the Training Matrix not correlating with the OLM database and finding a solution. ACTION: FA to consult IT with finding a solution for cross referencing between the 2 systems. 6.3 LCFS Annual Report 10/11 - update It was agreed to take this under item 7.1. Action Log Review The following items were discharged: Page 3 of 6

4 Aug 10, Item 7.1 Clinical Governance Committee The Board had received the outline action plan in May. It had been agreed that the Clinical Governance Committee would be responsible for monitoring the plan with exception reporting to Trust Board. Mar 11, Item 5.2 PFI Contract Management Report To be taken under Matters Arising. Mar 11, Item 5.8 Statutory & Mandatory Training To be taken under Matters Arising. Apr 11, Item 2 CRES Assurances Internal Audit confirmed that they had re-evaluated the assurance given and were comfortable with the original Substantial Assurance conclusion. However, it was noted that for this year the schemes were larger and more complex and the processes as reviewed would not be considered robust enough so further strengthen would be needed. Apr 11, Item 3.2 Response to Payroll Internal Audit Report The Committee were given assurances that processes were in place to ensure that agency staff were fully CRB checked where appropriate. However, the Committee felt that further assurance could be made by doing regular spot checks. It was noted that non-uk residents were not covered by the same CRB legalities. The Committee asked that an update on how the Trust gains assurance for these individuals was brought to the next meeting. ACTION: FA to report to the Audit Committee in July. Arp 11, Item 4.1 LCFS Annual Report 10/11 Taken under Matters Arising. Apr 11, Item 5.3 Review of Complaints Handling It was noted that this had not been escalated to Trust Board in May, therefore is should be taken in June. ACTION: SSH to escalate to Trust Board. Apr 11, Item 5.4 Internal Audit Plan 11/12 Item on the Agenda under item 8.4 Apr 11, Item 7.2 Segmental Report It was confirmed that the recommendation had been made to the CEO. 7. Local Counter Fraud Services 7.1 LCFS Annual Plan The Committee were not assured that value for money was going to be delivered within the plan and requested further information regarding cost/benefit and regulatory responsibilities was provided before it could be signed off. ACTION: GMi to circulate a revised plan to members. Page 4 of 6

5 8. Internal Audit 8.1 Assurance Framework The Committee received the report which gave substantial assurance. It was noted that exceptional reporting to Trust Board on a quarterly basis was considered to be more appropriate than monthly to ensure it received the necessary focus. 8.2 CQC Compliance The Committee received the development report which gave a number of recommendations to strengthen the current processes around monitoring compliance. It was noted that the report had been helpful in identifying the gaps in processes which had occurred due to the overlap of Standards for Better Health and the Care Quality Commission regulations and would be the foundation for producing a proactive review for the future. 8.3 Annual IA Report and Head of IA Opinion Statement 10/11 The Committee received and noted the report and opinion statement, which had given significant assurance. 8.4 Draft Internal Audit Plan 11/12 The Committee received the plan and the following was noted: Planned activity has been split into two areas: core systems looking at operational risks and additional advisory reviews which will help strengthen processes. Executive Directors were asked to re-evaluate relevance when sanctioning ad hoc audits as circumstances can change during the year. 9. Clinical Governance 9.1 Workforce Training & Organisational Development The Committee received the report and were assured of the work to address and mitigate the identified key risks. It was noted that the Workforce Plan would not be signed off until a review of the effectiveness of the Forum had been completed. The Committee were encouraged by this challenge. 9.2 Pharmacological Therapies Committee (PTC) Lisa Brownell, Assistant Medical Director presented the report to the Committee and the following was noted: The PTC had been successful in producing and delivering their new guidelines. Page 5 of 6

6 The PTC were confident on the delivery of their CRES targets, building on savings already made. An expensive drug is due to come off patent and consultants are being encouraged to move away from prescribing named drugs where an identical generic version was available. It was noted that patient care was upmost and this practice did not detract from that. Proactive awareness raising is taking place within clinical teams. It was noted that the devolvement of budgets down to consultant level had made it easier for consultants to manage what they spend on drugs and therapy services. The Audit Committee welcomed the update and thanked Dr Brownell and the PTC for all their hard work. 10. Any Other Business There was no further business discussed. 11. Private Meeting with Auditors if Required This was not required. 12. Date Time of Next Meting Thursday 14 July 2011, pm, Seminar Room, B1 Julie Hipkiss, June Approved as a correct record (signed). Name Date. Page 6 of 6

Aneurin Bevan Health Board

Aneurin Bevan Health Board AUDIT COMMITTEE MEETING Minutes of the meeting held on Thursday 18 March 2010, at 9:30 a.m. in the Boardroom, Mamhilad House Present: Chris Koehli - Chair Peter Sampson - Vice Chair Wendy Bourton - Independent