CCG Audit Committee Survey, Initial Results August 2013

Draft CCG Audit Committee Survey Results

July 2013 Survey

S

C

A

Our Mission is Your

Success

Response to Survey

61% CCGs in England (129 of 211) responded

North Midlands London South

38.8%

27.1%

11.6%

22.5%

NHS England Region

Who is a member of your Audit Committee? A

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Lay member - Gov-ernance

Lay member - Public & Patient Engagement

(PPE)

Independent sec-ondary care doctor

Independent nurse GP from CCG membership

Independent clinician

98.4%

100.0%

100.0%

97.1%

98.0%

80.3%

96.3%

60.0%

84.8%

73.8%

45.7%

66.7%

57.1%

39.3%

32.3%

26.4%

52.4%

13.3%16.0%

23.3%

64.7%

59.1%

66.7%

50.0%

75.6%

6.8%6.3%

19.0%

1.6%2.9%

2.0%

19.7%

3.7%

40.0%

15.2%

26.2%

54.3%

33.3%

42.9%

60.7%

67.7%

73.6%

47.6%

86.7%

84.0%76.7%

35.3%

40.9%

33.3%

50.0%

24.4%

93.2%

93.8%

100.0%

81.0%

100.0%

Yes No

Comments on who is a member of your Audit Committee

Other members identified included:

• Associate Lay Member

• Third Lay Member

• Volunteer Lay Member

• Sessional Lay Member

• Practice Managers

• Co-opted Independent Member

• Co-opted Chair of Neighbouring CCG

• General Practitioners

• Head Nurse

• Registered Nurse

• Co-opted External Member

• Lay Associate

• Co-opted additional member with Finance Experience

• Also mentioned were: Internal Audit, Local Counter Fraud, Chief Financial Officer and External Audit

Who chairs the Audit Committee?

96.1%Lay member, governance

3.9%Another lay

member

ALL SOUTH LONDON MIDLANDS NORTH

96.1% 96.6% 93.3%100.0% 94.0%

3.9% 3.4% 6.7% 6.0%

Regional Results

Lay member, governance Another lay member

How many audit committee members are required for the Committee to be quorate?

82.9%2

13.2%3

3.9%4


82.9%

69.0%

100.0%

85.7% 84.0%

13.2%

27.6%

8.6% 12.0%

3.9% 3.4% 5.7% 4.0%

Regional Results

2 3 4

How does your Audit Committee work with your Governing Body?

Other responses included:• Minutes to Governing Body meeting. • Formal written report is Annual Report.• Verbal report monthly• Annual Report• Minutes to Governing Body, together with a short report drawing attention to any

issues of particular significance.• The Audit Committee makes recommendation for the Governing Body to receive full

reporting on areas which require further mitigation or assurance.

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Written report to Governing Body meetings

Verbal report to Governing Body meetings

Follow agreed processes for escalation of issues and

concerns

Rely on shared membership for issues to be raised

82.0%93.1%

86.7% 82.9% 85.7%

39.1%

65.5%

34.3%38.8% 39.8%

51.7%

13.3%

42.9% 38.8%

11.7% 13.8%6.7%

11.4% 12.2%

How often does your Audit Committee present reports to Governing body meetings?

Written reports to Governing Body meetings

Verbal reports to Governing Body meetings

33.6%

31.8%

36.4%

42.4%

11.8%

1.5%

18.2%

24.2%

Every Meeting Quarterly Annually Not Applicable

ALL SOUTH LONDON MIDLANDS NORTH ALL SOUTH LONDON MIDLANDS NORTHWritten reports to Governing Body meetings Verbal reports to Governing Body meetings

33.6% 37.0% 33.3%43.2%

31.8%38.1%

20.0%

36.0%

36.4%

55.6%

36.4%

35.1%

42.4%

52.4%

35.0%

40.0%

11.8%

7.4%

9.1%

21.6%

1.5%

5.0%

18.2%

100.0%

21.2% 24.2%9.5%

40.0%

24.0%

Every Meeting Quarterly Annually Not Applicable

Does your Audit Committee meet together with, and at the same time as, another CCG Audit Committee?

79.9%No

20.3%Yes


20.3% 24.1%

46.7%

14.3% 14.3%

79.7% 75.9%

53.3%

85.7% 85.7%

Regional Results

No

Yes

Does your Audit Committee meet together with, and at the same time as, another CCG Audit Committee?

Other responses included:

• Treated as two separate Committees reporting separately but making best use

of resources.

• Have the same core agenda and space for separate parts of the meeting also.

• Four CCGs meet together under an ‘umbrella’ identity.

• Only for joint areas of business.

• An integrated Audit meeting sandwiched between separate Audit Committee

meetings designed to allow us to minimise duplication for advisors and

executives but primarily to bring a wider lay perspective and richness of

discussion.

Do you have any shared lay or independent members?

24.2%Yes

75.8%No


24.2% 20.7%

46.7%

31.4%

14.3%

75.8% 79.3%

53.3%

68.6%

85.7%

Regional Results

Yes No

Do you have any shared lay or independent members?


• Sessional Lay Members (non-Board members) are drawn from a shared pool.

• Chair of each is co-opted onto the other.

• Governance representative is also a member of another CCG.

• PPE is also a member at another CCG.

• Shared Independent Nurse.

• Not shared, but Chair is also Chair on another CCG’s Audit Committee.

• Chair of the Audit Committee is shared.

• Shared CCG Nurse Board Member and Chief Finance Officer at Audit Committee

meetings.

• Collaboration between four CCGs sharing a Chief Officer, Chief Finance Officer and

Audit Chair.

How many meetings is the Audit Committee expecting to have in 2013/14 (including any planned meetings for a specific purpose, such as annual accounts)?

ALL SOUTH LONDON MIDLANDS NORTH0.8%

6.7%

28.1%24.1%

6.7% 17.1%

44.9%

34.4%37.9%

13.3%

48.6%

28.6%

25.0%34.5%

46.7%

28.6% 10.2%

7.8%

3.4%

26.7%

5.7%

6.1%

0.8%

2.0%

3.1%

8.2%

12

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7

6

5

4

3

Which other committees is your Lay Member for Governance involved in at your CCG?

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Finance Governance Performance Quality Remuneration committee

Appointments

46.4%

52.4%

60.0%

48.1%

35.3%

37.8%

42.1%

16.7%

45.0%

39.1%

43.0%

50.0%

58.3%

45.8%

28.0%

29.5%

50.0%

7.7%

30.4%

23.3%

39.0%

27.6%

13.3%

45.7%

50.0%

24.2%

38.9%33.3%

15.8%

21.6%

23.8%

13.3%

14.8%

29.4%

23.0%21.1% 20.0%

39.1%

11.4%

11.1%12.5%

16.0%5.7%

7.7%

8.7%

6.7%

53.7%

72.4%

86.7%

54.3%

29.5%

13.6%

27.8%

9.1%

5.6%

10.5%

32.0%

23.8%

26.7%

37.0%

35.3%

39.2%

36.8%

83.3%

35.0%

21.7%

45.6%

38.9%

41.7%

41.7%

56.0%

64.8%

50.0%

84.6%

60.9%

70.0%

7.3%

20.5%

62.1%

33.3%

90.9%

61.1%

73.7%

Sits On Chairs No Involvement

Comments on which other committees is your Lay Member for Governance involved in at your CCG?


• Also chairs county-wide Quality Alliance.

• Chair of Investment Committee.

• Have not established Finance, Performance, Governance or Appointments Committees.

• Joint Committee with Local Authority.

• Audit Committee is Finance & Audit Committee.

• Clinical Governance Committee oversees areas of quality and performance.

• Governance and Audit Committee combined.

• Clinical Commissioning Investment Committee.

• No separate Finance Committee or Governance Committee, included in Quality Committee.

• Combined Finance & Performance Committee.

• Combined Quality, Performance & Finance Committee.

• Have a joint QIPP, Finance & Performance Committee.

Which other committees is your Lay Member for Patient Engagement involved in at your CCG?

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Finance Governance Performance Quality Remuneration committee

Appointments

28.0%

28.6%

8.3%

30.4%

34.6%

35.5%

45.0% 35.0%

44.0%

29.7%

26.3%31.8%

45.5%

55.3%

70.4%

9.1%

66.7%

48.6%

67.0%

85.2%

80.0%

65.5%

50.0%

27.4%

60.0%

18.2%22.2%

11.1%

4.9% 4.8%

8.3%

8.7%

6.6%

15.0%

10.0% 10.8%

15.8%

9.1%

18.2%

21.4%

14.8%

54.5%

23.3%

14.3%

11.9%

11.1%6.7%

17.2%

10.5%

3.2%

5.6%

5.6%

67.1%

66.7%

83.3%60.9%

65.4%

57.9%

40.0%

100.0%

55.0%

56.0%

59.5%

57.9%

90.9%

50.0%

54.5%

23.3%

14.8%

36.4%

10.0%

37.1%

21.1%

3.7%13.3%

17.2%

39.5%

69.4%

40.0%

81.8%

72.2%

83.3%

Sits On Chairs No Involvement

Which other committees is you Lay Member for Patient Engagement involved in at your CCG?


• Clinical Commissioning Committee

• Patient Reference Group

• Patient & Public Involvement Committee

• Deputy Chair for CCG

• Governing Body

• Patient Engagement Forum

• Chair Remuneration Committee

• Engagement & Experience Committee

• Quality & Governance Committee

• Chairs People’s Council

• Is the CCG Chair

• Sits and Chairs Remuneration Committee

• Executive Forum

• Planning and Prioritisation Group

• IFR Panel

• Communications & Engagement Sub-Committee

• No specific lay member for Public Engagement

Does your Audit Committee Chair sit on more than one CCG’s Audit Committee?

14.1%Yes

85.9%No


14.1% 17.2%26.7%

14.3%8.2%

85.9% 82.8%73.3%

85.7%91.8%

Regional Results

Yes No

If yes, How many CCG audit committees does your audit committee chair sit on? (including this one)


72.2%

100.0%

80.0%

100.0%

5.6%

20.0%22.2%

100.0%

4

3

2

If yes, What roles/positions does he/she cover at the other CCGs?

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Audit Committee Finance Committee Performance Committee Remuneration Commit-tee

Appointments Committee

33.3%

40.0%

25.0%

60.0%

100.0% 100.0% 100.0% 100.0%

60.0%

100.0% 100.0% 100.0%

66.7%

60.0%

100.0%

75.0%

40.0% 40.0%

100.0%

Committee member Chair

Have you got an Assurance Framework?

82.2%Yes

3.9%No


82.8% 79.3%66.7%

85.7% 87.8%

3.9%8.6% 4.1%

13.3%20.7%

33.3%

5.7% 8.2%

Regional Results

Yes No Being Developed

13.3%Being

Developed

If yes, Has your Assurance Framework been agreed with the CCG’s Governing Body and/or Audit Committee?

90.8%Yes

9.2%No


90.8% 86.2% 86.7%96.7% 91.1%

9.2% 13.8% 13.3%3.3% 8.9%

Regional Results

Yes No

Considerations

• Lay member for governance to chair the audit committee in accordance with NHS England requirements.

• Clearly defined reporting protocols to governing body to ensure the governing body receives consistent, targeted information that helps the decision making process and allow for identification of key issues.

• Clear and agreed protocols defining working arrangements for shared audit committees.

• Avoid sharing audit committee chairs so local issues for individual CCGs are covered effectively and minimise the risk of conflicts.

• Review audit committee meeting arrangements to confirm that sufficient time is allocated to discharge the full breadth of responsibilities on behalf of the governing bodies.

Full document available on www.scaudit.nhs.uk

http://www.scaudit.nhs.uk/

Who to contact:

Michael TownsendManaging DirectorTel: 07825 351 654

[email protected]

Lynn WilsonAssociate Director of Business Development and Marketing

Tel: 07827 230 [email protected]

Sharon DonovanTechnical Services Auditor

Tel: 07775 818 [email protected]

CCG Audit Committee Survey, Initial Results August 2013

Health & Medicine

Transcript of CCG Audit Committee Survey, Initial Results August 2013