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Audit and Risk Committee

The Audit and Risk Committee is charged with ensuring that the Board and Accounting Officer gain the assurance they need on the adequacy and effectiveness of CITB’s arrangements for risk management, governance and control. 

The Audit and Risk Committee will advise the Board and Accounting Officer on:

  • the strategic processes for risk control and governance and the governance statement;
  • the accounting policies, the accounts and the annual report of the organisation including the process for review;
  • planned activity and results of both internal and external audit; adequacy of management respond to issues identified by audit activity including external audit’s management letter;
  • assurances including outsources or shared service partners, relating to the management of risk and corporate governance requirements for the organisation;
  • proposals for tendering for internal or external audit services or for purchase of non-audit services from contractors who provide audit services;
  • counter-fraud and bribery policies, whistle-blowing processes, and arrangements for special investigations;
  • and consider other topics as defined by the Board.

Current committee members (as at April 2021) are:

Diana Garnham - Chairperson and CITB trustee

Sophie Seddon - CITB trustee

Richard Plumb - Head of Risk & Assurance, ​Ordnance Survey ​

Richard is Head of Risk & Assurance at Ordnance Survey, a Government owned company, with responsibility for internal audit, risk management, information security and data protection.

​​​​​Prior to joining Ordnance Survey Richard was a Partner for ten years with RSM, a global professional services practice, with responsibility for developing and delivering the provision of internal audit, risk management and governance services to the public and not for profit sectors in London and the South East. 

Richard who has more than 30 years experience in the internal audit and risk profession is a CCAB CIPFA qualified accountant, Affiliate of the Institute of Risk Management, Accredited Counter Fraud Specialist and Root Cause Analyst. 

Richard has been a member of the CITB Audit and Risk Committee since 2017.

Lee Jones – Group Business Assurance Manager, Kier Group

Lee is the Group Business Assurance Manager for Kier Group, a publicly limited company, with responsibility for the Construction and Infrastructure Divisions, Group Functions, internal audit strategy and external ISO certification.

Before joining Kier, Lee was with Interserve for 6 years and worked with Key account clients including HSBC, BBC, and his last role as Head of Quality, Safety, Health and Environment for US Visiting Armed Forces. Prior to Interserve Lee was with Enterprise Managed Services as the Divisional Quality Manager for their Government Services Division, Lee worked with local authorities across the UK and estates management for the Ministry of Defence.

Lee qualified in building services engineering over 30 years ago, and has been lead auditor since 1995. He is also a Chartered member of IOSH and a Practitioner Member of IEMA.

Lee has been a member of the CITB Audit and Risk Committee since 2021.

2022/23 Audit & Risk Committee

Name Role Apr Aug Nov Feb
Diana Garnham (Chair) CITB Trustee    
Sophie Seddon CITB Trustee    
Richard Plumb Independent Member    
Lee Jones Independent Member    

2021/22 Audit & Risk Committee

Name Role Apr Aug Aug Nov Feb
Diana Garnham (Chair) CITB Trustee

Sophie Seddon (leave of absence from April 2021 to Jan 2022)

CITB Trustee n/a n/a n/a n/a Apols
Chris Richardson (tenure ended May 2021) Independent Member x n/a n/a n/a n/a
Richard Plumb Independent Member Apols
Lee Jones Independent Member n/a n/a n/a n/a Apols
Peter Lauener Board Chair n/a

Summary of committee discussions

2022

3 February 2022

Present: Diana Garnham, Richard Plumb

Apologies: Lee Jones, Sophie Seddon

  1. The Committee received a report on the progress of CITB’s risk management process.
  2. The Committee reviewed developments in SSCL’s services to CITB, and the timeline for the Customer Solutions Programme.
  3. The Internal Audit Report for Q3 was received, and the Committee approved an amendment to the current Internal Audit Plan.
  4. The Committee supported the proposed draft Internal Audit Plan for 2022-23, which would be subject to review.
  5. The Committee received the 2021 full year Safeguarding report.
  6. A progress report on the action plan against the 2020-21 external audit management letter was presented.
  7. The Committee accepted the National Audit Office’s Audit Planning Report on the 2021-22 financial statements audit.
  8. Amendments to the Protected Disclosure (Whistleblowing) policy, and the Business Ethics & Counter Fraud policy were recommended to the Board for approval.
  9. The Committee were introduced to HMT’s Dear Accounting Officer (DAO) letters.

2021 

3 November 2021 

Present: Diana Garnham, Richard Plumb, Peter Lauener  

Apologies: None 

  1. The Committee reviewed the progress of CITB’s risk management process for strategic and operational risks.  
  2. SSCL’s performance against KPIs was reviewed, as well as the plans for the Technology Roadmap Customer Programme, which would improve the customer experience in relation to levy and grant.  
  3. The Head of Internal Audit update for 2021-22 Q2 was received, and the Committee approved the revised Internal Audit Plan. 
  4. The Committee received a progress report on the action plan against the 2019-20 external audit management letter.  
  5. The Committee accepted the National Audit Office’s 2021-22 Audit Completion Report and discussed the draft 2020-21 management letter.  
  6. The Committee received the 2021 mid-year Safeguarding report.  
  7. The Committee agreed to recommend the draft Treasury & Investment Policy, Reserves Policy, and Working Capital Policy to the Board for approval.  

23 August 2021

Present: Diana Garnham, Richard Plumb, Peter Lauener

Apologies: None

  1. The Committee held an extraordinary meeting to review CITB’s draft 2020-21 Annual Report & Accounts and recommended changes to be made before recommending to the Board for approval.  

11 August 2021

Present: Diana Garnham, Peter Lauener

Apologies: Richard Plumb

  1. The Committee reviewed CITB’s Strategic and high-level Business Plan risks.
  2. The Committee received a report on the introduction of a new Operational Risk Management Process.
  3. A deep dive on the capture and management of organisational fraud risk was carried out.
  4. The draft 2020-21 Annual Report & Accounts were received and reviewed.
  5. The Committee received a progress report on the action plan against the 2019-20 external audit management letter.
  6. The Head of Internal Audit update for 2020-21 Q1 was received and the Committee approved the revised Internal Audit Plan.
  7. The Committee reviewed and proposed amendments to its Terms of Reference and recommended them to the Board for approval.  

29 April 2021

Present: Diana Garnham, Richard Plumb

Apologies: None

  1. The Committee carried out a mini workshop to review the risks, mitigations and impact of remote working on colleagues since the beginning of the Covid pandemic.
  2. The Committee received a report on the annual review of strategic risks, and also reviewed CITB’s high-level risks relating to Business Plan priorities.
  3. The 2021-22 Internal Audit Plan was reviewed and agreed.
  4. The Head of Internal Audit Opinion for the 2020-21 annual report was received.
  5. The National Audit Office’s interim external audit report for 2020-21 was received.
  6. The Committee received a progress report on the action plan against the 2019-20 external audit management letter.
  7. The Committee discussed the external audit fee.
  8. The content of the Committee’s governance statement for inclusion in the 2020-21 annual report was discussed and agreed.
  9. The Committee received the full-year Safeguarding report.
  10. The Committee recommend the Safeguarding Policy and supporting documents, Health, Safety & Wellbeing Policy, and Risk Management Policy to the Board for approval.
  11. The Committee approved the Capital Expenditure Policy.

25 March 2021 

Present: Diana Garnham, Chris Richardson 

Apologies: Richard Plumb 

  • The Committee held an extraordinary meeting to review the National Audit Office’s management letter on the 2019-20 financial statement audit and the progress against the recommendations, as well as plan for the 2020-21 financial audit and analyse the associated NAO fee.  

4 February 2021 

Present: Diana Garnham, Richard Plumb, Sophie Seddon 

Apologies: Chris Richardson 

  1. The Committee received a report on SSCL contracted services to CITB and an action plan of how to build on and improve the relationship between SSCL and CITB. 
  2. The Committee reviewed CITB’s strategic and high-level risks.  
  3. The Committee received assurance of lessons learned from the 2019-20 external audit, and improvements to be made ahead of the 2020-21 audit.  
  4. The Head of Internal Audit update for 2020-21 Q3 was received and the Committee agreed to adopt a new Internal Audit grading system. 
  5. The Internal Audit Plan for 2021-22 was reviewed. 
  6. The Committee agreed to recommend the draft Treasury & Investment Policy to the Board for approval. 
  7. The main themes from the Committees’ internal effectiveness review were shared.  

6 January 2021 

Present: Diana Garnham, Richard Plumb, Chris Richardson 

Apologies: Sophie Seddon  

  • The Committee held an extraordinary meeting to receive the draft 2019-20 annual report and accounts and agreed some changes to be made before recommending the annual report and accounts to the Board for approval.  

2020 

4 November 2020 

Present: Diana Garnham, Richard Plumb, Chris Richardson 

Apologies: Sophie Seddon  

  1. The Head of Internal Audit update for 2020-21 Q2 was received and the Committee agreed to some amendments to the Internal Audit Plan.  
  2. The Committee discussed CITB’s strategic risks and requested that a review of CITB’s relationship with SSCL be addressed at the next Committee meeting. 
  3. The Committee received the National Audit Office’s update report on the 2019-20 financial statement audit and discussed initial management responses to it.  
  4. The Committee agreed to recommend the draft Reserves Policy and the Working Capital Policy to the Board for approval. 

12 August 2020 

Present: Diana Garnham, Chris Richardson 

Apologies: Richard Plumb 

  1. The Committee reviewed CITB’s risk management and strategic risks. 
  2. The Head of Internal Audit update for 2019-20 Q1 was received and the Committee approved the revised Internal Audit Plan. 
  3. CITB’s assurance map was received and approved. 
  4. An update from the National Audit Office on the 2019-20 financial statement audit was received, and the Committee discussed the ongoing delays to the audit and the impact that would have on the finalising of the 2019-20 annual report and accounts.  
  5. The Committee reviewed and proposed amendments to its Terms of Reference and recommended them to the Board for approval.  
  6. The draft Reserves Policy was reviewed, and the Committee requested that amendments be made and that the Policy be reviewed again at the next meeting.  

11 June 2020 

Present: Diana Garnham, Richard Plumb 

Apologies: Chris Richardson 

  1. The Committee reviewed CITB’s current high-level risks and discussed how these risks needed to be clearly linked to CITB’s strategic risks.  
  2. The draft assurance map was discussed, and the Committee requested improvements to be made.  
  3. The Committee discussed and approved the Internal Audit Plan. 
  4. An update from the National Audit Office on the 2019-20 financial statement audit was received and the Committee discussed the reasons for the delays to the audit. 

7 May 2020 

Present: Diana Garnham, Maureen Douglas, Richard Plumb, Chris Richardson 

Apologies: None 

  1. The Committee received a report on the annual review of strategic risks.  
  2. The Committee discussed CITB’s approach to business continuity in relation to the impact of Covid-19. 
  3. The Internal Audit Plan was reviewed, and the Committee approved the postponements of some 2019-20 audits as a result of Covid-19 and requested that the 2020-21 Internal Audit Plan be revised further and then reviewed again by the Committee at the next meeting.  
  4. The Head of Internal Audit Opinion for the 2019-20 annual report was received.  
  5. The content of the Committee’s governance statement for inclusion in the 2019-20 annual report was discussed. 
  6. An update from the National Audit Office on the 2019-20 financial statement audit was received, and it was recognised that considerable additional work was needed to complete the audit process.  
  7. The Committee reviewed the draft 2019-20 annual report and accounts.  

5 February 2020 

Present: Diana Garnham, Richard Plumb 

Apologies: Maureen Douglas, Chris Richardson 

  1. The Committee reviewed CITB’s strategic risks and risk management strategy and recommended the risk management strategy to the Board for approval.  
  2. The Head of Internal Audit update was received. The Committee recommended that greater internal controls were introduced in the area of fraud prevention.  
  3. The proposed 2020-21 Internal Audit Plan was reviewed. 
  4. An update from the National Audit Office on the 2019-20 financial statement audit was received. 
  5. The Committee received a proposal to combine CITB’s annual report and accounts with its annual review publication, and update the way it would look and be presented. The Committee supported this new approach. 
  6. Themes to be included in the Committee’s governance statement for the 2019-20 annual report were suggested by the Committee. 
  7. The results from the Committees’ internal effectiveness review were shared.