Minutes of the East Durham College Audit and Risk Committee Meeting held on 26th June 2025

R Harrison (Chair), S Laverick and V Bailey

S. Bullock, Principal and CEO

J. Mitchelson, Vice Principal Finance and Business Planning

C. Briggs, Vice Principal Curriculum and Performance

C. Leece (RSM, External Auditor)

C. McGinley (WBG, Internal Auditor)

S Pritchard (Clerk to Corporation)

V Charlton (Committee Secretary)

J Bromiley, G Edmunds and J Smith

The Chair invited the committee to disclose any interests which related to the items proposed to be discussed on the agenda. There were no interests declared. 

The minutes were approved as a correct record.

The Vice Principal of Finance and Business Planning provided an update regarding the previous meeting, seeking confirmation on the IT equipment operating under Windows 10. As of 18 June, there were 87 hardware items identified, of which 40 were laptops and desktop PCs. A significant number of student laptops are expected to be returned at the end of the term. Desktop PCs are scheduled to be updated during the summer holiday period.

The effectiveness of risk reporting will be addressed under the relevant agenda item.

Internal Auditor presented the proposed internal audit plan for the upcoming academic year. The key points are detailed on page 9, providing an overview of each audit scheduled for consideration. The presentation sought feedback on whether the governors were satisfied with the proposals. Proposed dates were included to allow sufficient time between audits for management responses. Comments were welcomed should governors wish to see any additional areas included in the programme.

One governor expressed satisfaction with the proposed audit schedule and inquired about the Exams audit, specifically whether it formed part of a rolling programme reviewed every three years. The Vice Principal responded that she was not fully aware of the audit’s history. However, the college requested an Exams audit due to the increasing complexity in this area, particularly in light of post-COVID trends such as a rise in individual requests for exam accommodations, which have placed additional demands on college resources. The audit is intended as a safeguard to ensure the college is supporting students appropriately, with an expectation that this will become part of a regular rolling cycle.

The Chair raised a query regarding reasonable adjustments for coursework, noting this as an emerging issue, and questioned if coursework would be included in the audit scope. The Vice Principal of Finance and Business Planning confirmed that both exams and coursework reasonable adjustments would be covered. The audit will also review the college’s admissions process, including assessment procedures, data management, exam processing, and student progression monitoring. RSM’s Conor advised that these matters would be further discussed during the audit briefing with the college to ensure comprehensive coverage of the audit scope.

The Internal Auditor then highlighted Appendix E, which outlines the profile of reviews undertaken to date and noted that this will evolve over time. This appendix also identifies areas where RSM can provide assurance, as well as other potential areas of interest to the college. The IT audit is nearing completion, with the report scheduled for presentation at the autumn committee meeting. The final financial audit is scheduled to commence in two weeks.

The Committee recommended the Internal Audit Plan for approval by the Board.

Confidential

The Wylie Bisset Group (WBG) presented the internal audit report, which contained no recommendations and one observation. The audit highlighted numerous areas of good practice, and WBG will reference the college as a model of best practice going forward. The curriculum was found to be well-aligned with local skills needs, and there was a strong and consistent approach across the college in working towards shared objectives.

The audit also commended the college's thorough approach to “Intent” meetings, where significant effort is made to ensure the curriculum offer is appropriate and relevant and the “Learning Ladder” was positive.

The sole observation related to limitations in the current “Pro Solution” system, which does not facilitate the delivery of timetables from the student perspective and currently requires manual input. It was queried whether an online solution could be implemented to streamline this process, which would be beneficial. Overall, the audit provided a high level of assurance, and the college was recognised for its extensive and effective work in curriculum planning.

A governor congratulated the team on an impressive audit outcome. 

In response, the Vice Principal, Curriculum and Performance, clarified that while this matter was outside the scope of the audit, there is a robust internal process in place. 

The Chair commended the report, describing it as a very strong piece of work. They stressed the importance of reviewing lessons learned at the end of the recruitment cycle to inform curriculum planning for the following year, even though this falls outside the remit of the audit. The Chair noted the college’s ongoing commitment to continuous improvement.

Another governor welcomed the positive outcome of the audit but observed that this particular internal audit consistently produces a low number of recommendations. The governor reiterated the critical importance of curriculum planning in a college context. The Vice Principal responded, noting that a previous audit had identified a number of recommendations, which the college had acted upon. Progress has since been made in those areas.

The Chair concluded by reaffirming that curriculum planning is a critical area with no room for complacency. Continuous development is essential, and the college must remain vigilant. The risk register should be reviewed regularly as a key control mechanism.

Finally, the Chair thanked Wylie Bisset Group for their prompt and timely submission of reports, which allowed governors sufficient time to review the documentation ahead of the meeting.

This report was confidential due to the commercial sensitivity.  

The committee noted the report. 

Governors reviewed RSM Emerging Issues Report. The Chair referenced the recent Supreme Court ruling on the Equality Act and inquired about the forthcoming challenges from a Further Education perspective, as well as the associated risks stemming from the ruling.

The Vice Principal of Curriculum and Performance responded by confirming that the matter has been acknowledged and researched. At present, the institution is adhering strictly to existing legislation and is awaiting the issuance of a relevant code of practice, which will be duly followed upon release. No additional measures have been implemented beyond compliance with the current law.

Considerations related to this ruling will be factored into the planning of the new building, including the design of toilet facilities. However, the institution is cautious about introducing any significant changes until there is a clear statutory requirement to do so.

The Principal outlined the risk reporting process, noting that risks are reviewed by the College Leadership Group (CLG) to inform both the risk register and this report. The focus of the report is structured around three key sections: firstly, those risks with the highest residual scores; secondly, risks that have changed; and thirdly, risks that have been removed.

This report was confidential due to the commercial sensitivity.  

The committee noted the report. 

The Vice Principal for Curriculum and Performance presented the report, including an overview of the procurement process for 2025–26, as requested at the previous meeting. The report is confidential

The Committee was asked to approve delegated authority, that the Principal and Accounting Officer be authorised to proceed with the subcontracting arrangements for 2025–26. This was approved by the Committee. 

The Vice Principal of Finance and Business Planning presented the report. It was noted that, as requested at the previous meeting, a "waiver end" column had been added to the relevant table.

It was further highlighted that new waivers would pertain to the Turin projects, for which specialist suppliers are required, and no alternative options are available.

There were no further matters to report.

The Vice Principal for Finance and Business Planning presented the full National Cyber Security Checklist, which had been requested at a previous committee meeting. It was noted that, while the checklist had not received the level of attention it ideally should have, the majority of the items have been addressed. Progress continues on the remaining items. Feedback from members will be taken forward, and an update will be provided at the next meeting.

The Clerk highlighted that, from the next academic year, GDPR and Cyber Security reports would be presented annually. Members were invited to share their expectations for the content of these future reports.

The Chair expressed reassurance at the progress made and suggested that it may be helpful to receive a report offering further detail, particularly on the areas still in progress. The Vice Principal for Finance and Business Planning agreed to provide a summary report for the next meeting and a comprehensive annual report in June. Governors were in agreement with this approach.

One Governor suggested that an exception report format would be more user-friendly and accessible.

The Chair of the Committee raised concern around the lack of cyber security expertise on the Board of Governors. It was noted that the recruitment process had aimed to address this gap, and while a suitable candidate had initially been identified, they ultimately withdrew their application. The Clerk confirmed that efforts to recruit someone with the necessary cyber expertise are ongoing.

The Vice Principal for Finance and Business Planning reported that the open audit recommendations remain ongoing and serve as a prompt for continuous review, rather than actions with definitive end points.

The committee noted the updates on the audit tracker. 

The chair brought the meeting to an end.