agenda item 15 report gov14/14 24 june 201 4 and to note the · 78 report to governance committee...

78

Report to Governance Committee

Date 24 June 2014

By Monitoring Officer

Title of Report Annual Governance Statement and Updated Local Code of Corporate

Governance

Purpose of

Report

To seek approval to the Annual Governance Statement for 2013-14 to

accompany the Authority’s Statement of Accounts and to note the

updated Local Code of Corporate Governance

Recommendation: The Committee is recommended to:

1) Approve the Annual Governance Statement for 2013-14 to accompany the

Authority’s Statement of Accounts; and

2) Note the updated Local Code of Corporate Governance.

1. Introduction

1.1 This report explains the statutory basis for the production of an Annual Governance

Statement and the contribution this makes to ensuring good governance within a public

authority. The final draft of the annual Governance Statement for 2013-14 is appended to

the report for approval. Also appended to the report for noting is the updated Local Code

of Corporate Governance.

2. Background

2.1 Under the Accounts and Audit (England) Regulations 2011 the Authority is required to

conduct a review at least once a year of the effectiveness of its system of internal control. The findings of that review must be considered by a committee of the Authority, or by the

Members of the Authority as a whole. Following that review, an annual governance

statement, prepared in accordance with “proper practices in relation to internal control”,

must be approved. The approved statement must then accompany the Authority’s

Statement of Accounts.

2.2 The “proper practices”, in accordance with which the Annual Governance Statement is to

be prepared, are set out in guidance1 to local authorities (including national park authorities)

issued by the Chartered Institute of Public Finance and Accountancy (CIPFA) and the Society

of Local Authority Chief executives (SOLACE).

3. Guidance

3.1 The guidance suggests that, to carry out its review, the Authority will need to:

Consider the extent to which the Authority complies with the principles and

requirements of good governance as set out in the guidance;

Identify systems, processes and documentation that provide evidence of compliance;

Identify the individuals and committees responsible for monitoring the systems,

processes and documentation identified;

Identify the issues that have not been addressed adequately by the Authority and

consider how they should be addressed; and 1 Entitled “Delivering Good Governance in Local Government Framework” as amended in 2012

Agenda Item 15

Report GOV14/14

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Identify the individuals who would be responsible for undertaking the actions required

and plan accordingly.

3.2 The guidance advises that governance arrangements should be assessed against the following

core principles:

Focusing on the purposes of the Authority and on outcomes for the community and on

creating and implementing a vision for the local area;

Members and officers working together to achieve a common purpose with clearly

defined functions and roles;

Promoting values for the Authority and demonstrating the values of good governance

through upholding high standards of conduct and behaviour;

Taking informed and transparent decisions which are subject to effective scrutiny and

managing risk;

Developing the capacity and capability of Members and officers to be effective; and

Engaging with local people and other stakeholders to ensure robust public

accountability.

3.3 In respect of each core principle, the guidance offers more detailed advice concerning the

requirements of good corporate governance and includes an example of how an annual

governance statement may look.

3.4 The guidance further suggests that each local authority should consider adopting in due

course its own Local Code of Corporate Governance. The Local Code of Corporate

Governance was approved on 24 March 2012 which sets out the Authority’s objectives in

relation to each of the core principles of good governance, and how the Authority will seek

to measure its performance against these criteria.

4. Annual Governance Statement 2013-14

4.1 The Monitoring Officer, Chief Finance Officer and Director of Corporate Services have

liaised to prepare a draft Annual Governance Statement for 2013-14, in compliance with the

guidance, and which records the ongoing work that has been undertaken to establish and

review governance arrangements. The draft Annual Governance Statement is set out in

Appendix 1 to this report.

4.2 No significant governance issues have been identified. The actions for further improvement

in 2014-15 are listed in paragraph 5.2 of the draft Annual Governance Statement.

5. Updated Local Code of Corporate Governance

5.1 As part of the review of effectiveness of the Authority’s governance arrangements, officers

identified amendments that needed to be made to the Local Code of Corporate

Governance.

5.2 In exercise of the authority delegated to her by the Authority on 24 April 2014, the

Director of Corporate Services, in consultation with the Chair of the Governance

Committee, has made the necessary amendments to the Local Code of Corporate

Governance. As required by the terms of the delegated authority, these amendments are

now being reported to the Committee. The Local Code of Corporate Governance, is set

out at Appendix 2 to this report.

5.3 A summary of changes to the Local Code of Corporate Governance is set out below:

Reference to the Governance Review

Inclusion of the competency framework for staff

Reference to additional training to be provided

Inclusion of reference to Neighbourhood plans and Local Plan

General updating of titles and dates.

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6. Resources

6.1 The preparation of the Annual Governance Statement has been done within existing

identified resources.

7. Risk management

7.1 The carrying out of an annual review, together with the reporting of its outcome to the

Standards and Audit Committee, provides assurance that arrangements are adequate and

operating effectively in practice and, where gaps are identified, that action is planned to

address this for the future.

8. Human Rights, Equalities, Health and Safety

8.1 There are no implications arising from this report.

9. Sustainability

9.1 The report adheres to the principle of Promoting Good Governance as set out in the

Authority’s Sustainability Strategy.

10. External Consultees

10.1 None.

KEVIN GARDNER

Monitoring Officer

Contact Officer: Kevin Gardner

Tel: 01962 847381

email: [email protected]

Appendices 1 - Draft Annual Governance Statement

2 - Updated Local Code of Corporate Governance

SDNPA Consultees Chief Executive Officer, Director of Corporate Services, Chief Finance

Officer, Deputy Chief Finance Officer and Head of Internal Audit.

Background Documents None.

mailto:[email protected]

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Agenda Item 15 Report GOV14/14 Appendix 1

South Downs National Park Authority

Annual Governance Statement 2013-14

Version 0.03

Review Date June 2015 Responsibility Director of Corporate Services

Last updated June 2014

Date approved June 2015

Approved by Governance Committee

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ANNUAL GOVERNANCE STATEMENT FOR SOUTH DOWNS NATIONAL PARK

AUTHORITY 2013-2014

1. Scope of Responsibility

1.1 Through carrying out its general statutory duties and responsibilities in connection with the

two national park purposes, the South Downs National Park Authority (the SDNPA) seeks

to work for and with the local community to foster the social and economic wellbeing of

communities within the National Park.

1.2 The SDNPA is responsible for ensuring that its business is conducted in accordance with the

law and proper standards, and that public money is safeguarded, properly accounted for and

used economically, efficiently and effectively.

1.3 The SDNPA also has a duty under the Local Government Act 1999 to make arrangements

to secure continuous improvement in the way in which its functions are exercised, having

regard to a combination of economy, efficiency and effectiveness.

1.4 In discharging this overall responsibility, the SDNPA is also responsible for putting in place

proper arrangements for the governance of its affairs and facilitating the effective exercise of

the Authority’s functions which includes arrangements for the management of risk.

1.5 The SDNPA has approved and adopted a Local Code of Corporate Governance which is

consistent with the principles of the CIPFA/SOLACE guidance Delivering Good Guidance in

Local Government Framework. The Local Code of Corporate Governance sets out agreed

criteria against which the effectiveness of the governance framework will be assessed. This

statement explains how the Authority has complied with the Local Code and meets the

requirements of Regulation 4(3) of the Accounts and Audit (England) Regulations 2011 for

the Authority to prepare an annual governance statement.

2. The purpose of the governance framework

2.1 The governance framework comprises the systems and processes, and culture and values, by

which the SDNPA is directed and controlled. The frameworks also includes the Authority’s

activities through which it accounts to, engages with and leads the community. It enables the

SDNPA to monitor the achievement of its strategic priorities and to consider whether these

priorities have led to the delivery of appropriate, cost-effective services.

2.2 The system of internal control is a significant part of that framework and is designed to

manage risk to a reasonable level. It cannot eliminate all risk of failure to achieve policies,

aims and objectives and can therefore only provide reasonable and not absolute assurance of

effectiveness.

2.3 The system of internal control is based on an ongoing process designed to identify and

prioritise the risks to the achievement of the Authority’s aims, objectives and policies, to

evaluate the likelihood and potential impact of those risks being realised and to manage them

efficiently, effectively and economically.

2.4 The governance framework has been in place within the SDNPA for the year ended 31

March 2014 and up to the date of approval of the annual report and Statement of Accounts.

3. The Governance Framework

3.1 The key elements of the systems and processes that comprise the SDNPA’s governance

arrangements are summarised below.

Vision and Leadership

3.2 The SDNPA’s purposes, vision and intended outcomes for residents, visitors and other

service users are identified in a range of policy documents set out in our Local Code of

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Corporate Governance. The overarching vision for the management for the South Downs

was agreed in July 2012 and is included in the Partnership Management Plan which was

launched in 2014 (the 5 yearly review of the PMP may incorporate a review by partners of

the shared vision as deemed necessary). The plan was developed with partners and delivery

partnerships have been put in place to ensure the objectives are met. The Vision and

emerging priorities will also be reflected in the Local Plan which is due to be completed in

2016.

3.3 The SDNPA’s Corporate Plan (which can be found on the website2) underwent its annual

review in 2014 with an updated 2014-2017 plan being approved by the NPA in March 2014.

This document sets out the high level objectives and priorities for the following three years

(2014-2017) and sets out in some detail proposals for the forthcoming financial year. The

Corporate Plan also sets out our values. The Corporate Plan feeds into the Operational Plan

which details the priority activities and performance measures/targets for each year. The

Partnership Management Plan drives the objectives and priorities for the organisation. The

Corporate Plan 2014-2017, approved in March 2014, continues the process by linking

directly to the objectives for the Partnership Management Plan.

Service Quality

3.4 Progress against the SDNPA’s objectives, and the National Park Authority performance

indicators, is identified via quarterly and annual performance reporting. The Performance

Management Framework has been revised to reflect the development of high level objectives

for the Partnership Management Plan. Performance is monitored by the Governance

Committee with policies and strategies in place to ensure that the SDNPA makes best use

of resources. The approach to performance monitoring is set out in the Performance

Management Framework.

3.5 The Aspireview Performance Management system has been implemented during 2013-2014

and is used to produce performance information for the Corporate Plan and the

Operational Plan. Refinements are being made to the system and information relating to the

approved Partnership Management Plan (PMP) is being set up in the system for 2014-2015.

This will allow us to start systematically collecting information about achievement of PMP

outcomes. Work will continue to embed the use of the system across the organisation,

particularly in relation to reporting on the progress and performance of projects. It is

anticipated that we will offer the use of the system to external partners to monitor their

performance which contributes to the achievement of PMP outcomes.

Decision Making

3.6 During 2013-2014 the Authority undertook a review of its decision making arrangements.

This work was led by the Members of the Authority and supported by the Chief Executive

and Monitoring Officer. The key outcomes of this review included:

The replacement of the existing committees with two new committees (Governance

Committee and Policy and Programme Committee) and the continuation of the Planning

Committee.

New terms of reference and membership for the committees.

New procedures for the establishment of Member working groups to consider

particular aspects of policy, projects or other areas of the Authority’s business.

An updated member role description.

Refreshed and updated standing orders.

3.7 3.7 The SDNPA’s Standing Orders, Scheme of Delegation, Financial Regulations, Contract

Standing Orders and other procedures prescribe how the Authority operates and how

2 http://www.southdowns.gov.uk/about-us/key-documents

http://www.southdowns.gov.uk/about-us/key-documents

84

decisions are made to ensure that these are efficient, transparent and accountable to local

people.

3.8 There is also a programme for reviewing and updating key documentation. We have a

research and evidence strategy which ensures that comprehensive, good quality data is

available to base our decisions on and allow us to monitor progress.

3.9 Each of the SDNPA’s three committees has distinct terms of reference. Meetings of the

Authority are held in public (save for individual items of a sensitive nature properly

considered in confidential session) with publicly available agendas and minutes, and members

of the public may ask questions and make representations on relevant matters at meetings in

accordance with a defined protocol for public engagement, which enshrines the rights of the

public to address meetings. The roles and responsibilities of the Members and officers are

further defined in Member/Officer job descriptions and there is a Local Protocol for

Member and Officer Relations. The roles of Chief Executive, Monitoring Officer and Chief

Finance Officer are filled. The SDNPA has a range of contracts for key support services.

This includes the provision of the Chief Finance Officer and Monitoring Officer functions. In

reaching this decision the SDNPA took into account the governance requirements of

CIPFA’s Statement on the role of the Chief Finance Officer in Local Government (2010).

3.10 The contract for the provision of financial services and Chief Finance Officer support has

operated during the year. The CFO function continues to be performed under this contract

by the Director of Finance at Brighton and Hove City Council. There are agreed protocols

for consultation with the CFO or Deputy CFO on key decisions and advice to the Authority

and its Committees. The Deputy CFO attends fortnightly meetings of the SDNPA’s

management team on the CFO’s behalf in order to ensure a sound understanding of the

organisation’s key priorities and risks. Contracts for the provision of ICT and legal services

have also operated during the year. The electronic purchasing system introduced in 2012 has

given the Authority significant administrative savings in its purchasing and payments. SDNPA

are now achieving over 99% of payments in 30 days – against a national average of 95%.

Risk management

3.11 3.11 The SNDPA has established a systematic strategy, framework and processes for

managing risk. A risk register is maintained, and reviewed on a quarterly basis at meetings of

the Governance Committee. This enables relevant risks to be identified and evaluated, with

consideration given to appropriate mitigation strategies. Directorate level risk monitoring is

in place and a consolidated risk register is maintained and reviewed regularly by SMT. Risk is

also monitored at project level. There is an escalation process from project and directorate

risk registers to the corporate risk register. Following the organisation restructure in 2013-

2014, the risk process is due to be reviewed in 2014.

Conduct and behaviour

3.12 There are Codes of Conduct for Members and officers in place and performance appraisal

processes for both. Training is given to new Members on the Code of Conduct as part of

the induction process and there is a Register of Members’ Interests. The Authority operates

successor standards arrangements for the conduct of Members following the

implementation of the Localism Act 2011. The Governance Committee, which replaced the

Standards and Audit Committee, is responsible for monitoring the ethical framework of the

Authority.

3.13 An annual report on complaints received is considered by the Governance Committee, so

that the Authority can seek service improvement. The SDNPA has a Whistleblowing Policy,

with confidential reporting arrangements in place to enable internal and external whistle-

blowing. There is an Anti-fraud and Corruption Policy in place. The Complaints Policy has

been updated in 2014 and includes the process for making complaints about Members of the

Authority. The arrangements for handling complaints about Members were reviewed in

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September 2013.

3.14 This year competencies have been incorporated into the performance and development

review process for staff. In July 2013, PDR discussion groups were held and the feedback

indicated that competencies should be an essential part of the PDR process. It was felt that

the current process provided an incomplete picture - how an individual carries out an

objective is as important as whether objectives are met or not and this was not being

measured. It was also felt important to recognise how an individual behaves in their day to

day role. A competency framework was established and the new policy was communicated

and rolled out at the beginning of April 2014.

Financial accountability

3.15 The SDNPA’s Financial Regulations and Procedures provide a framework for the

management of the Authority’s financial affairs and were reviewed and updated in March

2014. The SDNPA has a Treasury Management Policy and Annual Investment Strategy which

were both reviewed and updated at the meeting of the NPA in March 2014. Monitoring of

the operational budget was conducted during the year and findings incorporated into the

budget planning process for 2014-2015. Contract Standing Orders set out arrangements

governing the award of contracts, to ensure that procurement processes are fair transparent

and lawful, and that best value for money is being obtained. Payment of allowances to

Members is made in accordance with the Local Authorities (Members’ Allowances) (England)

Regulations 2003. The Scheme of Member Allowances is due to be reviewed in 2014/15.

3.16 Members have a key role in providing assurance that the Authority’s funds are used

economically, efficiently and effectively in accordance with agreed policies. The financial

strategy and budget is agreed by the Authority following scrutiny by the Policy and

Programme Committee. The Governance Committee receive reports on budget monitoring.

The Authority’s Governance Committee has a membership that includes two independent

members and undertakes the core functions of an audit committee. The Authority has

appointed an independent person as required to oversee complaints about the conduct of

Members. This ensures the provision of appropriate skills and experience in the scrutiny of

the Authority’s arrangements for financial control, risk management and standards of

conduct, and enhances transparency.

3.17 The Authority’s accounts are subject to external audit on an annual basis and reported to

the Governance Committee at a public meeting. An Internal Audit service is provided under

a service level agreement by Brighton and Hove Council’s Internal Audit Services. A review

of the system of internal audit to ensure compliance with the Public Sector Internal Audit

Standards was carried out in December 2013 and a revised Internal Audit Charter was

adopted during the year. The Authority’s external auditors, Ernst and Young, review the

appropriateness of internal audit arrangements and accordingly place reliance on the work

done.

3.18 All contracts since June 2013 have been procured through e-sourcing using the In-tend

system. During 2014-2015 it is intended to develop the use of the software for tender

evaluation and supplier performance management.

Constructive working relationships between officers and Members

3.19 Compliance with relevant legal requirements and the SDNPA’s procedures is facilitated by a

range of controls. Policies are in place to regulate how the Members and officers use the

resources available to them. The Local Protocol for Member and Officer Relations was

revised in December 2013.

3.20 The SDNPA receives legal advice and Monitoring Officer support as appropriate via service

level agreements. This advice includes input into significant Committee/Authority papers. In

2013-2014 no formal reports by the Monitoring Officer, further to section 5 of the Local

86

Government and Housing Act 1989, were necessary.

Skills and Learning for staff and Members

3.21 Member and senior officer learning and development needs are identified and met through

induction programmes, the Performance and Development Review process, the Learning

and Development Policy for officers (with individual staff learning and development plans)

and the Member Development Strategy. There are annual Member discussions about

development needs between individual members and the Chair of the Authority. There have

been a number of formal and informal training sessions for Members on various aspects of

their responsibilities and to aid the development of policy.

3.22 Budget managers have access to one to one support for budget management and also

briefings on Financial Procedures and administration, further budget management and

closedown. All financial guidance and procedure notes are available on the Authority’s

Intranet. Specific procurement training has been provided to Rangers on specification,

evaluation and contract management. In the coming year there will be training on the new

EU Procurement Directive and specific training for key members of staff in the procurement

process. This training is to be delivered in conjunction with the New Forest National Park

Authority.

Clear relationships with Partners and the public

3.23 A key element in the SDNPA’s guiding principles is working with partners and community

groups. The SDNPA has therefore developed and maintained a range of relationships and

arrangements with other agencies in the public, private and voluntary sectors, to ensure that

they are able to engage with and contribute to the work of the Authority. The SDNPA has

an Accord with Natural England and Memoranda of Understanding with the South Downs

Network and South Downs Land Management Group. A Memorandum of Understanding

with the Association of Local Councils within the South Downs has also been agreed. The

Authority has continued Member appointments to a number of local partner organisations

and groups including the South Downs Local Access Forum, East and West Sussex Rural

Forums. There is a formal reporting back mechanism for those SDNPA Members appointed

to outside bodies. The SDNPA has a communication and engagement strategy and a

Statement of Community Involvement. The National Park Authority has recently

commissioned a study by Shared Intelligence to provide it with an overview of the

programmes, priorities and funding streams relating to the relevant LEPs, to advise on

opportunities for the Authority and assess its current relationships with the LEPs. The

report from this study will be finalised in June and it will include recommendations for

strengthening the Authority’s engagement with, and representation on the LEPs.

3.24 The Authority is currently preparing a Local Plan for the National Park. When adopted the

Local Plan will set out the planning policies for the South Downs National Park and all

planning applications for development within the National Park will be judged against these

policies. This will be the first time that the National Park will be planned for as a single

entity.

3.25 During this consultation the Authority directly notified over 1300 stakeholders, including

town, parish and district councils, local interest groups, national organisations and agencies,

estates and other landowners and infrastructure and service providers.

3.26 The Authority has also worked closely with partners on the development of its shared

identity and has engaged partners in its communications and engagement working group.

4. Review of Effectiveness

4.1 The SDNPA has responsibility for conducting, at least annually, a review of the effectiveness

of its governance framework including the system of internal control. The review of

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effectiveness is informed by the work of the Senior Management Team and other officers

within the Authority who have responsibility for the development and maintenance of the

governance environment, the Acting Head of Internal Audit’s annual report, the work done

to review the Local Code of Corporate Governance, and also by responding to comments

and recommendations made by external auditors and others.

4.2 The annual review exercise, which incorporated a review of the Local Code of Corporate

Governance, was initiated by the Director of Corporate Services and the Monitoring Officer

and included consultations with the Strategic Management Team, the Chief Finance Officer,

the Deputy Chief Finance Officer and the Head of Internal Audit..

4.3 The Internal Audit Annual Opinion is that substantial assurance can be provided that an

effective system of internal control is in place at the SDNPA for the year ended 31 March

2014.

4.4 The SDNPA’s Chief Finance Officer and Monitoring Officer have also provided assurance

that there have been no significant control issues which have:

Required the need for formal action in their respective roles,

Required the need for significant additional funding not already provided for within the

approved budget,

Had a material impact on the accounts; or

Resulted in significant public interest, damaging the reputation of the Authority.

4.5 Although a review of the effectiveness of the Governance arrangements is reported once

per year to the Authority, the process of gathering evidence and monitoring performance is

continual and is managed through reports to the Authority and to the Governance, and the

Policy and Programme Committees and through the improvement planning process.

Management action required to maintain effective governance arrangements evident from

reports and from other management reporting processes is taken throughout the year.

4.6 We have been advised on the implications of the result of the review of the effectiveness of

the governance framework by the Governance Committee and that the arrangements

continue to be regarded as fit for purpose in accordance with the governance framework.

The areas already addressed and those to be specifically addressed with new actions planned

are outlined below.

5. Governance issues

5.1 No significant governance issues have been identified. The following key areas of work have

been conducted during 2013-2014:

Implementation of a review process for projects using the Star Chamber, SCF and the

Major Partnerships Fund

Review of committee decision making roles

Formalised the review of delegations and review of Standing Orders (this is reviewed

annually)

Implementation of the e-sourcing system and started collecting supplier satisfaction

information

Review and update of the master policy schedule to ensure regular review of policies

In line with developing organisational culture, delivered a review of the organisational

structure and introduced competencies for staff.

5.2 Actions for 2014-2015 include the following:

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Establish a register for Officer interests below SMT level (carried forward from 2012-

2013)

Review Officer Code of Conduct (carried forward from 2012-2013)

Review of Risk Process

Online publication of register of interests

Review and update of performance management framework (Aspireview)

We propose over the coming year to take steps to address the above matters to further enhance

our governance arrangements. We are satisfied that these steps will address the need for

improvements that were identified in our review of effectiveness and will monitor their

implementation and operation as part of our next annual review.

Signed: Chair

Signed: Chief Executive Officer

On behalf of the SDNPA

Date:

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South Downs National Park Authority

Local Code of Corporate Governance

Version 1.01

Review Date

April 2015

Responsibility Director of Corporate Services

Last updated June 2014

Date approved June 2014

Approved by Director of Corporate Services and Chair of Governance

Committee

Agenda Item 15 Report GOV14/14 Appendix 2

90

LOCAL CODE OF CORPORATE GOVERNANCE

1. Introduction

1.1 Corporate Governance has been defined3 as being:

“how local government bodies ensure that they are doing the right things, in the

right way, for the right people, in a timely, inclusive, open, honest and accountable

manner. It comprises the systems and processes, and cultures and values, by which

local government bodies are directed and controlled and through which they

account to, engage with and, where appropriate, lead their communities.”

1.2 A local code of governance explains how the organisation ensures compliance with

statutory requirements and best practice guidance on corporate governance. The

development of the local code of governance helps to ensure that proper

governance arrangements are in place and serves as a means of increasing credibility,

accountability and public confidence in the organisation.

1.3 The South Downs National Park Authority (SDNPA) has produced a local code of

corporate governance which is based upon the guidance published jointly by CIPFA4

and SOLACE5 entitled ‘Delivering Good Governance in Local Government

Framework’ which applies to National Park Authorities. The Guidance sets out six

core principles of corporate governance, together with various supporting principles

in respect of each core principle. The SDNPA’s Local Code of Corporate

Governance, set out below, incorporates these principles and identifies the source

documents, good practice and other means of demonstrating the SDNPA’s

compliance with the principles of good governance.

The SDNPA’s Values

1.4 The SDNPA has agreed the following statement as an expression of the values that

will govern the behaviour of its staff and Members:

Working for the National Park….

We will:

Have a common goal determined by the National Park’s Purposes and Duty

Champion the National Park’s aspirations

Communicate clearly and listen well

Be flexible, encourage innovation and welcome challenge

….working together

We will:

Trust and respect people within and outside the SDNPA

Work in an open way

Work as one organisation which is mutually supportive

Be committed to working in partnership with others to develop shared

priorities and gain mutual benefits

3 ‘Delivering Good Governance in Local Government Framework’ published jointly by CIPFA/SOLACE. 4 The Chartered Institute of Public Finance and Accountancy. 5 The Society of Local Authority Chief Executives and Senior Managers.

91

….to deliver results

We will:

Ensure our approach and decisions are informed by evidence

Be positive and enthusiastic: take the initiative

Be seen to add value in all that we do.

2. The Local Code of Corporate Governance

First Core Principle: Focusing on the purposes of the Authority and on

outcomes for communities in the National Park and creating and implementing

a vision for the National Park

We will: Evidenced by:

Exercise strategic

leadership by

developing and

clearly

communicating the

Authority’s

purpose, vision and

intended outcomes

for residents,

visitors and other service users

Corporate Plan 2014-17 based on the shared vision for the

SDNP agreed with partners

Operational Plan

SDNP Vision published July 2012 following wide engagement

with stakeholders and partners providing the strategic steer for

the South Downs Management Plan, the Local Plan and for the

development of a shared brand and identity for the National

Park

Publication of the Partnership Management Plan (PMP) including

the development of impact measures as a basis for monitoring progress towards the achievement of the Vision

5 yearly review of PMP may incorporate a review by partners of the shared vision as deemed necessary

Communication and Engagement Strategy in place to support the

objectives being defined in the Partnership Management Plan.

South Downs Integrated Landscape Character Assessment

State of the Park Report published May 2012

Local Plan (due Oct 2016)

Statement of Community Involvement completed in March 2012

Local Development Scheme

Neighbourhood Plans

Memoranda of Understanding with various partners and Natural

England Accord

Local Code of Corporate Governance reviewed annually.

Annual Review published in July.

Improvement plan which is regularly reviewed and includes key

points raised via feedback and from other sources

Financial statements

“Learning” section of website

Ensure that users

receive a high

quality of service,

whether directly, in

partnership or otherwise

Corporate objectives and success measures (in the Corporate

Plan 2014-17)

National Park Authority performance indicators

Performance Management Framework (revised 2013)

Quarterly and annual performance reporting

Consultation on the development of the PMP, delivery

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framework and Local Plan.

Planning Service Customer Survey

Visitor survey

Communication and Engagement Strategy

Complaints, Compliments and Comments Policy reported on annually to the Governance Committee.

Ensure that the

Authority makes

best use of

resources and

provides excellent

value for money

Policy schedule incorporating a programme of review of all

organisational policies

Financial Regulations and procedures revised in 2014

Medium Term Financial Strategy

Operational Plan

Quarterly budget monitoring reports

Annual budget and monitoring reports

Annual Statement of Accounts

District Auditor’s value for money reviews

Internal value for money reviews

NPE National Park Authority Peer Assessment

Use of an automated performance management system which

will support active contract management and will be used to monitor the delivery of the PMP

Benchmarking

Approvals Process for Projects

Contract Standing Orders and Procurement Guide updated in

2014

Anti-fraud and Corruption Policy

Sustainability Action Plan

Volunteer Ranger Service Action Plan

Second Core Principle: Members and officers working together to achieve a

common purpose with clearly defined functions and roles


Ensure effective

leadership

throughout the

Authority with

clear roles for

Committees and Sub-committees

Governance review undertaken in 2013 to review role of

Committees and streamline work

Standing Orders reviewed annually

Scheme of Delegation updated in 2014

Terms of Reference of Committees revised in 2013 as part of the wider Governance Review

Member role/staff job descriptions

Decision Records

Leadership and Management development and training in 2014

Ensure that a

constructive

working

relationship exists

between Members

and officers and

Scheme of Delegation to be reviewed annually

Local Protocol for Member and Officer Relations reviewed in

2013 as result of the changes introduced by the Localism Act 2011

Job descriptions and performance and development review

process for Members and officers, including the Chair of the

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that their

respective

responsibilities are

carried out to a high standard

SDNPA

Conditions of employment

Member Development Strategy

Contract management in respect of externally provided services

Complaints, Compliments and Comments Policy

Staff survey bi-annually

Improvement plan following Peer Review

Monitoring Officer support procured

Chief Finance Officer support procured in 2012 and compliance

with both the CIPFA Statement on the Role of the Chief Finance

Officer in Local Government and the CIPFA Statement on the Role of

the Head of Internal Audit in Public Service Organisations

Ensure

relationships

between the

Authority, its

partners and the

public are clear so

that each knows

what to expect of the other


England Accord

Statement of Community Involvement

Guidance to Members on outside bodies

Development of the National Park Partnership Management Plan

including the development of impact measures as a basis for monitoring progress towards the achievement of the Vision

National Park Authority performance indicators reported

quarterly or annually as appropriate including corrective action

as necessary

Visitor survey

On-line South Downs Forum consultations

Publicly available information about who the Members are and

what they do, who the officers are and how the public can input and influence Authority decisions

Officer code of conduct reviewed in 2013 as result of the

changes introduced by the Localism Act 2011

Member Allowance Scheme

Information published in respect of expenditure over £500

Public participation at SDNPA meetings

Local Protocol for Member and Officer Relations

Corporate Plan 2014-17

Standing Orders


Robust pay and conditions policies and practices for employees

including structured pay scales reflecting performance and

competence

94

Third Core Principle: Promoting values for the Authority and demonstrating the

values of good governance through upholding high standards of conduct and behaviour


Ensure Members

and officers behave

in ways that

exemplify high

standards of

conduct and

effective governance

Members’ Code of Conduct revised in the light of changes

brought in by the Localism Act 2011

Induction programme for new Members and staff which includes

standards of behaviour

Register of Interests for Members

Officer Code of Conduct

Standing Orders reviewed annually

Declaration of Gifts and Hospitality in place for Members and

Senior Officer and being introduced for Officers below SMT level in 2014

Annual Governance Statement


Whistleblowing Policy

SDNPA Values and Competencies

Local Protocol for Member and Officer Relations

Member/officer performance appraisal process

Governance Committee6


Financial Regulations (revised March 2014)

SDNPA’s Guiding Principles

Procedures for dealing with conflicts of interest

Competency Framework introduced in 2014

HR procedures for dealing with capability and disciplinary issues

Ensure that

organisational

values are put into

practice and are effective

SDNPA’s Values communicated to staff, volunteers and

Members and included in the Corporate Plan which is published

on the internet.

SDNPA’s Guiding Principles

Members’ and Officer Codes of Conduct

Member/officer performance appraisal process

Memoranda of Understanding with various partners including shared values and Natural England Accord

Communication Strategy

Performance Development Review Scheme includes the assessment of performance against competencies

Governance Committee with terms of reference revised in 2013 which regularly reports to the full Authority through its minutes

Whistleblowing Policy

Engagement and Communication Updates (monthly)

Equality and Diversity Policy approved in 2013

6 This replaces the previous Standards and Audit Committee.

95

Fourth Core Principle: Taking informed and transparent decisions which are

subject to effective scrutiny and managing risk


Be rigorous and

transparent about

how decisions are

taken and will listen

and act on the

outcome of

constructive scrutiny

Standing Orders

Scheme of Delegation

Financial Regulations (revised March 2014)

Contract Standing Orders and Procurement Guide

Members’ and Officer Codes of Conduct referring to a requirement to declare interests

Governance Committee with terms of reference reviewed annually

Independent members on the Governance committee

Training for Governance Committee Members

Annual review of the effectiveness of the Governance Committee

Effective internal audit function resourced and maintained

Publication of reports and Decision Records with meeting minutes showing declarations of interest made

Freedom of Information Publication Scheme

Statement of Community Involvement approved by the NPA in

January 2014



Have good-quality

information, advice

and support to

ensure that

services are

delivered effectively

and are what the

residents/service

users want/need

Visitor survey


Members’ induction programme

Training for Committee Chairs

Regular meetings between SMT and Committee Chairs

Procedures for obtaining financial, personnel and legal advice where necessary and recorded appropriately

Forward plan showing dates for submission, publication and

distributing of reports

Annual performance reporting

compliance with the CIPFA Statement on the Role of the Chief Finance Officer in Local Government

Ensure that an

effective risk

management

system is in place

Risk Management Strategy setting out process for reviewing risk

in place and due to be reviewed in 2014

Risk assessment as part of service planning

Strategic Risk Register reviewed every other month by the Senior Management Team

Regular risk reporting to Governance Committee

Business Continuity Plan/crisis management procedures (due 2014 Linked to South Downs Centre move and ICT strategy)

Insurance policies

Whistleblowing Policy made available to staff


96

Health and Safety policies and procedures

ICT User Policy

Use our legal

powers to the full

benefit of the

communities within

the National Park

and for the

protection of the National Park itself

The SDNPA’s role is to:

(1) conserve and enhance the natural beauty, wildlife and cultural heritage of the Park; and

(2) promote opportunities for the understanding and enjoyment of the Park’s special qualities by the public.

In pursuing these purposes, the Authority also has the duty to seek

to foster the economic and social well-being of local communities within the Park.

As the local planning authority, the SDNPA is responsible for:

(i)spatial planning,

(ii) minerals and waste planning,

(iii) development management,

(iv) planning enforcement and

(v) other related regulatory functions within the Park.

SDNPA is the Access Authority

Rights of Way Accord

Legal issues are identified in reports

Advice is provided by the Monitoring Officer and other legal advisers and recorded appropriately

Sustainable procurement strategy

Fifth Core Principle: Developing the capacity and capability of Members and

officers to be effective


Make sure that

Members and

officers have the

skills, knowledge,

experience and

resources they

need to perform well in their roles

Appropriate job profiles used in recruitment

Member/officer induction and appraisal programmes

Learning and Development Policy for officers and individual staff learning and development plans

Member Development Strategy and individual Member development plans

Training events

Statement to bodies which appoint members as to what skills

and perspectives would be most helpful (including diversity

issues)

Develop the

capability of people

with governance

responsibilities and

evaluate their

performance, as

individuals and as a

group

Learning and Development Plan

Performance and development review scheme

Line Management coaching

Encourage new

talent for

membership of the


South Downs National Park Partnership

97

Authority so that

best use can be

made of individuals’ skills and resources

Advertising Member vacancies

Statement to bodies which appoint members as to what skills

and perspectives would be most helpful (including diversity

issues)

Sixth Core Principle: Engaging with local people and other stakeholders to

ensure robust public accountability


Exercise leadership

through engaging

with local people,

stakeholders and

partners and will

develop

constructive

accountability relationships



Engagement with key institutional stakeholders

Heads of Planning meetings

Engagement programme for National Park Management Plan


England Accord

Rights of Way Accord

Local Access Forum

Workshops used in the process to develop the PMP

Take an active and

planned approach

to dialogue with,

and accountability

to, the public to

ensure effective

and appropriate

service delivery

(whether directly

by the Authority, in

partnership or

otherwise)



Visitor survey


Tracking spreadsheets used for key public consultations recording changes as a result of consultation

Standing Orders

Decision Records

SDNPA Guiding Principles

SDNPA Values

Corporate Plan 2014-17

Annual review

Financial statements

Annual performance reporting


Publication Scheme

Access to information policy

SDNPA website

Make best use of

human resources

by taking an active

and planned

approach to meet

responsibility to staff

SDNPA values and competencies

Recruitment Policy

Staff Survey

Learning and Development Policy

Performance and development review scheme

SDNPA terms and conditions

98

3. Monitoring and Review

3.1 All Members and officers of the Authority share responsibility for good governance.

In particular, the Governance Committee is responsible for the oversight of ethical

issues and for receiving the Annual Governance Report prepared by the External

Auditor as well as the Annual Governance Statement prepared jointly by the

Monitoring Officer and the Chief Finance Officer.

3.2 Delegated Authority is given to the Director of Corporate Services in consultation

with the Chair of the Governance Committee to make any necessary amendments

to the Local Code of Governance as a result of the annual review. Any significant

changes shall be reported to the Governance Committee.