Borough of Poole Local Code of Governance

Transcription

1 Borough of Poole Local Code of Governance Subject: Local Code of Governance Borough of Poole Approved by: Audit Committee Author: Ruth Hodges Effective Date: 29 June 2017 Next Review: June 2018

2 1. Introduction 1.1 The Local Code of Governance demonstrates the Borough of Poole s commitment to the highest standards of corporate governance. The Local Code sets out its governance arrangements in relation to the seven best practice principles in the CIPFA/IFAC International Framework: Good Governance in the Public Sector (see Section 4) and as required by the CIFPA/SOLACE Delivering Good Governance in Local Government Framework. 2. What is Corporate Governance? 2.1 Corporate governance comprises of the arrangements put in place to ensure that the intended outcomes for service users and stakeholders are defined and achieved, while acting in the public interest at all times. It is about doing the right things, in the right way, for the right people, in a timely, inclusive, open, transparent, honest and accountable manner. 3. Responsibilities for Corporate Governance 3.1 All Members and officers have a responsibility for upholding the principles of good governance. It is a key responsibility for the Leader of the Council and the Chief Executive. 3.2 The Statutory Officers Group, comprising of the Monitoring Officer, the Chief Financial Officer and the Chief Executive, are responsible for the development, delivery and review of robust corporate governance arrangements. 3.3 The Audit Committee has responsibility for monitoring and reviewing the Council s corporate governance arrangements. 3.4 The Chief Auditor produces an Annual Report to Audit Committee on the adequacy and effectiveness of the Council s systems of internal control. 3.5 The Annual Governance Statement is produced following a review of the effectiveness of the Council s corporate governance arrangements, as outlined in this Code. Any significant governance weaknesses are highlighted, and an action plan produced to address these issues, and monitored by the Audit Committee.

3 4 The Governance Framework 4.1 The diagram below, taken from the International Framework: Good Governance in the Public Sector, illustrates the various principles of good governance in the public sector and how they relate to each other. Achieving the Intended Outcomes while acting in the Public Interest at all times 4.2 The Borough of Poole s Local Code of Governance is based on this framework, and the table below demonstrates the Council s governance arrangements in relation to it.

4 Principles of Good Governance (A) Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law How we meet these Principles The Constitution (regularly reviewed and updated) Member Code of Conduct Officer Code of Conduct Member-Member, and Member-Officer Protocols Member and Officer induction programmes and training plans Officer Performance Development framework, including annual reviews Priority Employee Behaviours framework Scheme of Delegations to Officers Standards Committee, including independent Members Financial Regulations Counter Theft, Fraud and Corruption Policy Compliance with CIPFA s Code of Practice on Managing the Risk of Fraud and Corruption Whistleblowing Policy Member and Officer Registers of Interests and Registers of Gifts and Hospitality Money Laundering Policy We are Listening Policy responding to compliments, comments and complaints Corporate policies including Fairness for All and Dignity at Work Mandatory learning including equality, dignity, and fraud Recruitment and Selection Policy Corporate Procurement Strategy Partnership Register and supporting guidance Head of Legal, Democratic and Strategy Services is designated as Monitoring Officer Head of Financial Services is designated as the Chief Financial Officer Compliance with CIPFA s Statement on the Role of the Chief Financial Officer in Local Government. Local Test of Assurance completed for Strategy Director (People Theme) Corporate and HR policies and procedures

5 (B) Ensuring openness and comprehensive stakeholder engagement poole.gov.uk, me newsletters and Twitter Local Transparency Code, proactive publication and reporting Online Council Tax information Corporate Strategy Poole 2020 We are Listening Policy responding to compliments, comments and complaints Poole Opinion Panel Residents surveys Key national data. e.g. the Census and Indices of Deprivation Joint Strategic Needs Assessment Public and officer consultations Shaping Poole Survey (every three years) Partnership Register and supporting guidance Corporate Communications and Marketing Strategy (C) Defining outcomes in terms of sustainable economic, social, and environmental benefits Corporate Strategy Corporate Scorecard (performance against the Corporate Strategy) Poole Opinion Panel Residents surveys Key national data. e.g. the Census and Indices of Deprivation Joint Strategic Needs Assessment Public and officer consultations Shaping Poole Survey (every three years) Theme and Service Unit Business Plans and action plans Service Unit performance measures Risk Management Strategy Corporate Property and Asset Management Strategy Corporate Procurement Strategy Equality Impact Assessments

6 (D) Determining the interventions necessary to optimise the achievement of the intended outcomes Medium Term Financial Plan, aligning resources to corporate priorities Budget book Cabinet Liaison MTFP Workshop Financial monitoring reports Risk Management Strategy Risk Management Guidance Corporate Risk Register (updated quarterly) Service Unit Risk Registers. Community Risk Register (E) Developing the entity s capacity, including the capability of its leadership and the individuals within it Performance Management Framework Corporate Strategy How We Measure Success Corporate Scorecard Service Unit performance measures Benchmarking and research, including CFO Insights VFM Tool Performance Management Framework Corporate Strategy How We Measure Success Corporate Scorecard Benchmarking and research, including CFO Insights VFM Tool Workforce Strategy Job descriptions for all employees Roles of Cabinet, individual Cabinet Members and all other Members and Committees defined Roles of statutory officers (Chief Executive, Chief Financial Officer and Monitoring Officer) and other senior officers defined Member-Member, and Member-Officer Protocols Scheme of Delegations to Officers The Constitution (regularly reviewed and updated) Member and Officer induction programmes and training plans Mandatory training for officers Officer Performance Development framework, including annual reviews Priority Employee Behaviours framework Standards Committee Poole Opinion Panel Residents surveys Key national data. e.g. the Census and Indices of Deprivation Joint Strategic Needs Assessment Public and officer consultations Shaping Poole Survey Corporate and HR policies and procedures, including those to support health and wellbeing

7 (F) Managing risks and performance through robust internal control and strong public financial management Risk Management Strategy Risk Management Guidance Corporate Risk Register (updated quarterly) Service Unit Risk Registers Community Risk Register Performance Management Framework Corporate Strategy How We Measure Success Corporate Scorecard We are Listening Policy responding to compliments, comments and complaints CFO Insights VFM Tool Theme-based Overview and Scrutiny Committees and overarching Overview and Scrutiny Board Internal Audit Function operating to Public Sector Internal Audit Standards Risk-Based Annual Audit Plan and Key Assurance Work Chief Auditors Annual Report to Audit Committee Counter Theft, Fraud and Corruption Policy Compliance with Code of Practice on Managing the Risk of Fraud and Corruption Annual Governance Statement Audit Committee Data Protection Policy Information Management Handbook Dorset Information Sharing Charter Information Governance Reports (twice yearly to Management Team and Cabinet) (G) Implementing good practices in transparency, reporting, and audit to deliver effective accountability Medium Term Financial Plan, aligning resources to corporate priorities Budget book Cabinet Liaison MTFP Workshop Financial monitoring reports Financial Regulations poole.gov.uk, me newsletters and Twitter Local Transparency Code, proactive publication and reporting Annual financial statements External audit reports: Audit Findings Report, Annual Audit Letter and Certification Report External reviews, including Ofsted, Peer Reviews and other Annual Governance Statement Internal Audit Function operating to Public Sector Internal Audit Standards Risk-Based Annual Audit Plan and Key Assurance Work Internal Audit recommendation implementation reported to Audit Committee Compliance with CIPFA s Statement on the Role of the Head of Internal Audit