Agenda Item 17 CORPORATE GOVERNANCE FRAMEWORK

Transcription

1 CORPORATE GOVERNANCE FRAMEWORK Draft September

2 Introduction The purpose of this framework is to set out how the Police and Crime Commissioner (the PCC) as a corporation sole will govern ensuring business is conducted in the right way, for the right reason at the right time. The principal elements of the statutory framework within which the PCC operates are: Police Reform and Social Responsibility Act 2011, Policing Protocol Order 2011, Financial Management Code of Practice issued by the Home Office October 2013, The Accounts and Audit (England) Regulations 2011, The Police and Crime Commissioner Elections (Declaration of Acceptance of Office) Order There are also a range of broader legislation within which the Commissioner operates including employment law, human rights law and environmental law. Over and above statutory requirements, the PCC and OPCC will act in accordance with best practice principles and ensure its actions and behaviours are conducted to the highest ethical standards. These principles and standards are summarised below. Principles The seven core principles will be those established in the Chartered Institute of Public Finance and Accountancy (CIPFA) Delivering Good Governance: Guidance notes for Policing bodies in England and Wales 2016 edition. This builds on the CIPFA Delivering Good Governance in Local Government: Framework published in association with the Society of Local Authority Chief Executives (SOLACE) Good Governance Framework in This is the standard against which all local government bodies, including the PCC, should assess themselves. These principles are: Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law; Ensuring openness and comprehensive stakeholder engagement; Defining outcomes in terms of sustainable economic, social and environmental benefits; Determining the interventions necessary to optimise the achievement of the intended outcomes; Developing the entity s capacity, including the capability of its leadership and the individuals within it; 2

3 Managing risks and performance through robust internal control and strong public financial management; Implementing good practices in transparency, reporting and audit to deliver effective accountability. Further detail on how the Commissioner meets these principles is available in Appendix 1. Operating Ethically The PCC and OPCC are committed to ensuring that, across all the functions of the PCC, ethical standards and behaviours are paramount. For this reason the PCC and OPCC has adopted the Seven Principles of Public Life (commonly referred to as the Nolan Principles Appendix 2) and the SOLACE Local Public Services Senior Managers: Code of Ethics (Appendix 3) which builds on the Seven Principles further. The Corporate Governance Framework The Corporate Governance Framework comprises: - The Code of Governance (this document) - Scheme of Governance These are shown schematically below 3

4 Corporate Governance Framework (inc. the Code of Corporate Governance) Scheme of Governance Delegations and Consents Financial Regulations Contract procedures and Standing Orders Decision Making Framework Accountability Framework Commissioning Framework 4

5 Appendix 1 Code of Corporate Governance for Northamptonshire Police and Crime Commissioner Introduction This Code of Corporate Governance sets out how the Northamptonshire Police and Crime Commissioner (the Commissioner) will govern their organisation in accordance with the Corporate Governance Framework. It does this by highlighting the key enablers for ensuring good governance. Context This code sets out how the organisation will govern, using the six good governance core principles 1 as the structure for setting out the statutory framework and local arrangements. The Code A. Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law The Policing Protocol 2011 requires the Commissioner to abide by the seven Nolan Principles and these will be central to the conduct and behaviour of all. It also highlights the expectation that the relationship between the Commissioner and the Chief Constable will be based upon the principles of goodwill, professionalism, openness and trust. The Financial Management Code of Practice requires the Commissioner to ensure that good governance principles are embedded within the way the OPCC operates. The Police and Crime Commissioner Elections (Declaration of Acceptance of Office) Order 2012 specifies the form of declaration of acceptance of office as an oath of impartiality. The Nolan principles form a key part of the governance of the OPCC. Within the Annual Governance Statement, the OPCC will self-assess against these principles every year. The OPCC will produce a People Strategy that will outline the behaviours expected of staff, as well as the support and development available to staff to meet the standards required. Standards of behaviour and conduct will form part of the recruitment process for any role in the OPCC. B. Ensuring openness and comprehensive stakeholder engagement 1 Good governance standard for public services,

6 The Policing Protocol highlights that the Commissioner is accountable to local people and that he draws on this mandate to set and shape the strategic objectives for the police force area in consultation with the Chief Constable. The Police and Crime Plan will clearly set out what the strategic direction and priorities are to be and how they will be delivered. The PCC s Annual Report will outline performance against the objectives of the Police and Crime Plan. To complement this, the staff of the Commissioner will ensure a plan is set out to involve local people and key stakeholders to ensure they inform decision making and future direction. This will be achieved through engaging as part of the yearly planning arrangements and becoming involved in issues of interest to local people as they emerge. The Office of the Police and Crime Commissioner will produce an Annual Governance Statement on which it will consult with the Independent Audit Committee and a final version will be published on the OPCC website. The Office of the Police and Crime Commissioner is subject to the Freedom of Information Act. Details of how to submit requests under this Act to the OPCC are provided on the OPCC website. The Office of the Police and Crime Commissioner maintains an up to date website with a range of publicly available information. Consultation will take place in a planned way with the public on a range of matters including the Police and Crime Plan and the budget. C. Defining outcomes in terms of sustainable economic, social and environmental benefits The Act requires the Commissioner to issue a Police and Crime Plan. It will outline the police and crime objectives (outcomes) and the strategic direction for policing. Northamptonshire Police must have regard to the Plan and the PCC must have regard to the priorities of the responsible authorities during its development. On an annual basis, the PCC will develop a business plan for the following year (which will effectively be the commissioning intentions of the organisation) which will set out what activity and interventions that will be put in place during that year to deliver the longer term Police and Crime Plan. A Commissioning Framework will be developed by the PCC, which will set out how activity to deliver the agreed outcomes in the Police and Crime Plan will be commissioned, including the quality of service to be delivered. The 6

7 Commissioning Framework will set out how the PCC operates with all organisations, including the Force. The Medium Term Financial Plan will be aligned to the Police and Crime Plan and the Commissioning Framework. The PCC will develop and implement Financial Regulations which will set out how effective financial management will be delivered. How the PCC ensures value for money is included within the Financial Regulations An Annual Report will be published on a timely basis to communicate the PCC s activities and achievements, and financial position and performance. D. Determining the interventions necessary to optimise the achievement of the intended outcomes The Police and Crime Plan sets the overarching objectives for the area. The OPCC will ensure that annual business plans will develop the more detailed interventions that will be necessary to achieve the outcomes of the Plan. The OPCC annual business plan and Commissioning Framework will ensure that appropriate performance measures are in place to ensure delivery against the Police and Crime Plan. The OPCC will have a risk management policy that is kept under regular review. E. Developing the entity s capacity, including the capability of its leadership and the individuals within it The Act clearly sets out the functions of the Commissioner and Chief Constable, and the Policing Protocol Order sets out how these functions will be undertaken to achieve the outcomes of the Police and Crime Plan. The PCC will set personal performance objectives for the Chief Constable on an annual basis. The Commissioner may appoint a deputy who will be a member of his staff as set out in the Act. The role description approved by the Commissioner will incorporate functions delegated within the Commissioner s Scheme of Consents and Delegations. The Act requires the Commissioner to have a Chief Executive and a Chief Finance Officer. The Chief Executive will be the Head of Paid Service and undertake the responsibilities of Monitoring Officer. The Financial Management Code of Practice and the Statement on the Role of the Chief Finance Officer set out the responsibilities of Chief Finance Officers for the Commissioner. 7

8 The Commissioner s Scheme of Governance highlights the parameters for key roles including delegations or consents from the Commissioner, financial regulations and contract standing orders. Staff of the Office of the Police and Crime Commissioner will operate within: The policies and procedures of the organisation, The Corporate Governance Framework, Discipline Regulations and Codes of Conduct. The PCC will develop, implement and maintain effective risk management. An Independent Audit Committee will operate in line with guidance from the Chartered Institute of Public Finance and Accountancy (CIPFA) and the requirements of the Financial Management Code of Practice. The Committee will also ensure that the risk controls are effective. The statutory requirements and relevant guidance for police collaboration will inform work on collaboration with other police forces and PCCs. The Commissioning Framework outlines how the PCC will work with others, including partners and this governs the relationships that the PCC will have with other organisations to assist in delivering the Police and Crime Plan. The Office of the Police and Crime Commissioner will ensure that staff are developed and supported to perform their duties. This will include developing individuals capability to undertake effective scrutiny, change management, performance appraisal and career development. As part of the OPCC People Strategy, a skills audit will be undertaken to ensure that the skills required for the functions of the PCC are understood and development plans put in place to develop staff. The People Strategy will also outline the indication and other developmental opportunities available to staff. Developing leadership will also form part of this strategy. F. Managing risks and performance through robust internal control and strong public financial management The OPCC will produce and ensure adherence to a risk management policy. A risk register will ensure that corporate risks are kept under regular review. G. Implementing good practices in transparency, reporting and audit to deliver effective accountability The Decision Making Framework sets out the principles drive decisions taken by the Commissioner and the standards to be adopted throughout the decision making process. 8

9 It requires a forward plan of decisions. This will ensure proper governance by bringing together the right information at the right time e.g. needs assessments, costs and budgets. The Commissioner s Scheme of Delegations and Consents highlights the parameters for decision making, including the delegations, consents, financial limits for specific matters and standing orders relating to contracts. The Decision Making Framework will ensure that information relating to decisions will be made readily to local people, with those of greatest public interest receiving the highest level of transparency, consistent with and subject to any relevant operational and legal constraints. A Whistle-Blowing policy will be established to which all staff and those contracting with the PCC will have access. Policies on complaints against the PCC or against staff are produced and published on the OPCC website. 9

10 Appendix 2 THE SEVEN PRINCIPLES OF PUBLIC LIFE SELFLESSNESS Holders of public office should act solely in terms of the public interest. They should not do so in order to gain financial or other material benefits for themselves, their family, or their friends. INTEGRITY Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their official duties. OBJECTIVITY In carrying out public business, including making public appointments, awarding contracts, or recommending individuals for rewards and benefits, holders of public office should make choices on merit. ACCOUNTABILITY Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office. OPENNESS Holders of public office should be as open as possible about all the decisions and actions that they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands. HONESTY Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest. LEADERSHIP Holders of public office should promote and support these principles by leadership and example. 10

11 Appendix 3 SOLACE LOCAL PUBLIC SERVICE SENIOR MANAGERS: CODE OF ETHICS SELFLESSNESS Senior managers should act solely in terms of the public interest. Put the people you serve first Advise wisely and implement faithfully Ensure the need to speak truthfully to those in power, challenge impropriety or investigate wrongdoing comes before your own popularity or career prospects Carry out your obligations and duties to the best of your ability and seek additional training or support where necessary Support your colleagues in their work Demonstrate an efficient and effective use of public resources Consider the changing needs and expectations of local communities, and do what is necessary and proportionate to address them Be faithful to your organisation s purpose INTEGRITY Senior managers should avoid placing themselves under any obligation to people or organisations that might try to influence them inappropriately in their work. They should not act or take decisions in order to gain financial or other material benefits for themselves, their family or their friends. They should declare and resolve any interests and relationships. Show courage in doing what you believe is right Ensure decisions and actions are not influenced by improper considerations or personal gain Neither solicit nor accept the offer of any gift, gratitude or hospitality that could, or could be seen to, compromise your impartiality Do not use your position to inappropriately coerce any person or settle personal grievances Remain composed and respectful, even in the face of provocation Ensure that any relationship at work does not create an actual or apparent conflict of interest Take a personal responsibility to assess whether we have performed appropriately OBJECTIVITY Senior managers should act and take decisions impartially, fairly and on merit, using the best available evidence and without discrimination or bias. Proactively seek evidence in advance of making decisions 11

12 Promote evidence-led decision making Keep an open mind and do not prejudge situations or individuals Be aware of the influence that unconscious biases can have on your actions and decisions Use all information, training, equipment and management support you are provided with and take personal responsibility for your continuous professional development and keeping yourself up to date on your role and responsibilities Actively seek or use opportunities to promote equalities and diversity and uphold the law regarding human rights and equalities Ensure frameworks for decision making are robust, legal and sound Ensure political decision makers have access to balanced, accurate and well-informed advice, even when it is counter to the prevailing orthodoxy or when they do not want to receive it ACCOUNTABILITY Senior managers are accountable for their decisions and actions and should submit themselves to the scrutiny necessary to ensure this. Take full responsibility for, and be prepared to explain and justify, your actions and decisions and those made within your span of responsibility to the public Encourage challenge and review of decision making to ensure that good practice is identified and lessons are learned Ensure the appropriate accurate records of your decisions and actions are kept Safeguard confidential information and ensure the protection of personal data to comply with both FOI and Data Protection legislation OPENNESS Senior managers should act and take decisions in an open and transparent manner. Information should not be withheld from the public unless there are clear and lawful reasons for doing so. Share information with colleagues, partners and the public when required for legitimate purposes and in a way that respects democratic decision making Ensure briefings are made available to all political groups and not just those in positions of power Seek to create cultures that embrace learning, scrutiny and continuous improvements Model a presumption of transparency Share information in a manner that promotes accessibility 12

13 HONESTY Senior managers should act with sincerity and respect the need for truthfulness. Do not knowingly make false, misleading or inaccurate oral or written statements Ensure all communications seek to actively engage and inform the audience Be mindful of wilful blindness and ensuring that appropriate checks and balances are in place which guard individuals and organisations Be prepared to challenge and be challenged Promote a culture that supports and encourages whistleblowing LEADERSHIP Senior managers should exhibit in their own behaviour the principles of Public Life published by the Committee on Standards in Public Life. They should actively promote and robustly support the principles and be willing to challenge poor behaviour, including by all those employed to deliver local public services and elected representatives wherever it occurs. Step forward, take control and be proactive when required by the circumstances Never ignore unethical or unprofessional behaviour by a colleague or elected member, irrespective of the person s role Proactively question the conduct of colleagues or elected members that you believe falls below the expected standards and, if necessary, challenge, report or take action against such conduct Ensure your behaviour is not, and could not reasonably be perceived to be abusive, oppressive, harassing, bullying, victimising or offensive by the public or your colleagues Use your authority only in ways that are proportionate, lawful, respectful, accountable, necessary and ethical Seek feedback on your behaviour and management style in order to actively pursue continuous professional development DEMOCRACY Senior managers should uphold the principles of a representative government and ensure the effective working of the democratic process. Uphold the democratic process Do not engage in party political promotion and ensure you do not place yourself in a position where your political impartiality may be reasonably questioned 13

14 Use your right and responsibility to voice your opinion on public issues but advocate for issues of personal interest only when doing so does not conflict with the performance of your professional duties 14