Code of Corporate Governance 2020

1. Introduction

1.1 Corporate Governance has been defined

as follows:

“…the arrangements put in place to ensure that the intended outcomes for stakeholders are

defined and achieved.”

1.2 The term ‘local code of governance’ essentially refers to the governance structure in place

within the organisation although, in practice, the governance structure will consist of a

number of codes and documents. The development and review 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 CIPFA

and

SOLACE

entitled ‘Delivering Good Governance in Local Government Framework’ which

applies to National Park Authorities. The Guidance sets out seven 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

….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.

‘The International Framework: Good Governance in the Public Sector (CIPFA/IFAC, 2016).

The Chartered Institute of Public Finance and Accountancy.

The Society of Local Authority Chief Executives and Senior Managers.

Agenda Item 13 Report PR20/21-04 Appendix 2

In addition the Authority will act in accordance the Nolan principles:

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.

2. Monitoring and Review

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

particular, the Policy and Resources Committee is responsible 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.

2.2 Delegated Authority is given to the Chief Executive in consultation with the Chair of the

Policy and Resources Committee to make any necessary amendments to the Local Code of

Corporate Governance. Where the Local Code has been amended, it shall be reported

annually to the Policy and Resources Committee.

Principle A:

Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the

rule of law

We will:

Evidenced by:

Behave with integrity:

 Ensure members and officers behave

with integrity and lead a culture where

acting in the public interest is visibly

and consistently demonstrated thereby

protecting the reputation of the

organisation

 Ensure members take the lead in

establishing specific standard operating

principles or values for the organisation

and its staff and that they are

communicated and understood. These

Committee Oversight & Scrutiny:

 Annual Governance Statement

 Appointment, Management and Standards

Committee role in standards matters for

members

 Independent persons appointed

 Complaints, Compliments and Comments Policy

in place and reported on annually to Committee

 Arrangements for handling complaints against

Members

 Annual report of the Independent Persons

presented where there have been issues

Agenda Item 13 Report PR20/21-04 Appendix 2

should build on the Seven Principles of

Public Life (the Nolan Principles)

 Lead by example and using the above

standard operating principles or values

as a framework for decision making and

other actions

 Demonstrate, communicate and embed

the standard operating principles or

values through appropriate policies and

processes which are reviewed on a

regular basis to ensure that they are

operating effectively

considered by the Independent Persons

Corporate Policies and Strategies:

 Members’ Code of Conduct

 Register of Interests for Members and

declarations of interests made at meetings and

recorded in minutes

 Officer Code of Conduct and associated

declarations of interest

 Financial Regulations

 Process in place for disclosure of Related Parties

and Outside Interests

 Contract Standing Orders

 Declaration of Gifts and Hospitality for

Members and Officers

 Anti-fraud and Corruption Policy

 Whistleblowing Policy

 Local Protocol for Member and Officer

Relations

 SDNPA Values and Competencies

 SDNPA’s Guiding Principles

Operational Procedures

 Induction programme for new Members and

staff including standards of behaviour expected

 Annual performance appraisal for staff and

members

 Member/officer performance appraisal process

 Procedures for dealing with conflicts of interests

 Report template for decision making

 Key processes audited and reported on

 Arrangements put in place to address any

perceived conflicts of interest in relation to

treasury management advice.

 Guidance issued to members in relation to

managing standards issues.

Demonstrate strong commitment to

ethical values:

 Seek to establish, monitor and

maintain the organisation’s ethical

standards and performance

 Underpin personal behaviour with

ethical values and ensuring they

permeate all aspects of the

organisation’s culture and operation

 Develop and maintain robust policies

and procedures which place emphasis

on agreed ethical values

 Ensure that external providers of

services on behalf of the organisation

are required to act with integrity and

in compliance with ethical standards

expected by the organisation

Committee Oversight & Scrutiny:

 Member/officer performance appraisal process

 Appointments, Management and Standards

Committee

 Memoranda of Understanding with various

partners and Natural England Accord

Corporate Policies and Strategies:

 Members’ and Officer Codes of Conduct

 Whistleblowing Policy

 Equality and Diversity Policy

 Procurement guide

 Recruitment Procedure

 Contract Standing Orders

 Treasury Management Policy & Annual

Investment Strategy (Ethical Investment

Statement)

Agenda Item 13 Report PR20/21-04 Appendix 2

Operational Procedures

 SDNPA Values and Competencies

 SDNPA’s Guiding Principles

 Equality and Diversity Training

 Report template requires consideration of

ethical issues

 Partnership management plan sets out approach

to partnership working

 Job descriptions

 Staff competency framework

 Treasury Management practices

Respect the rule of law

 Ensure members and staff demonstrate

a strong commitment to the rule of

law as well as adhering to relevant

laws and regulations

 Create the conditions to ensure that

the statutory officers, other key post

holders, and members, are able to fulfil

their responsibilities in accordance

with legislative and regulatory

requirements

 Strive to optimise the use of the full

powers available for the benefit of

citizens, communities and other

stakeholders

 Deal with breaches of legal and

regulatory provisions effectively

 Ensure corruption and misuse of

power are dealt with effectively

Committee Oversight & Scrutiny:

 Statutory Officers appointed by the Full

Authority

 Committee structure in place with terms of

reference

 Monitoring Officer in place

 Officer support for committees

Corporate Policies and Strategies:

 Whistleblowing policy

 Financial Regulations, Contract Standing orders

and Procurement Guide

 Codes of conduct

 Anti-fraud and corruption policy

 Scheme of delegations

Operational Procedures

 Report templates set out legal considerations

for all decisions

 Member induction programme and development

protocol

 Provision of legal advice to officers and

members to ensure compliance with law

 Compliance with CIPFA’s statement on the role

of the Chief Finance Officer in Local Govt

(CIPFA 2015)

 Job descriptions

 Internal and external audit

 Annual Management Assurance statement to the

External Auditor

 Register of member and officer interests and

related party interests

Principle B:

Ensuring openness and comprehensive stakeholder engagement

We will:

Evidenced by:

Be open

 Ensure an open culture through

demonstrating, documenting and

communicating the organisation’s

commitment to openness

 Make decisions that are open about

Committee Oversight & Scrutiny:

 Defra Circular

 Partnership Management Plan

 2050 vision

 Committee meetings held in public and authority

Agenda Item 13 Report PR20/21-04 Appendix 2

actions, plans, resource use, forecasts,

outputs and outcomes. The

presumption is for openness. If that is

not the case, a justification for the

reasoning for keeping a decision

confidential should be provided

 Provide clear reasoning and evidence

for decisions in both public records

and explanations to stakeholders and

being explicit about the criteria,

rationale and considerations used. In

due course, ensuring that the impact

and consequences of those decisions

are clear

 Use formal and informal consultation

and engagement to determine the

most appropriate and effective

interventions/ courses of action

and various committee meetings webcast

 Publication of agendas and reports in line with

Local Government Act 1972 requirements

 Strategic session discussion

 Decision Records

 Public participation at SDNPA meetings

 Delivery of “virtual meetings” in compliance with

the Local Authorities and Police and Crime Panels

(Coronavirus) (Flexibility of Local Authority and

Police and Crime Panel Meetings) (England and

Wales) Regulations 2020 during Covid-19

pandemic

Corporate Policies and Strategies:

 Communication and Engagement Strategy

 Statement of Community Involvement

 Financial Regulations and Standing Orders

 Corporate Plan

 Annual review

 Complaints, Compliments and Comments Policy

 Whistleblowing Policy

 Publication Scheme

 Access to information policy

 SDNPA website (includes - publicly available

information including committee papers, who the

Members are and what they do, who the officers

are and how the public can input and influence

Authority decisions)

 Member Allowance Scheme

 Citizens Panel

 Farmer and parish engagement workshops

 Parish newsletters and member attendance at

parish meetings

Operational Procedures

 SDNPA Guiding Principles

 SDNPA Values and Competencies

 Report template

 Financial statements

 Annual performance reporting

 Information published in respect of expenditure

over £250

 Tracking spreadsheets used for key public

consultations recording changes as a result of

consultation

 Publication of South Downs View

 E-newsletter and Planning E newsletter published

Engage with stakeholders

 Effective engagement with institutional

stakeholders to ensure that the

Committee Oversight & Scrutiny:

 Memoranda of Understanding with various

partners including shared values and Natural

Agenda Item 13 Report PR20/21-04 Appendix 2

purpose, objectives and intended

outcomes for each stakeholder

relationship are clear so that

outcomes are achieved successfully

and sustainably

 Develop formal and informal

partnerships to allow for resources to

be used more efficiently and outcomes

achieved more effectively

 Ensure that partnerships are based on:

– trust – a shared commitment to

change – a culture that promotes and

accepts challenge among partners and

that the added value of partnership

working is explicit

England Accord

 Statement of Community Involvement in relation

to the Local Plan

 Guidance to Members on outside bodies

 South Downs Partnership

Corporate Policies and Strategies:

 Development of the National Park Partnership

Management Plan

 Corporate Plan

 Communication Strategy

 Public affairs strategy

Operational Procedures

 National Park Authority performance indicators

 Visitor survey

 Formal mechanism for evaluation and learning

from major pieces of work and important

partnerships.

 Tracking spreadsheets used for key public

consultations recording changes as a result of

consultation

 Planning Customer Survey

 Individual campaigns and communications activity

 Citizens panel

Engage with individual citizens and service

users:

 Establish a clear policy on the type of

issues that the organisation will

meaningfully consult with or involve

communities, individual citizens,

service users and other stakeholders

to ensure that service (or other)

provision is contributing towards the

achievement of intended outcomes

 Ensure that communication methods

are effective and that members and

officers are clear about their roles

with regard to community engagement

 Encourage, collection and evaluation of

the views and experiences of

communities, citizens, service users

and organisations of different

backgrounds including reference to

future needs

 Implement effective feedback

mechanisms in order to demonstrate

how views have been taken into

account

 Balance feedback from more active

stakeholder groups with other

stakeholder groups to ensure

Committee Oversight & Scrutiny:

 Statement of Community Involvement in relation

to planning matters

 Complaints, Compliments and Comments

reported on annually.

 Memoranda of Understanding with various

partners and Natural England Accord

 Joint meetings between Authority Members and

South Downs Partnership

 Meetings with partner Local Authorities within

the NP to discuss shared issues /priorities.

 Engagement of youth ambassadors in the work

of the NPA

Corporate Policies and Strategies:

 Corporate objectives and success measures (in

the Corporate Plan )

 Communication and Engagement Strategy

 National Park Authority performance

indicators

 Performance Management Framework

 Engagement programme for National Park

Management Plan in development

 Rights of Way Accord

 Local Access Forum

 Whole Estate Plans

Operational Procedures

Agenda Item 13 Report PR20/21-04 Appendix 2

inclusivity

 Take account of the impact of

decisions on future generations of tax

payers and service users

 Quarterly and annual performance reporting

 Consultation on the development of the PMP,

delivery framework and Local Plan.

 Planning Service Customer Survey 2014 and

associated action plan

 Tracking spreadsheets used for key public

consultations recording changes as a result of

consultation

 Citizens Panel

 E-newsletter and planning e-newsletter

Principle C:

Defining outcomes in terms of sustainable economic, social and environmental benefits

We will:

Evidenced by:

Define outcomes:

 Have a clear vision, which is an agreed

formal statement of the organisation’s

purpose and intended outcomes containing

appropriate performance indicators, which

provide the basis for the organisation’s

overall strategy, planning and other

decisions

 Specify the intended impact on, or changes

for, stakeholders including citizens and

service users. It could be immediately or

over the course of a year or longer

 Deliver defined outcomes on a sustainable

basis within the resources that will be

available

 Identify and manage risks to the

achievement of outcomes

 Manage service users’ expectations

effectively with regard to determining

priorities and making the best use of the

resources available

Committee Oversight & Scrutiny:

 Statement of Community Involvement in

relation to planning matters

 Memoranda of Understanding with various

partners and Natural England Accord

 Purposes and Duty set out in legislation and

incorporated into all strategic documents.

Corporate Policies and Strategies:

 Corporate Plan based on the shared vision

for the SDNP agreed with partners

 SDNP Vision (published 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

measures as a basis for monitoring progress

towards the achievement of the Vision

 State of the Park Report

 Risk Management approach

 Local Development Scheme

 Neighbourhood Plans

 Local Plan

 Public Affairs Strategy

Operational Procedures

 5 yearly review of PMP

 South Downs Integrated Landscape

Character Assessment



 Annual review

 Risk management processes

Consider the social, economic and

Committee Oversight & Scrutiny:

Agenda Item 13 Report PR20/21-04 Appendix 2

environmental benefits:

 Consider and balance the combined

economic, social and environmental impact

of policies and plans when taking decisions

about service provision

 Take a longer-term view with regard to

decision making, taking account of risk and

acting transparently where there are

potential conflicts between the

organisation’s intended outcomes and

short-term factors such as the political

cycle or financial constraints

 Determine the wider public interest

associated with balancing conflicting

interests between achieving the various

economic, social and environmental

benefits, through consultation where

possible, in order to ensure appropriate

trade-offs

 Ensure fair access to services

 Considerations tabled as part of committee

reports

 Development of 5 year medium term

financial strategy

 Development of position statements on

key topics

Corporate Policies and Strategies:

 Equalities policy and on line training

 Annual Review

 SDNPA Improvement plan which is regularly

reviewed and includes key points raised via

feedback and from other sources

 Treasury management policy

Operational Procedures

 Approvals Process for Projects and project

evaluation

 Sustainability Action Plan

 Volunteer Ranger Service Action Plan

 Support forSouth Downs Volunteering

Network

 Report template

 Evidence base maintained to inform decision

making

 Application of Sandford Principle in decision

making Enhanced role of theme programme

boards in project decision making



Principle D:

Determining the interventions necessary to optimise the achievement of the intended outcomes.

We will:

Evidenced by:

Determining interventions:

 Ensure decision makers receive objective

and rigorous analysis of a variety of

options indicating how intended outcomes

would be achieved and associated risks.

Therefore ensuring best value is achieved

however services are provided

 Consider feedback from citizens and

service users when making decisions about

service improvements or where services

are no longer required in order to

prioritise competing demands within

limited resources available including

people, skills, land and assets and bearing

in mind future impacts

Committee Oversight & Scrutiny:

 SMT Strategic session discussions

 Chairman’s briefing

 Committee chairs and SMT discussions

 Conduct of Authority and committee

meetings enabling officers presentation of

reports for member consideration and

discussion.

Corporate Policies and Strategies:

 Corporate Plan based on the shared vision

for the SDNP agreed with partners

 SDNP Vision published following wide

engagement with stakeholders and

partners providing the strategic steer for

the South Downs

 Partnership Management Plan,

 Local Plan

 Publication of the Partnership Management

Agenda Item 13 Report PR20/21-04 Appendix 2

Plan including the development of impact

measures as a basis for monitoring

progress towards the achievement of the

Vision

 Financial Regulations and Contract

Standing orders

Operational Procedures

 Budget setting process

 Committee reporting template and

approvals process

 Citizens panel

 Standing orders

Planning interventions:

 Establish and implement robust planning

and control cycles that cover strategic and

operational plans, priorities and targets

 Engage with internal and external

stakeholders in determining how services

and other courses of action should be

planned and delivered

 Consider and monitor risks facing each

partner when working collaboratively,

including shared risks

 Ensure arrangements are flexible and agile

so that the mechanisms for delivering

goods and services can be adapted to

changing circumstances

 Establish appropriate key performance

indicators (KPIs) as part of the planning

process in order to identify how the

performance of services and projects is to

be measured

 Ensure capacity exists to generate the

information required to review service

quality regularly

 Prepare budgets in accordance with

objectives, strategies and the medium term

financial plan

 Inform medium and long term resource

planning by drawing up realistic estimates

of revenue and capital expenditure aimed

at developing a sustainable funding strategy

Committee Oversight & Scrutiny:

 South Downs Partnership

 Annual budget processes

 Corporate plan agreed by NPA

 Committee review of Corporate Risk

 Performance reporting to Committee

Corporate Policies and Strategies:

 Corporate Plan includes performance

measures based, on the shared vision for

the SDNP agreed with partners

 PMP including performance measures

agreed by the Authority.

 South Downs Partnership

 Corporate plan and budget setting cycles

interlinked

 Communication strategy

 Risk management policy

 Medium Term Financial Strategy

Operational Procedures

 Budget monitoring and performance

monitoring undertaken on a regular basis

by Operational Management Team.

 Budget setting process driven by

members and senior managers

Optimise achievement of outcomes:

 Ensure the medium term financial strategy

integrates and balances service priorities,

affordability and other resource

constraints

 Ensure the budgeting process is all-

Committee Oversight & Scrutiny:

 Budgets monitored by Committee

 Annual budget setting process through

workshops and Authority meetings

 Link between budget process and

Agenda Item 13 Report PR20/21-04 Appendix 2

inclusive, taking into account the full cost

of operations over the medium and longer

term

 Ensure the medium term financial strategy

sets the context for ongoing decisions on

significant delivery issues or responses to

changes in the external environment that

may arise during the budgetary period in

order for outcomes to be achieved while

optimising resource usage

 Ensure the achievement of ‘social value’

through service planning and

commissioning

Corporate Plan

 PMP refresh undertaken with a member

task and finish group

 Social value implications act consideration

for all decisions taken at committee.

 Performance reporting to Committee

 Project appraisals reported to Committee

Corporate Policies and Strategies:

 Medium Term Financial Strategy

 Corporate plan and budget setting cycles

interlinked

Operational Procedures

 Social value implications of decisions part of

standard reporting template

 Budget setting process includes members

and senior managers

Principle E:

Developing the Authority’s capacity, including the capacity of its leadership and the individuals

within it.

We will:

Evidenced by:

Develop capacity:

 Review operations, performance and use

of assets on a regular basis to ensure their

continuing effectiveness

 Improve resource use through appropriate

application of techniques such as

benchmarking and other options in order

to determine how resources are allocated

so that defined outcomes are achieved

effectively and efficiently

 Recognise the benefits of partnerships and

collaborative working where added value

can be achieved

 Develop and maintain an effective

workforce plan to enhance the strategic

allocation of resources

Committee Oversight & Scrutiny:

 Member Development Protocol and

individual Member development meetings

 Statement to bodies which appoint

members as to what skills and perspectives

would be most helpful (including diversity

issues)

 Organisational structure focussed on

delivery model form PMP

Corporate Policies and Strategies:

 Member/officer induction and appraisal

programmes

 Learning and Development Policy for

officers and individual staff

 PMP performance monitoring

 Improvement plan

 IT strategy

Operational Procedures

 Appropriate job profiles used in

recruitment

 learning and development plans

 Training events

 Learning and Development Plan

 Performance and development review

scheme

 Staff survey due to be undertaken in 2018

and associated action plan developed

 E-learning platform with mandatory

Agenda Item 13 Report PR20/21-04 Appendix 2

courses linked to annual performance

review for all staff

 Members and staff induction programmes

Develop the capability of leadership:

 Develop protocols to ensure that elected

and appointed leaders negotiate with each

other regarding their respective roles early

on in the relationship and that a shared

understanding of roles and objectives is

maintained

 Publish a statement that specifies the types

of decisions that are delegated and those

reserved for the collective decision making

of the governing body

 Ensure the leader and the chief executive

have clearly defined and distinctive

leadership roles within a structure

whereby the chief executive leads in

implementing strategy and managing the

delivery of services and other outputs set

by members and each provides a check

and a balance for each other’s authority

 Develop the capabilities of members and

senior management to achieve effective

leadership and to enable the organisation

to respond successfully to changing legal

and policy demands as well as economic,

political and environmental changes and

risks

 Ensure that there are structures in place

to encourage public participation

 Take steps to consider the leadership’s

own effectiveness and ensuring leaders are

open to constructive feedback from peer

review and inspections „ Holding staff to

account through regular performance

reviews which take account of training or

development needs

 Ensure arrangements are in place to

maintain the health and wellbeing of the

workforce and support individuals in

maintaining their own physical and mental

wellbeing

Committee Oversight & Scrutiny:

 Committee Chairs and SMT meetings

 South Downs Partnership

 Job descriptions and performance and

development review process for Members

and officers, including the Chair of the

SDNPA

 Appointments, Management and Standards

Committee Terms of reference

 Standing orders contain scheme of

delegations to officers

Corporate Policies and Strategies:

 Member Development Protocol

 Complaints, Compliments and Comments

Policy

 Chief Finance Officer support procured and

compliance with both the CIPFA Statement

on the Role of the Chief Financial Officer in

Local Government and the CIPFA Statement on

the Role of the Head of Internal Audit in Public

Service Organisations

 Monitoring Officer support contract in place

 Financial Regulations and Standing Orders

 Scheme of Delegation

 Communication and Engagement Strategy

 HR policies in place

Operational Procedures

 Conditions of employment

 Contract management in respect of

externally provided services

 Member workshops on key issues

 Leadership and Management development

training

 Advertising Member vacancies

 Induction programme for all

 Annual Member 1-2-1 process with Chair of

the Authority

Principle F:

Managing risks and performance through robust internal controls and strong public finance

management

We will:

Evidenced by:

Manage risk

 Recognise that risk management is an

integral part of all activities and must be

Committee Oversight & Scrutiny:

 Regular risk reporting to Committee

Agenda Item 13 Report PR20/21-04 Appendix 2

considered in all aspects of decision

making

 Implement robust and integrated risk

management arrangements and ensuring

that they are working effectively

 Ensure that responsibilities for managing

individual risks are clearly allocated

 Annual Health and Safety reporting

Corporate Policies and Strategies:

 Risk Management Strategy, risk register

template and risk appetite statement

 Insurance policies

 Whistleblowing Policy

 Anti-fraud and Corruption Policy

 Health and Safety policies and procedures

 ICT User Policy and information security

policy in place

 Treasury Management Policy

Operational Procedures

 Risk assessment as part of service planning

 Corporate Risk Register reviewed by the

Operational Management Team, and SMT

 Annual Management Assurance statement to

the External Auditor

Manage performance

 Monitor service delivery effectively

including planning, specification, execution

and independent post implementation

review

 Make decisions based on relevant, clear

objective analysis and advice pointing out

the implications and risks inherent in the

organisation’s financial, social and

environmental position and outlook

 Ensure an effective scrutiny or oversight

function is in place which provides

constructive challenge and debate on

policies and objectives before, during and

after decisions are made thereby enhancing

the organisation’s performance and that of

any organisation for which it is responsible

(Or, for a committee system) Encouraging

effective and constructive challenge and

debate on policies and objectives to

support balanced and effective decision

making

 Provide members and senior management

with regular reports on service delivery

plans and on progress towards outcome

achievement.

 Ensure there is consistency between

specification stages (such as budgets) and

post implementation reporting (e.g. financial

statements)

Committee Oversight & Scrutiny:

 Chairs and SMT meetings

 Chairman’s briefings

 Committee terms of reference include

regular performance monitoring

Corporate Policies and Strategies:

 Strategic sessions

 Financial Regulations and Procedures

 Standing Orders

Operational Procedures

 National Park Authority performance

indicators reported quarterly or annually as

appropriate including corrective action as

necessary to relevant committees

 Appropriate systems in place to support

monitoring performance against measures

 Operational management team monitoring

of performance

 Statutory requirements for decision making

met

 Improvement Plan

 Committee Report templates

Develop robust internal control

 Align the risk management strategy and

policies on internal control with achieving

Committee Oversight & Scrutiny:

 Policy and Resources Committee with

terms of reference reviewed annually

Agenda Item 13 Report PR20/21-04 Appendix 2

objectives

 Evaluate and monitor risk management and

internal control on a regular basis

 Ensure effective counter fraud and anti-

corruption arrangements are in place

 Ensure additional assurance on the overall

adequacy and effectiveness of the

framework of governance, risk management

and control is provided by the internal

auditor

 Ensure an audit committee or equivalent

group/ function, which is independent of

the executive and accountable to the

governing body

 Independent members on the Policy and

Resources Committee

 Training for Committee members

 Publication of reports and meeting minutes

showing declarations of interest made

 Statement of Community Involvement

approved by the NPA

 Risk management strategy

 Audit plan agreed by Policy and Resources

Cttee

 Annual Governance Statement

Corporate Policies and Strategies:

 Standing Orders

 Scheme of Delegation

 Financial Regulations

 Anti-fraud and corruption policy

 Contract Standing Orders and

Procurement Guide

 Members’ and Officer Codes of Conduct

 Communication and Engagement Strategy

 Complaints, Compliments and Comments

Policy

 Contract Standing Orders and

Procurement Guide

Operational Procedures

 Policy framework kept under review by

Operational Management team

 Effective internal audit function resourced

and maintained

 Regular audit reporting

Manage data

 Ensure effective arrangements are in place

for the safe collection, storage, use and

sharing of data, including processes to

safeguard personal data

 Ensure effective arrangements are in place

and operating effectively when sharing data

with other bodies

 Review and audit regularly the quality and

accuracy of data used in decision making

and performance monitoring

Committee Oversight & Scrutiny:

 Major Project approval and monitoring by

Committee

 Performance data reported quarterly

Corporate Policies and Strategies:

 Security arrangements in place in IT

contract

 Information security policy

 Acceptable use of ICT policy

 GDPR Policies and practices implemented

Operational Procedures

 Systems for managing performance data

 Data Protection Officer

 Data protection policies in place

 Training on data protection

 Data processing agreements where

appropriate

 Role of Research and Evidence Officer in

validating data for PMP and other

indicators

Agenda Item 13 Report PR20/21-04 Appendix 2

 Methodology sheets developed for

corporate plan measures and PMP

indicators

Have strong public financial management

 Ensure financial management supports

both long term achievement of outcomes

and short-term financial and operational

performance

 Ensure well-developed financial

management is integrated at all levels of

planning and control, including

management of financial risks and controls

Committee Oversight & Scrutiny:

 External Auditor’s value for money

opinion

Corporate Policies and Strategies:

 Chief Finance Officer support procured

and compliance with both the CIPFA

Statement on the Role of the Chief Financial

Officer in Local Government and the CIPFA

Statement on the Role of the Head of Internal

Audit in Public Service Organisations

 Financial statements

 Financial Regulations and procedures

 Medium Term Financial Strategy

Operational Procedures

 Quarterly budget monitoring reports

 Annual budget and monitoring reports

 Annual Statement of Accounts

Principle G:

Implement good practice in transparency, reporting and audit to deliver effective accountability.

We will:

Evidenced by:

Implement good practice in transparency

 Write and communicate reports for the

public and other stakeholders in a fair,

balanced and understandable style

appropriate to the intended audience and

ensuring that they are easy to access and

interrogate

 Strike a balance between providing the

right amount of information to satisfy

transparency demands and enhance public

scrutiny while not being too onerous to

provide and for users to understand

Committee Oversight & Scrutiny:

 Statement of Community Involvement

 Annual Governance Statement

 Decision Records

 SDNPA website

Corporate Policies and Strategies:

 Communication and Engagement Strategy

 Standing Orders

 Scheme of delegation

 Complaints, Compliments and Comments

Policy

 Publication Scheme

 Access to information policy

Operational Procedures

 SDNPA Guiding Principles

 SDNPA Values and Competencies

 Visitor survey

 On-line South Downs Forum consultations

 Tracking spreadsheets used for key public

consultations

 Corporate Plan

 Annual review

Agenda Item 13 Report PR20/21-04 Appendix 2

 Financial statements

 Annual performance reporting

 Report template

 Webcasting of meetings

 Contributions to parish newsletters and

attendance by members at parish meetings /

agms

Implement good practice in reporting

 Report at least annually on performance,

value for money and stewardship of

resources to stakeholders in a timely and

understandable way

 Ensure members and senior management

own the results reported

 Ensure robust arrangements for assessing

the extent to which the principles

contained in this Framework have been

applied and publishing the results on this

assessment, including an action plan for

improvement and evidence to demonstrate

good governance (the annual governance

statement)

 Ensure that this Framework is applied to

jointly managed or shared service

organisations as appropriate

 Ensure the performance information that

accompanies the financial statements is

prepared on a consistent and timely basis

and the statements allow for comparison

with other, similar organisations

Committee Oversight & Scrutiny:

 S151 officer reporting requirements

 Annual Governance Statement

Corporate Policies and Strategies:

 Corporate Plan 2016-21

Operational Procedures

 National Park Authority performance

indicators reported quarterly or annually as

appropriate including corrective action as

necessary to relevant committees

 Report template

 Annual review

 Financial statements

 Summary versions of Corporate Plan and

Partnership Management Plan

Develop assurance and effective accountability

 Ensure that recommendations for

corrective action made by external audit

are acted upon

 Ensure an effective internal audit service

with direct access to members is in place,

providing assurance with regard to

governance arrangements and that

recommendations are acted upon

 Welcome peer challenge, reviews and

inspections from regulatory bodies and

implementing recommendations

 Gain assurance on risks associated with

delivering services through third parties and

that this is evidenced in the annual

governance statement

 Ensure that when working in partnership,

arrangements for accountability are clear

and the need for wider public accountability

has been recognised and met

Committee Oversight & Scrutiny:

 Audit Plan and reports to Policy and

Resources Committee

 Regular Attendance of internal and external

audit at Policy and Resources Committee

 Independent members appointed to Policy

and Resources Committee

 Annual Governance Statement

 Statement of community involvement

Corporate Policies and Strategies:

 Internal audit function delivered by contract

and meets PSIAS requirements

 Risk Management Policy

 SDNPA Risk Registers

Operational Procedures

 Audit actions are formally logged and

followed up and reported to committee

 OMT role in looking at audit

Agenda Item 13 Report PR20/21-04 Appendix 2

recommendations as part of service

improvement

Agenda Item 13 Report PR20/21-04 Appendix 2