Scope of Responsibility 1. Eastleigh Borough Council is responsible for ensuring that its business is

conducted in accordance with the law and proper standards, and that public money is safeguarded and properly accounted for, and used economically, efficiently and effectively. Eastleigh Borough Council also has a duty under the Local Government Act 1999 to make arrangements to secure continuous improvements in the way in which its functions are exercised, having regard to a combination of economy, efficiency and effectiveness.

2. In discharging this overall responsibility, Eastleigh Borough Council is

responsible for putting in place proper arrangements for the governance of its affairs, facilitating the effective exercise of its functions, and which includes arrangements for the management of risk.

3. The Council’s financial management arrangements conform to the

governance arrangements of the CIPFA Statement on the Role of the Chief Financial Officer in Local Government (2010).

4. Eastleigh Borough Council has completed the Corporate Governance

Compliance Checklist which is consistent with the principles of the CIPFA/SOLACE Framework Delivering Good Governance in Local Government. The Checklist is monitored by the Head of Legal and Democratic Services.

5. This statement explains how Eastleigh Borough Council has complied with the

its code of corporate governance and also meets the requirements of regulation 4(3) of the Accounts and Audit Regulations 2011, in relation to the publication of an annual governance statement.

The Purpose of the Governance Framework 6. The governance framework comprises the systems and processes, and

culture and values, by which the authority is directed and controlled and its activities through which it accounts to, engages with and leads the community. It enables the authority to monitor the achievement of its strategic objectives and to consider whether those objectives have led to the delivery of appropriate, cost-effective services.

7. 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. The system of internal control is based on an ongoing process designed to identify and prioritise the risks to the achievement of Eastleigh Borough Council's policies, aims and objectives, to evaluate the likelihood of those risks being realised

ANNUAL GOVERNANCE STATEMENT 2011/12

2

and the impact should they be realised, and to manage them efficiently, effectively and economically.

8. The governance framework has been in place at Eastleigh Borough Council for the year ended 31 March 2012 and up to the date of the approval of the 2011/2012 Statement of Accounts.

3

(The diagrams above detail the process of how the Annual Governance Statement is created)

The Governance Framework 9. Our governance framework derives from six core principles identified in a

2004 publication entitled The Good Governance Standard for Public Services. This was produced by the Independent Commission on Good Governance in Public Services - a commission set up by the Chartered Institute of Public Finance and Accountancy (CIPFA), and the Office of Public Management. The Commission utilised work done by, amongst others, Cadbury (1992), Nolan (1995) and CIPFA/SOLACE (2001). These principles were adapted for application to local authorities and published by CIPFA in 2007. The six core principles are:

9.1 focusing on the purpose of the authority and on outcomes for the

community and creating and implementing a vision for the local area;

9.2 members and officers working together to achieve a common purpose with clearly defined functions and roles;

4

9.3 promoting values for the authority and demonstrating the values of good governance through upholding high standards of conduct and behaviour;

9.4 taking informed and transparent decisions which are subject to effective scrutiny and managing risk;

9.5 developing the capacity and capability of members and officers to be effective; and

9.6 engaging with local people and other stakeholders to ensure robust public accountability.

10. The Council is undertaking the following in respect of these core principles:

10.1 Focusing on the purpose of the authority and on outcomes for the community and creating and implementing a vision for the local area

10.1.1 The Eastleigh Community Plan was originally developed by

Eastleigh Strategic Partnership and is made up of a number of elements:

10.1.1.1 A set of underpinning principles 10.1.1.2 A long term vision for the Borough 10.1.1.3 Eight themes which, in consultation with residents,

were identified as important priorities for the Borough

10.1.1.4 A set of theme-based aims and associated short term actions.

10.1.2 The Plan is currently being reviewed in parallel with the

development of the Core Strategy of the Local Development Framework. In addition, the Council continues to develop protocols to develop and enhance its partnership working eg through PUSH, HATs and so on.

10.1.3 The Council's Corporate Strategy sets out our aims and key

priorities for the area and the actions we propose to take to achieve them. It provides the focus for the development of our service plans and our action plans for staff - the people who ultimately put the strategy into action.

10.1.4 The strategy is driven by our primary purpose to improve the

quality of life for all local people. Consequently, the wide range of initiatives included in the strategy has evolved from work with many people:

� Our communities � Our partners � Our staff � Our elected councillors

5

10.1.5 The Cabinet receives an annual medium term financial strategy covering a four-year period, which is used to set initial parameters for the coming budget process.

10.1.6 We are committed to encourage all members of the local communities to contribute to, and participate in, the work of the Council. We regularly seek the views of Eastleigh Borough Residents through "Viewpoint", a programme of surveys conducted by the Council using its Citizens' Panel, which comprises 800 to 1,000 residents on rotational basis.

10.1.7 The diagram below sets out the various links in the process

of establishing and monitoring the achievements of the Council's ambitions, and shows the links between the Community and Council plans which then feed into, and are informed by, service plans, service targets and individual employees via specific areas of responsibility allocated to them:

The Council has a Performance Management Framework which is constantly reviewed. The Council utilises a dedicated IT system (QPR) to record, monitor and report upon performance management information. The system is driven by the Corporate Strategy which focuses attention on Council ambitions, priorities and the targets set in the Local Area Agreement (this sets out the priorities for a local area agreed between central government, the Council and other key partners). This is cascaded through Unit Business Plans, individual employee appraisals and action plans.

10.1.8 Management Team, the Cabinet and Scrutiny Panels

monitor and scrutinise progress against targets and performance in priority areas affecting relevant service areas, and consider and approve or recommend corrective action where necessary. This reporting is undertaken using

6

a traffic light system so as to make interpretation of the results easier.

10.1.9 The reporting process is under constant review in order to develop its maximum potential, and we are continuing to explore ways in which the financial information can be more closely linked to the service performance information.

10.1.10 The Council maintains an objective and professional

relationship with external auditors and statutory inspectors, as evidenced by the Annual Audit Letter.

10.1.11 Through reviews by external auditors, external agencies,

Internal Audit, and internal review teams, the Council constantly seeks ways of ensuring the economical, effective and efficient use of resources, and for securing continuous improvement in the way in which its functions are exercised.

10.1.12 The Council's Corporate Procurement Strategy, approved by

Cabinet in October 2006, and which was reviewed in June 2010, provides a consistent strategic framework within which to undertake and continuously develop procurement to deliver the Council's corporate objectives, to improve performance and deliver efficiencies. The Strategy encompasses the policy objectives of the National Procurement Strategy and adapts and prioritises them to meet the Council's local context. The Strategy recognises that the Council cannot achieve its objectives alone and emphasises the need to work in collaboration with public, private, social enterprise and voluntary sector partners. A core theme throughout the Strategy is the Council's commitment to social, economic and environmental sustainability. This is a priority throughout the whole procurement life cycle.

10.1.13 The Council reviewed its financial procedural rules in July

2011.

10.1.14 Risk Management is monitored by the Strategic Risk Management Group (SRMG), which meets approximately every quarter. The Group reviews risk arrangements and advises the Audit and Resources Committee on risk issues within the Council and on existing and planned risk controls.

10.1.15 Risks are reported by use of risk registers (also known as

risk matrices). Each unit is required to update its own register on a quarterly basis as part of the performance management process. In addition, a corporate register exists to record high level risks which affect the work of several units or the whole Council.

7

10.1.16 A revised Risk Management User Guide was published in November 2011.

10.1.17 In December 2007, a new Risk Management Framework was produced which included within it a revised policy, an implementation strategy, new risk management processes, a schedule of responsibilities and details of methods to adopt for effective risk management. The document also included revised terms of reference for the SRMG, and was approved by the Resources Scrutiny Panel in January 2008. This Framework is planned to be updated in 2012/13.

10.2 Members and Officers working together to achieve a common purpose

with clearly defined functions

10.2.1 The Council has adopted a Constitution which sets out how the Council operates, how decisions are made and the procedures which are followed to ensure these are efficient, transparent and accountable to local people. The Constitution reflects the "Leader and Cabinet" model following the Local Government Act 2000.

10.2.2 The main decision-making committee is the Cabinet, which is

responsible for all executive matters as defined by law and operates within the budget and policy framework approved annually by Council. Meetings are open to the public except where personal or confidential matters are being discussed. In addition, senior and other officers of the Council can make decisions under delegated authority - again the extent of these delegations is set out in the Constitution. The Council publishes a forward plan which contains details of key decisions to be made by the Cabinet and, occasionally, other committees. Each Cabinet member has a specific portfolio of responsibilities requiring them to work closely with senior and other employees so as to achieve the Council's ambitions. The Council has not adopted individual decision-making powers for the portfolio holders, with a couple of exceptions as detailed in the Constitution.

10.2.3 Management Team meets on a regular basis to develop

policy issues commensurate with the Council's aims, objectives, and priorities. Management Team also considers other internal control issues, including risk management, performance management, compliances, efficiency and value for money, and financial management. Management Team meets with Cabinet members on a monthly basis ("Management Liaison") to review progress in achieving the Council's ambitions, priorities for action, performance management and forward planning for major issues.

8

10.2.4 The management scheme of delegation was reviewed in 2008, and republished as Management Responsibilities and Delegation.

10.2.5 The Council's Unit Heads receive a fortnightly briefing from a member of Management Team (every other Monday morning) on key issues happening in and around the Council. Additionally, there is a more interactive monthly "Senior Managers Group" meeting where two or three significant topics of current concern to the Council can be explored in more depth and shared approaches agreed. The nature of Senior Managers Group means that every Unit gets involved in corporate and strategic issues, and has ownership of what is decided.

10.2.6 In addition there are specific groups established to progress

issues on a corporate basis.

10.2.7 The most significant are the programme boards which oversee the implementation of a portfolio of linked projects. Programme management has been reviewed and strengthened in 2008. The documentation for programme and project management can be found internally on the intranet at http://intranet2/immediacy-2928 and http://intranet2/immediacy-2824 respectively, or externally on request from Vince Johnston, Performance and Development Manager (vince.johnston@eastleigh.gov.uk, 023 8068 8077)

10.2.8 Other specific groups include:

GROUP PRINCIPAL OBJECTIVES

Customer Service Centre (CSC) Project Board

� To progress the development of the CSC in terms of service areas covered, so as to enhance the customer experience and develop greater

consistency of service provision.

ICT Security Group � The purpose of the Group is to minimise risk to the Council, its customers and partner agencies from accidental or intentional loss

or misuse of data or misuse of IT systems.

Equalities and Diversity Working Group

� Development of policies, practices and procedures in relation to:

� Service planning and delivery

9

GROUP PRINCIPAL OBJECTIVES

� Employment issues

� Ensuring effective communication

� Development and monitoring of service equality action plans

Procurement Executive Group

� Review, implement and monitor the Council's procurement rules and procedures

� Agree variations to Contract Standing Orders

� Oversee:

� The introduction of e-procurement

� The procurement strategy

� The contracts register

� The procurement guidance

� Advise on procurement matters, identify and promote improvements and support the procurement process generally

Strategic Risk

Management Group

� To raise the level of

management awareness and accountability for service risks identified by the Group

� To develop risk management as part of the culture of the Council

� To provide a mechanism for risk management issues to be discussed and disseminated to all areas of the Council

� To prioritise and accelerate the risk management strategy recommendations which are critical to the achievement of corporate objectives

� To advise the Audit and Resources Committee on risk issues within the Council and on existing and planned risk controls

Property Transactions

Evaluation Group

� Evaluates/considers property

transactions and monitoring

Treasury Management � Sets strategies

10

GROUP PRINCIPAL OBJECTIVES

Group � Conducts the treasury management portfolio

10.2.9 The Council has also adopted a number of codes and protocols that will govern both member and officer activities. These are: 10.2.9.1 Members Code of Conduct 10.2.9.2 Protocol on Councillor/Staff Relations 10.2.9.3 Code of Conduct for Members and Officers

regarding planning matters 10.2.9.4 Members' Declarations of Interest 10.2.9.5 Member/Officer relations 10.2.9.6 Gifts and hospitality

10.2.10 This is subject to change under the Localism Act, including issues around new disclosable interests and the likelihood of a revised Code of Conduct.

10.3 Promoting values for the authority and demonstrating the values of

good governance through upholding high standards of conduct and behaviour

10.3.1 The Council has designated the Head of Legal and

Democratic Services as the Monitoring Officer. It is the function of the Monitoring Officer to ensure compliance with established policies, procedures, laws and regulations. After consulting the Chief Executive he will report to the Council if he considers that any proposal, decision or omission would give rise to unlawfulness or maladministration. Such a report will have the effect of stopping the proposal or decision implemented until the report has been considered.

10.3.2 The Council ensures that its services are delivered by

trained, competent and experienced people. All posts have a detailed Role Profile and Person Specification. Training needs are identified on an on-going basis (eg, weekly, 1:1 meetings) and also through the Annual Individual Personal Review.

10.3.3 The Council had previously achieved re-accreditation under

the Investors in People (IIP) Standard, which is a quality framework to ensure that the Council's employees have the right knowledge, skills and motivation to work effectively. The Council has decided not to pursue further accreditation of IIP.

10.3.4 The Development Control Unit has achieved accreditation

under the Charter Mark standard, which is the Government's

11

national standard for excellence in customer service. The Council, led by its Sustainability Team, was awarded Beacon Council status in 2008 for "Tackling Climate Change".

10.3.5 The financial management of the Authority is conducted in accordance with the financial rules set out in Parts 2 and 4 of the Constitution and with Financial Regulations. The Council has designated a specific Corporate Director as Chief Finance Officer in accordance with Section 151 of the Local Government Act 1972. The Council has in place a four-year Financial Strategy, updated annually, to support the medium-term aims of the Corporate Strategy.

10.3.6 The Council maintains an Internal Audit section, which

operates to the standards set out in the Code of Practice for Internal Audit in Local Government in the UK. This section is now being operated under a partnership arrangement with Gosport Borough Council.

10.3.7 Individual Units have produced Business Plans which are

updated each year so as to incorporate the Corporate Strategy requirements into service activities, and so that services know what they are required to do to achieve the Council's priorities and ambitions. These plans also identify any governance impact.

10.4 Taking informed and transparent decisions which are subject to

effective scrutiny and managing risk

10.4.1 The Council has several committees which carry out regulatory or scrutiny functions. Currently some minor revisions to the committee structure are being worked up and implemented, the implications of which are as follows:

10.4.1.1 the five Local Area Committees will remain in

place to determine planning applications and related matters and to take all other decisions at a local level whenever this can be done (eg, in respect of traffic schemes, community initiatives, youth issues);

10.4.1.2 an Administration Committee which promotes,

monitors and enforces probity and high ethical standards amongst the Council's Members, and this extends to having the same responsibility for all town and parish councils with the Borough; as well as having responsibility for regulatory matters which cannot by law be the responsibility of the Cabinet (eg, taxi licensing and electoral matters);

10.4.1.3 an Audit and Resources Committee to provide

assurance about the adequacy of internal controls, financial accounting and reporting arrangements,

12

and that effective risk management is in place. Its work is intended to enhance public trust in the corporate and financial governance of the Council;

10.4.1.4 a Licensing Committee, which monitors and

reviews the effectiveness of the Council's licensing policy and procedures, in respect of the Licensing Act 2003 and Gambling Act 2005;

10.4.1.5 a scrutiny panel which reviews and scrutinises

decisions made or actions taken in connection with the discharge of any of the Council's functions. Task and Finish Groups can be established by the Panel to undertake specific pieces of work including policy development and looking at improved ways of working.

10.5 Developing the capacity and capability of members and officers to be

effective

10.5.1 Since 2007/08, we have offered timetabled monthly Member Training sessions covering a wide range of subjects from skills development (eg, chairing skills, time and case management, personal safety and public speaking) to need-to-know subjects (eg, development control, finance and Code of Conduct and Licensing). We have also sponsored (a) two Members to undertake the new Postgraduate Certificate in Local Governance being offered by South Bank University and South East Employers; and (b) one Member to undertake an MA in Public Administration at the University of Portsmouth.

10.5.2 As part of their annual allowance members receive an

amount for training which is only released once all mandatory training courses set for the year have been attended. However, this payment has been frozen for two years as part of the Council’s budget saving and efficiency reviews.

10.5.3 All staff receive an annual Individual Personal Review with

their Line Manager. This serves as a review of achievements, addresses any areas of concern and provides an opportunity to consider future objectives and to devise a Personal Development Plan. Training and support needs are considered at these meetings.

10.5.4 An electronic document and records management system

was purchased in 2008, and which is now being rolled out across the Council. This will enable it to better locate and manage its stored information and data, plus other knowledge material. This is as part of the coherent, co-ordinated knowledge and information management strategy designed to enhance the accessibility, value and usefulness

13

of the corporate resource that information, data and knowledge represents.

10.6 Engaging with local people and other stakeholders to ensure robust

public accountability

10.6.1 The Council actively encourages public participation at all its meetings with a 15 minute "open" session at the start, so that issues of concern that fall within the remit of that meeting can be aired. There is then the opportunity for the public to ask questions, give support to or raise concern on specific agenda items as they are dealt with. In addition, a community engagement strategy is being developed and the Council’s website has been updated to include community issues.

10.6.2 The Local Area Committee structure means that the Council

can take decisions at a local level. The meetings are held in the areas they cover and public attendance is usually higher than if such meetings were all held in the Civic Offices.

10.6.3 Much of the work the Council undertakes is done with public

consultation at a level appropriate to the situation e.g. when the Council reviewed its polling places and districts at the end of 2010. The Council has a proven track record of working well in partnership with the parish and town councils in the area.

10.6.4 The Council also produces a number of very popular

publications that help and assist residents. These include the pocket-sized A-Z of Council Services and the Street Guide. Residents can also receive SMS text alerts to advise them on Council initiatives and local activities. The Council's website is updated regularly and contains a wealth of information on the Council and work in which it is involved.

10.6.5 The Council is also transparent in the way it offers a right of

recourse to staff and the public. The Council's Whistle-blowing Procedure and formal Complaints Procedure are attached as Appendices A and B respectively.

Review of Effectiveness 11. The Council has responsibility for conducting, at least annually, a review of

the effectiveness its governance framework including the system of internal control.

12. As a result of this review, the Council’s timetable for preparing future Annual

Governance Statements (AGS) is as follows:

January Commence updating the AGS, Local Code of Corporate

14

Governance and the Governance Compliance Checklist

March - June Production of an updated draft AGS, and circulation for comments by senior managers, following the circulation and completion of the Corporate Governance Compliance Checklist.

July Consideration of, and input into, this document by Management Team, followed by the Audit and Resources Committee.

September Finalisation and approval by the Audit and Resources Committee of the AGS and Code.

13. The next paragraphs give more detail regarding the actual review process,

and actions undertaken during the current period.

14. Following an investigation by the Information Commissioners Office (ICO) in April 2011 regarding the content of the Council’s “Potential Violent Persons List”, the Chief Executive signed an undertaking to ensure improved management, security and overview in respect of this list. All details of the undertaking are available through the ICO website (reference ENFO388566). New and improved procedures and controls have been fully implemented.

15. The review of effectiveness is informed by the work of the managers within

the Council who have responsibility for development and maintenance of the governance environment, the Head of Internal Audit's annual report and also by comments made by the external auditors and other review agencies and inspectorates.

15

16. The process that has been applied in maintaining and reviewing the

effectiveness of the governance framework includes:

16.1 The Head of Legal and Democratic Services (the "Monitoring Officer") has a duty to monitor and review the operation of the Constitution to ensure its aims and principles are given full effect. The Council reviews the Constitution regularly to incorporate any necessary changes.

16.2 Members can "call-in" a decision (also known as a "Minority Order")

which has been made but not yet implemented, to enable it to consider whether the decision is appropriate. This is set out in detail in Paragraphs 23.2 to 23.6 of Part 4 of the Constitution, which can be found on the Council’s website.

16.3 Following the demise of Standards for England in early 2012, and the

staggered implementation of the Localism Act, the Council is, at the time of writing, drawing up a new Code of Conduct and transferring the responsibility for it (including the consideration of related complaints) to the Administration Committee. This proposed way forward will be presented to Council at its Annual Meeting in May 2012.

16.4 Internal Audit is responsible for monitoring the quality and effectiveness

of systems of internal control. A risk model is used to formulate a three-year plan, from which the annual workload is identified. The reporting process for Internal Audit requires a report of each audit to be submitted to the relevant service manager and/or chief officer. The report includes recommendations for improvements that are included within an action plan (and regarded as high, medium or low priority) and requires agreement by service managers and/or chief officers. The process includes follow-up reviews of recommendations to ensure that they are acted upon, usually within six months.

16.5 Full details of the Audit and Resources Committee and the business

conducted can be found on the Council website under the committee meetings section.

Governance Issues 17. The following governance issues were identified during 2011/12 as a result of

the review of arrangements and by the work of external and internal audit.

NO ISSUE ACTION / PROGRESS TO DATE

To ensure Internal Audit continue to support the business process re-engineering timetable and sign off new systems as developed by the business analyst and respective

To ensure dedicated Internal Audit resource availability.

16

NO ISSUE ACTION / PROGRESS TO DATE

service heads.

As the workforce begins to contract both systems/procedures have been refined and the controls around these areas have and will require additional management/audit scrutiny.

Internal Audit have reflected these matters in its risk profiling for the 2012/13 audit plan.

The Council should continue to review the affordability and financing of its extensive capital programme including potential risks posed by changing economic circumstances.

Close scrutiny by both internal and external audit in these areas.

18. The following are governance issues for 2012/13, again as a result of the

review of arrangements and by the work of external and internal audit.

NO ISSUE ACTION/PROGRESS TO DATE

Internal Audit continue their support to the business process re-engineering timetable and sign off new systems as developed by the business analyst and respective service heads.

To continue with dedicated Internal Audit resource on key financial process updates.

Management need to monitor their control environment as the pace of organisational change increases throughout the Council.

Internal Audit, in support with management will review key areas of the Council in which staff turnover may affect the current operating controls.

The Council need to continue its vigilance against an increased risk of fraud from external parties.

Ensure all staff are made aware of the potential threat from external parties with frequent reminders and alerts regarding the current fraud related risks.

Management to re-assess the procedures and controls around the ICO investigation of 2010/11.

Internal Audit review timetabled for 2012/13.

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

17

effectiveness and will monitor their implementation and operation as part of our next annual review. The Council takes Governance very seriously and is constantly reviewing and improving procedures to ensure they are working efficiently and effectively. However, the Council wishes to record in writing that the effort that goes into assessing this in the prescriptive way set out by legislation in the compilation of the Annual Governance Statement and supporting documentation is not commensurate with the benefits obtained.

Signed: …………………………… …………………………… Councillor Keith House Bernie Topham Leader of the Council Chief Executive Date: Date:

18

Appendix A

Whistle-blowing - Guidance to Staff (extract from Staff Handbook) 146. The individual who raised the concern will be advised, in writing, subject to the

constraints of confidentiality and law, of the outcome of the further investigations. They will generally advise the whistleblower whether the information has been relevant to the performance of their (regulatory) functions.

147. Scope: This guidance applies to all members of the workforce who have some

contractual obligations to the Council. This includes agency/contract staff. 148. Nolan Proposal: there is a clear statement that malpractice is taken seriously

in the organisation and an indication of the sorts of matters regarded as malpractice. The requirement of the Public Interest Disclosure Act 1998 must be contained in any policy advice to staff together with the scope of the Act. Response: The Council is committed to increasing awareness of the possibility of fraud and corruption and a policy statement was approved and circulated to all Unit Heads in June 1996. This included a code of practice which outlined responsibilities and definitions of the type of malpractice covered by the code. This has been enhanced by the requirements of the Public Interest Disclosure Act 1998. This covers any employee concern about malpractice, which in this context includes a reasonable belief that one or more of the following has occurred or is likely to occur. Staff should familiarise themselves with this statement.

149. An employee's concerns about malpractices may in this context include a

reasonable belief that one or more of the following has occurred or is likely to occur:

� conduct which is a criminal offence or a breach of law � disclosures related to miscarriages of justice � dangerous procedures risking health and safety, including risks to the

public as well as employees � damage to the environment � bribery � the unauthorised use of public funds � fraud and corruption � sexual or physical abuse of clients or � other unethical conduct (eg bullying)

150. Nolan Proposal: respect for the confidentiality of staff raising concerns if they

wish and the opportunity to raise concerns outside the line management structure.

Response: Information from staff wishing to raise concerns involving threats to the organisation or malpractice will be treated seriously and in confidence, in so far as a thorough investigation of the complaint allows. Any member of

19

staff who feels that he or she cannot raise such issues with their supervisor or manager can, in the first instance, make a confidential approach to:

� The Head of Internal Audit (Ext: 8019) or � Head of Legal and Democratic Services (Ext: 8103) or � Chief Executive (Ext: 8101)

151. All concerns will be listened to and investigated and recorded. Findings will

be relayed back to the member of staff within 10 working days. 152. If staff believe that none of the above officers could remain impartial in their

investigations, then they have recourse to members of the Council. The Council would not wish to restrict such access.

153. Nolan Proposal: penalties for making false and malicious allegations are to be

specified.

Response: To gain protection, the member of staff making the disclosures must be acting in good faith throughout and must reasonably believe there has been malpractice and should not be motivated by personal gain. Staff who are found to have made a deliberately false allegation arising from malice or any other motive, may be subject to appropriate disciplinary or other management action in accordance with advice from the Head of Personnel.

154. Nolan Proposal: an indication of the proper way in which concerns may be

raised outside of the organisation if necessary.

Response: If staff believe that the threat to the Council is of such significance, that it would not be investigated objectively by any of the above officers or Members, then they have recourse to the External Auditor for Eastleigh Borough Council. Concerns should be addressed to: The Audit Commission, 2nd Floor Collins House, Bishopstoke Road, Eastleigh. Hampshire. SO50 6AD; telephone: 0844 798 4662.

155. Such concerns will be listened to, treated in confidence and investigated

independently. Findings will be relayed back to the member of staff. 156. Outside of the scope of paragraph 146, staff can raise any issues of concern

under the grievance or harassment policy.

20

Appendix B

Eastleigh Borough Council - Formal Complaints Procedure We are always keen to provide the best possible service for our customers. However sometimes this may not be achieved, so we have set up a 3-step complaints procedure (monitored by our Customer Service Team) to make it easier for you to let us know your concerns.

This procedure will help to ensure that your complaint is fully investigated and is dealt with fairly and as quickly as possible. We welcome complaints as an opportunity to learn and ensure we take the right action to improve our services.

A complaint is an expression of dissatisfaction about an action or lack of action, or about the standard of service. It is not a request for initial action or, for example, to report a missed bin.

Some of the reasons you may wish to complain are where:

• we have given inaccurate, misleading or confusing advice

• we have been slow in giving advice or information

• we have not followed an agreed procedure or have failed to meet our standards

• we have failed, or have been slow, to respond to a request for action

• a member of staff has been discourteous in any way

• you feel discriminated against for reasons of race, disability or for another reason

Our complaints procedure is designed to be as comprehensive as possible, but it is recognised that certain types of complaints are not intended to be dealt with by this method and are more appropriately dealt with through other channels.

Our complaints procedure is not an appropriate means of pursuing –

• dissatisfaction with politically-determined policy • the conduct of Borough, Parish, or Town Councillors (which is a matter for the Standards Committee) • matters which are subject to litigation and/or have already been before a court/tribunal • matters for which statutory appeal bodies or tribunals have been established • matters where the customer is making a claim against, or seeking compensation from, the Council.

Our complaints procedure The Council operates a 3-level procedure to make it easier for you to let us know your concerns and to ensure that your complaint is fully investigated and dealt with as fairly and as quickly as possible.

Where the Council has a specific review process – for example, with housing applications and benefit claims – the complaints procedure will not normally apply until after the review process has been completed.

21

Level 1 To begin with, please contact the Customer Service Team – by letter, e-mail, via the website, by phone or by personal visit. They will liaise with the relevant unit(s) and provide you with a full written response.

Level 2 If you are not happy with the outcome at level 1, you may take your complaint to the next level.

Please put your complaint in writing (by letter, by e-mail or via our website), giving as much information as possible. The Customer Service Team will ensure that a senior manager reviews your case.

Level 3 The majority of complaints will be resolved at level 1 or level 2, but if you are still not happy with the response(s) you have received, you may progress your complaint to level 3.

Please write to the Customer Service Team – electronically if you prefer customer.service@eastleigh.gov.uk – to request that your concerns be investigated by a member of Management Team.

Contact Us Customer Service Team Eastleigh Borough Council, Civic Offices, Leigh Road Eastleigh Hampshire SO5O 9YN Tel: 023 8068 8074 Fax: 023 8062 9288 E-mail: customer.service@eastleigh.gov.uk

Response times We will acknowledge receipt of your complaint within 3 working days and will aim to give a full response within 15 working days – but if the matter is likely to take longer to investigate, we will keep you informed.

The Local Government Ombudsman The Local Government Ombudsman (LGO) is appointed to investigate complaints against local authorities and is independent of all government departments, councils and politicians.

If you are not satisfied with the Council’s response to your complaint, or if we have not dealt with it in a timely manner, you may refer your complaint to the LGO.

The LGO will not investigate your complaint unless the Council has already had a reasonable opportunity to look into it, so you must follow all the steps outlined in this guide (or, in exceptional circumstances, to at least level 2) before taking your complaint to the LGO.

The LGO has produced a booklet giving further guidance: ‘Complained to the council? Still not satisfied?’ which is available from the Council, libraries, Citizens’ Advice Bureaux, or from the LGO’s office

C:\Documents and Settings\martdaws\Local Settings\Temporary Internet Files\OLK7\Annual Statement of Governance - 2012v3.doc

22

LGO Contact details Local Government Ombudsman LGO Advice Team PO Box 4771 Coventry CV4 0EH

Tel: 0300 061 0614 Fax: 024 7682 0001 E-mail: advice@lgo.org.uk Web: www.lgo.org.uk Text: ‘call back’ to 0762 480 4299