(public pack)agenda document for erw joint committee, 01 ... · mr. nick williams city and county...

FRIDAY, 24 NOVEMBER 2017

ERW JOINT COMMITTEEY LLWYFAN, COLLEGE ROAD, CARMARTHEN AT 2.00 PM,

ON FRIDAY, 1ST DECEMBER, 2017

A G E N D A

1. APOLOGIES FOR ABSENCE.

2. DECLARATIONS OF PERSONAL INTERESTS.

3. TO SIGN AS A CORRECT RECORD THE MINUTES OF THE MEETING OF THE JOINT COMMITTEE HELD ON THE 21ST SEPTEMBER 2017.

3 - 8

4. RISK REGISTER 9 - 26

5. LETTER FROM SCRUTINY. 27 - 30

6. ERW FINANCIAL UPDATE - QUARTER 2 2017-18. 31 - 46

7. ESTYN BRIEFING. 47 - 50

8. ERW CODE OF CORPORATE GOVERNANCE. 51 - 174

9. ERW REVIEW (VERBAL).

10. ERW CONSORTIUM INTERNAL AUDIT WORK PROGRAMME 2017-18.

175 - 178

11. OFFICE SPACE. 179 - 184

12. ERW LEAD CHIEF EXECUTIVE AND ERW LEAD DIRECTOR. 185 - 186

13. ANY OTHER ITEMS OF BUSINESS THAT BY REASONS OF SPECIAL CIRCUMSTANCES THE CHAIR DECIDES SHOULD BE CONSIDERED AS A MATTER OF URGENCY PURSUANT TO SECTION 100(4)(B) OF THE LOCAL GOVERNMENT ACT 1972

Document Pack

ERW Joint CommitteeThursday 21st September 2017

Y Llwyfan, College Road, Carmarthen 2.30 - 4.30 pm

PRESENT: Councillor Ellen ap Gwynn [Chair] Ceredigion County CouncilCouncillor Emlyn Dole Carmarthenshire County CouncilCouncillor David Simpson Pembrokeshire County CouncilCouncillor Jennifer Raynor City and County of SwanseaCouncillor Peter Rees Neath Port Talbot County Borough CouncilMr Mark James Lead Chief Executive – ERWMr. Eifion Evans Ceredigion County CouncilMr Ian Westley Pembrokeshire County CouncilMr. Steven Phillips Neath Port Talbot County Borough CouncilMs Betsan O’Connor Managing Director - ERWMr Jonathan Haswell

Ms Elin Prysor

Pembrokeshire County Council (ERW S151 Officer)Ceredigion County Council (ERW Monitoring Officer)

Mr Ian BuddMr. Barry Rees

Powys County CouncilCeredigion County Council

Mr. Nick Williams City and County of SwanseaMs Jo Hendy Pembrokeshire County Council

(ERW Head of Internal Audit)Mr Ian Eynon Pembrokeshire County Council

(ERW Deputy S151 Officer)Mr Chris Llewellyn WLGA

Mr. R. Harries WAO

Ms. Lucy Herman WAO

Mr Martin S. Davies Carmarthenshire County Council (Democratic Services)

1. APOLOGIES FOR ABSENCEApologies for absence were received from Councillor Rob Stewart (City and County of Swansea), Councillor Rosemarie Harris (Powys County Council), Mr.

Agenda Item 3

Jeremy Patterson (Powys County Council), Mr Aled Evans (Neath Port Talbot County Borough Council) and Ms. Chris Sivers (City and County of Swansea).

2. DECLARATIONS OF PERSONAL INTERESTSThere were no declarations of personal interests.

3. MINUTES - 17TH JULY 2017

AGREED that the minutes of the meeting held on 17th July 2017 be signed as a correct record.

4. ERW STATEMENT OF ACCOUNTS FOR 2016-17The Chair welcomed to the meeting Mr. Richard Harries and Ms. Lucy Herman (Wales Audit Office) who had been invited to attend the Joint Committee to present the WAO Audit of Financial Statements and Opinion Report [ISA 260] for ERW’s consideration alongside its review of the Statement of Accounts for 2016-17.

The Deputy S151 Officer advised that the Statement of Accounts had been prepared in accordance with the Code of Practice on Local Authority Accounting and largely mirrored the outturn report to the Joint Committee in February 2017. Whilst there was still uncertainty regarding future local authority funding there were no significant concerns in terms of internal controls.

Mr Richard Harries presented the WAO Audit of Financial Statements and Opinion Report [ISA 260] and advised that it was the Auditor General for Wales’ intention to issue an unqualified audit report on ERW’s financial statements following ERW providing the Wales Audit Office with a Letter of Representation based on that set out in Appendix 1 to the report. He also advised that Appendix 4 to the report set out five recommendations for ERW’s consideration. With regard to the recommendation emanating from the Accounts closure process in particular the WAO had noted that the lateness of receiving Welsh Government grants was affecting the timelines, and ability, of ERW to spend and allocate funding. This consequently impacted on the region’s capacity to respond to queries by the WAO on accounts.

AGREED

4.1 to approve ERW’s 2016-17 Statement of Accounts for signing by the ERW s151 Officer and Chair of the Joint Committee;

4.2 to receive the WAO Audit of Financial Statements and Opinion Report [ISA 260].

5. ERW CONSORTIUM ANNUAL GOVERNANCE STATEMENT 2016-17 The Head of Internal Audit presented the Annual Governance Statement 2016-17 for the ERW Consortium. She reported that no Significant Governance Issues had been identified though the statement had identified five Priorities for Improvement.

AGREED that the 2016-17 Annual Governance Statement for the ERW Consortium be approved.

6. REGIONAL CODE OF CORPORATE GOVERNANCEThe Managing Director presented a report on the Regional Code of Corporate Governance. Concerns were expressed over some of the wording e.g. the term ‘trade-off’ where the word ‘balance’ may be more appropriate, and also how the requirements of the Well-being of Future Generations (Wales) Act 2015 would be addressed. The issue of Performance Management consistency across the 6 local authorities was also raised. It was suggested that further discussions between the Managing Director and six Directors of Education were needed on the report prior to any further consideration by the Joint Committee.

AGREED that consideration of the report be deferred until the next meeting pending further discussion and analysis by the six Directors of Education.

7. REVIEW OF ERW FINANCIAL ARRANGEMENTS / CAPACITY OF CHALLENGE ADVISERS The Lead Chief Executive presented, following requests at previous meetings, reports on a proposed review of ERW Financial arrangements and the capacity of the region’s Challenge Adviser to enable the region to develop and evolve further and build on its strengths. He also circulated draft recommendations for the Joint Committee to consider which involved the establishment of a Programme Team to take the aforementioned matters forward on the basis that the time was now opportune to review how ERW was financed and how it functioned. The Programme Team would submit its findings back to the Joint Committee with a view to consultation then taking place with the constituent local authorities. Any final decision would be a matter for the Joint Committee.Members reiterated previously expressed views that a review was necessary and reference was made to the fact that some schools had sought support from outside the ERW region. Barry Rees commented that the Directors of Education were keen to be involved with the review which would hopefully lead to a model fit for each of the local authorities. He added that ERW should not be viewed as being exempt from austerity cuts. Steven Phillips stated that proposals would need to be formulated by November at the latest if they were to tie-in with the budget processes of the local authorities. Responding to Barry Rees’s comments the Lead Chief Executive advised the Joint Committee that efficiencies would need to be considered as part of the review. He added that Welsh Government wished to co-construct a new model with ERW and this was therefore an opportunity to help shape that model. He anticipated that the Directors of Education would lead on this and present a model they all supported. It was also possible that funding from Welsh Government would be forthcoming to undertake the review. Chris Llewelyn stated that what was being proposed was in alignment with what was happening nationally. AGREED:

7.1 To instruct the Lead Chief Executive, Section 151 officer and Managing Director to establish a Programme Team with suitable governance structures and with access to the appropriate financial and HR information to:

clarify, agree and document the respective roles and accountabilities of the LAs and region in relation to all School Improvement functions and services;

manage the project of clarifying, scoping and shaping the accountability arrangements for the employment and deployment of school improvement staff including Challenge Advisers to enable the consortium to deliver a single effective school improvement service and to comply fully with WG requirements;

review financial arrangements to enable the consortium to deliver a single effective school improvement service and to comply fully with WG requirements;

develop and cost an organisational delivery model to meet identified priorities, supported by a comprehensive and costed implementation plan with timescales;

identify the ERW central team with sufficient strategic and operating capacity.

establish clear plans to secure and maintain effective communication with and engagement of the six Directors of Education, Head teachers throughout the process and secure consistent implementation of the Business Plan.

bringing together the work of evolving the region with all grants by April 2018 and other resources, including staff from September 2018;

review Hub arrangements;

7.2 That the Programme Team should include

Lead Chief Executive (Chair and Programme Lead); Section 151 officer; Monitoring officer; Managing Director; Director Representatives x6; HR representative;

7.3 That the Programme Team be instructed to report back to the Joint

Committee with a set of proposals which can then be considered and agreed in order to consult with constituent Councils, before any final decision is made by the Joint Committee.

8 G.C.S.E. RESULTSThe Joint Committee considered a report which gave an update on changes to performance measures and provided information on pupil performance in ERW and across Wales. It also detailed key headline information with regard to changes to qualifications and performance measures. Performance in ERW, whilst better than in other regions, had declined in all key indicators and in the Level 2 inclusive threshold it had declined by 8 percentage points and was lower than performance in 2014. Barry Rees stated that the results were still being analysed and a further report would be forthcoming in due course. In response to concerns expressed by

Cllr. Peter Rees he acknowledged that talks with Welsh Government were needed on the issue of early entries. Chris Llewelyn stated that the WLGA and representatives of the 22 welsh local authorities were scheduled to meet with Kirsty Williams AM, Cabinet Secretary for Education, in November to discuss such matters. Mark James emphasised that this year’s results would be the base-line for next year.

AGREED that the report be received.

9. ANY OTHER ITEMS OF BUSINESSThe Lead Chief Executive commented that he and Chris Llewellyn had recently attended a positive meeting with Welsh Government officials regarding the funding of the Band B of the 21st Century Schools Programme and it was likely that local authorities would be able to plan on the basis of their submissions.

________________________ __________________CHAIR DATE

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ERW JOINT COMMITTEE

1 DECEMBER 2017

RISK REGISTERPurpose: To inform the Joint Committee of systemic risks facing the ERW ConsortiumRECOMMENDATIONS / KEY DECISIONS REQUIRED:That the Joint Committee receive the reportREASONS: Timely risk assessment and mitigation

Report Author:

Osian Evans

Designation:

Executive Officer

Tel No. 01267 24 5640

E. Mail: [email protected]

Agenda Item 4

mailto:[email protected]

EXECUTIVE SUMMARYERW JOINT COMMITTEE

1 DECEMBER 2017

RISK REGISTER

BRIEF SUMMARY OF PURPOSE OF REPORT

Should anyone need to view previous entries in these fields, historical quarterly versions of the Risk Register are available on the ERW Intranet for officers / staff with the relevant permissions. Additionally, the Risk Register is viewable as an Executive Board Agenda Item on the ERW Website.

The Estyn report will be published mid-December and the risk register will be amended following publication.

DETAILED REPORT ATTACHED? YES

IMPLICATIONSFinance Risk Management Issues YES YES

1. FinanceThere is a finance page of the Risk Register that notes all risks pertaining to financial matters

2. Risk ManagementThe risk register is the primary mechanism for capturing ERW's systemic risks and managing them, and is therefore inherently linked to Risk Management.

CONSULTATIONSN/A

Section 100D Local Government Act, 1972 – Access to InformationList of Background Papers used in the preparation of this report:

THERE ARE NONE

23/11/2017

Probability Impact Risk Score

1School categorisation results in

increasing numbers of amber / red schools

Managing Director, Chief Education Officer / Director

and Head of HubPossible Medium 4 Treat

Ensure robust categorisation, with regular team meetings and QA to ensure that all ChAD are fully up to date with ammendements to categorisation; especially in light of Step 1 changes.

Some schools will be amber due to changes in leadership. March 2015

3Difficulties in recruiting school

leaders results in lower leadership standards in schools

Managing Director, Chief Education Officer / Director

and Head of HubLikely High 9 Escalate

Consistent recruitment drive with HR

Currently 1 primary Headteacher vacancy. Maths secondary vacancies in 2 secondary

school - Penglais and Penweddig

4 Insufficient monitoring of and support to schools causing concern

Head of Hub and Chief Education Officers

Possible Medium 4 Treat and TransferHof Hub and Tim Hyn meetings;

Schools Causing Concern register

Penglais in Estyn monitoring - new HT; potential for more rapid improvement

however early.May 2015

5

LA staff (including Challenge Advisers) unnecessarily undertaking activity outside the regional strategy

Directors Possible Medium 4 Treat HofHub and Tim Hyn meetings Ongoing risk as LA staff capacity reduces July 2015

6Current PwC review could lead to service cuts in school advisory service

Chief Education Officer and HofH

Likely High 9 Tolerate and transfer

N/A October 2015

7 Failure to raise standards, specifically for Efsm pupils

Directors Likely Medium 6 Focus in CV and with advisory staff

Reduction in % at GCSE attaining L2+ from 44% in 2016 to 33% in 2017, with reduced cohort However, good standards for e fsm

learners Foundation Phase- KS3.

July 2015

Actions to Mitigate Risk Transfer detail (if necessary and date)

Additional Detail LA / HubEscalation from LA

detail (if necessary and date)

ERW Risk Register June 2017

School Improvement - Ceredigion

Inherent Risk

Risk Reference Nature / Description of Risk Risk Owner Probability Impact Risk Score

Following MitigationDate appear on ERW Register

Date taken off ERW Register

23/11/2017


1School categorisation results in

increasing numbers of amber / red schools

Managing Director, Chief Education Officer / Director and Head of

Hub

Possible medium 4 Treat

Ensure robust categorisation, with regular team meetings and QA to ensure that all ChAD are

fully up to date with ammendements to

categorisation; especially in light of Step 1 changes.

Newtown HS a concern re. wellbeing issues, however progress made.

On LA risk register May 16

2Estyn visits result in high proportion of schools being placed in follow up / special measures

Chief Education Officers and Heads of Hub

Likely High 9 Treat and Transfer

Additional secondary capacity added 12 months ago. School to

school support such as Bryntawe/Bro Hyddgen and

Caereinion/Gwernyfed is adding valuable capacity.

Good progress made at Caereinion and Llanfyllin. Llandrindod HS not making progress as required. Builth Wells making progress, but GCSE results below expectation.

March 2015

3Insufficient monitoring of and support to schools causing concern (secondary specific)


Likely High 9 Treat and Transfer see above see above May 2015

4


Directors Possible Medium 4 Treat Ongoing risk and LA staff capacity reduces

July 2015

5Difficulty in recruiting school leaders results in lower leadership stabdards


Likely High 9 Escalate October 2015

6Failure to further improve key performance indicators at secondary, in particular L2+


Likely Medium 6 Treat October 2015


Additional Detail LA / Hub Escalation from LA detail (if necessary and date)


School Improvement - Powys

Inherent Risk

Risk Reference

Nature / Description of Risk Risk Owner Probability Impact Risk Score

Following MitigationDate appear on ERW

RegisterDate taken off ERW

Register

23/11/2017





School Improvement - Powys

Inherent Risk

Risk Reference




Register


Directors Likely Medium 6 July 2015

23/11/2017




Possible High 6 Treat and Transfer

Analysis of data and effective support from challenge advisers; programme of school improvement ; building capacity of schools to support others. An

increased number of schools in EM is emerging in NPT. Closer scrutiny of CV1/ Categorisation reports required in 2016.

Work programme of Quality Manager and review of schools causing concern.Over reliance on data without looking at books must be eradicated.

Special measures primary questioned by Estyn. The profile of EM in NPT primary schools increased in 2016-2017. Director has commissioned a

strategy on improving leadership in primary schools. HOH has produced draft strategy with Lead CA and CA responsible for leadership. Strategy is an

amalgam of ERW provision available, new leadership standards aligned to future leadership academy and specific activity to support DHTs and HTs in

NPT.

Possible Medium 4 March 2015

2School categorisation results in increasing numbers of amber / red schools

Managing Director Possible Medium 4 Treat

Reduction in number of amber schools between 2015 and 2016. However, numbers of green support school has not increased during this period. LA has introduced a leadership wellbeing project in 2017.

Evaluation of leadership wellbeing project now required in 2018. Further work on leadership has been undertaken and all amber/ red schools have amber plans. A few yellow schools may have benefitted from amber support given recent inspection outcomes. Leadership

strategy to commence in September 2017 to bring coherence to support available. Director will champion the strategy.

Training and profesional devlopment opportunities provided and clear guidance and systems offered. The

impact of leadership is not always measured carefully. All challenge advisers have been asked in Hub training to

focus on this area. For each school that has gone into EM in 2016-2017 3 were not identified as such by the CA.

There was a missed opportunity to review the school in one case and the explanation was weak. A large

proportion of HTs in first years of headship in NPT. Valuable support for self-evaluation and planning

provided by not always implemented by schools. Close monitoring required.


3

Challenge advisers unable to monitor schools where there is a threat of action short of strike action.

Lead HR Officer Likely High 9 Treat where possible, tolerate

Communication arrangements strengthened and inform TUs of work.

TU relations improved through improved central talks with ERW. No current issues on schools unwilling for monitoring activities to be undertaken by challenge advisers. By September 2017 there are strong partnerships with schools. The move from 2 to 3 visits per annum will need to be communicated thoroughly at local level.

Paired visits by senior officers for each school causing concern have been identified quickly. A breadth of risk

factors and local intelligence has been considered in assessing schools' vulnerability and need for more

support. Capacity to meet support requirements is linked to menu of support. Off menu activities are less possible.

Likely Medium 6 March 2015

Sep-17

4Inconsistency in support to Schools through variability in work of individual Challenge Advisers

Head of Quality and Standards & Head of

HubPossible High 6 Treat and Transfer 3 different secondary challengers in as many years. All LA Chief Education Officers

The workforce is stable at the moment with good opportunites to learn from experienced officers and

challenge advisers. The use of Rhwyd is now embedded and supports consistency. However, the capacity of the

lead challenge adviser is stretched on QA. To mitigate, an additional training session is in place to take a collective

view of erradicating poorer judgements and report writing. In order to improve reports in general, examples of evidence should be cited in reports to Estyn. There is now better evaluation of data rather than description.

Clarity is required on what should be reported to Estyn in light of NIA.

Unlikely Medium 2 March 2015

5Categorisation judgements undermined by advisers not following process

Managing Director Likely High 9 Treat and Transfer (All LAs)

Comprehensive training provided to ensure consistency.Clear distinction required between categorisation of additional LA risk factors. National training in July 2017 should be implemented.

Useful materials should be provided to CAs to aid consistency. Menu of Support is unclear and requires further work.

A full year training programme is now in place to ensure that new and existing CAs are given the required

support. Absence during Menu of Support planning day has created lack of clarity. Additional written guidance on

professional learning prospectus provided by HOH to mitigate risk

Unlikely High 3 March 2015





School Improvement - NPT

Inherent Risk

Risk Reference




23/11/2017







Inherent Risk

Risk Reference




6Local School Improvement risks not fully mitigated at LA level - specifically elements of duplication

Head of Hub and Chief Education Officer

Likely High 9 Transfer

Hub level risk assessment reviewed at Hub QA Meeting.Hub risk register created after June Meeting 2015.Risk pertain to Hub and should be revisited termly. There are still elements of duplication. Overall, in comparison to 2015 the level of duplication has reduced and school improvement work is aligned to regional expectation. This has been facilitated by Rhwyd, CA guidance and Ladder of Support. Internal intranet has helped communication and improved compliance with agreed activity.

ERW risk register is now distinctly different to a list of schools with additional risk factors. The risk register is a standing agenda item and the inherent service risks are discussed throughout half termly meetings. The register is now more accessible to all. Are all risks shared and discussed in earnest at challenge adviser level? In September 2017, the risk register should be discussed in team meetings as well as Hub QA.

NPT Unlikely Medium 2 March 2015

7Insufficient monitoring of action plans for schools causing concern or amber support action plans

Head of Hub and Chief Education Officer

Possible Medium 4 Treat and Transfer

Standing item on Hub QA.Practice is shared across the Hub to reduce the risks.

Guidance provided on monitoring Estyn and have to coordinate support effectively. NPT have decided not to produce an amber plan

if a PIAP already exists. Questions have been raised about duplication in schools causing concern log and LA action plans for

red/ amber schools. Used for two purposes so both must be maintained.

Monitoring the impact of schools causing concern is now logged centrally and for September 2016 new concern

schools have a specific plan in addition to the log. Precise actions for schools need to be sharper in the log and this

is under review. Challenge advisers have gradually adapted to the need for closely monitored plans and are now familiar with expectations. Where PIAPS exist, the

NPT challenge advisers have been advised not to create a new action plan. From 2017 all new amber/ red schools

should continue to have a plan in place that can be monitored at least on a half termly basis.

Unlikely High 3 May 2015

8Accross the Hub, 26% of reports had 'concerns' as reported by Estyn between 2015-2017

Directors Likely High 9 Treat

Reports are QAd in triplicate to ensure reports are stronger/more evaluative.Sign off is required by LA. Head of Education Improvement provides

suggested changes. New workforce needs additional support. Where reports lacked rigor in NPT, it was mainly on overgenerosity on the impact of

leadership and low validity on the evidence provided to Estyn. The risks have now been treated by HOH and Lead CA. There are good arrangements in place for NPT CA to know and understand the new Estyn CIF well and to be able to

support schools with their SERs - this has been facilitated by the Lead CA.

Risk is now lower. Nearly all challenge advisers produce good quality reports. Going forward, Estyn will require the last core visit report on a school for pilot schools in 2016-2017. This places greater weighting on QA of core

visits. New report templates across region should harmonise approach to reporting to Estyn. Training provided in how to evaluate rather than describe

performance. Greater emphasis placed on what CAs hear and see in schools required.

Unlikely Medium 2 July 2015

9


Directors Possible Medium 4 Treat

There is greater clarity on the menu of support this year where CAs are better equipped to broker the support required. However, off

menu activity for Teacher Development Officers is a risk. Examples of this are engagement with commercial companies and lack of S2S

methodology. All subject specialsts have spent 4 days planning the regional menu of support. It now needs to be delivered. For 2017-2018, the capacity to deliver the Menu of Support has reduced so

S2S is required to deliver. The new leadership Menu of Support will be delivered by 30 schools but there were no self-nominations from

NPT for this

Local discussion to ensure appropriate capacity. The ERW 2017-2018 Professional Learning Prospectus that contains the Menu of Support has now been shared with NPT schools. However, clarity on who does what and why on a local level is still required to ensure that NPT receive quality support in a timely fashion.

Unlikely Medium 2 July 2015


Directors Likely Medium 6 Treat Targeted interventions and sharing most effective practice.Commissioned research.

I Possible Medium 4 July 2015

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Inherent Risk

Risk Reference




11Heightened risk of budgetary constrains on support services and schools impacting adversely on staff


There is an emerging need to greater align the work of CAs to wellbeing/ care, support and guidance because of greater demand, curriculum reform/ ALN reform and local needs. The work of the Support for Learning Piority Board will be crucial in shaping this agenda for CAs in CSV2s and CSV3s.

October 2015

23/11/2017




possible High 6 Treat and Transfer

Analysis of data and effective support from Challenge Advisers;

programme of school improvement ; building capacity of schools to

support others.

Work programme of Quality Manager and review of schools

causing concern. Take a firm stance on absence at training events.

Increase the number of full time challenge advisers if possible. Ensure

that there is better validity of evidence when monitoring schools.

Training and profesional devlopment opportunities provided and clear guidance and systems. National accuracy of TA. Risk is heightened if new staff do

not follow national and regional guidance or fail to attend training.

Swansea

Estyn have named Swansea as highest outside of Cardiff with 4/17 in statutory category. By October 2016 there are no longer any schools in a statutory category. There is an emerging increase of schools in Estyn monitoring follow-up category at October 2016. By May 2017, one primary in need of SI due to fragility of leadership. By September 2017, significant staff changes at lead challenge adviser and challenge adviser level pose a risk in terms of continuity and consistency. It has been agreed with CEO that absence at training events poses a further risk.


2Challenge advisers unable to monitor schools because of threat of action short of strike action

Managing Director Unlikely Medium 2 Treat

Analysis of data and effective support from Challenge Advisers;

programme of school improvement.

Common consistent training for Advisers. Communication with

schools via headteacher fora is vital to ensure that there are no

misconceptions of challenge adviser work. Ladder of Support should be updated for 2017-2018 so that all

schools know what to expect.

More Challenge Advisers required. Red Schools occur beyond categorisation criteria. Sufficient CAs in place

from September 2016. Amber plans in place. Pre-inspection support required in amber schools facing inspection. No lead challenge adviser for primary in

Swansea between January and May 2017. Role fulfilled by Head of Hub. Guidance for CV2 followed. No issues

with TTUs.


3Inconsistency in support to schools through variability in work of individual challenge advisers

Managing Director and Executive Board

Likely Medium 9 Treat

Ensure that all central ERW and national categorisation guidance is accessible and adhered to. Remind CAs that their work is to evaluate leadership and teaching/learning thoroughly so that schools access

support. There is a risk of too many schools receiving little support when

they are not highly effective yet.

Asking CAs to work outside regional strategy. Duplication of effort still apparent. By October 2016

there is greater understanding of the CA role. However, evidence suggests that headteachers are now less

sceptical of regional work. Part-time workforce has resulted in variability. Unable to recruit high calibre

permanent CAs. Additional activity during CSVs could dilute the experience. However, in individual schools,

where there are particular concerns then matters should be explored. If ALN requires further exploration, the LA may wish to commission reviews, where appropriate.


4

New school improvement professionals unaware of regional business plan and how this is aligned to local operational plans.

Lead HR Officer Likely Medium 6 Treat where possible, tolerate

Communication arrangements strengthened and inform TUs of

work.

Changing strategies led by new HR Lead. Ensure current 2017-

2020 Business Plan is accessible to challenge advisers on ERW

website.

Misconceptions of Challenge Adviser work apparent. More resistance in Swansea than NPT. Problems seem to have arisen from central talks. Individual conversations have been helpful to aid clarity. Central talks reported as much improved. Information from strategy meetings are fed back

locally by May 2017.


5

Local School Improvement risks not fully mitigated at LA level as a result of interim arrangements in the secondary sector.


HubLikely High 9 Treat and Transfer

New arrangements to recruit HTs to support additional capacity. Clear agreed arrangements set out with consistent entitlement to schools. Revised ladder of support 2015-16.Comprehensive Training Programme.Performance management harmonisation. Continuity and progression remains a challenge in the secondary sector. By October 2017 there will be two full time secondary challenge advisers and 5 ad hoc secondary challenge advisers. There is further work to be done to

QA process is adequate and should be preserved at different levels. Individual coaching of staff proves to be beneficial. New recruits require

better induction than currently on offer. Challenge adviser handbook and stop the clock activities support improved quality. Part-time challenge

advisers need to adhere to guidance. Too much time taken to write reports. Better brokerage of

support for key stage 4 required.

Behaviours and communication needs to be reiterated and risks noted. And high risk of not working within agreed boundaries. New CAs require good induction. Evidence

in October 2016 suggests that there are schools receiving less support than

required and that green schools do not always influence their sector sufficiently.

By September 2017 there are suitable amber support plans in place for two

schools. However, plans vary in quality.





School Improvement - Swansea

Inherent Risk

Risk Reference




Register

23/11/2017






Inherent Risk

Risk Reference




Register

6Insufficient monitoring of schools causing concern action plans or amber support school action plans


HubUnlikely High 3 Treat

Ensure that new lead challenge advisers are aware of their duties

to a) maintain and update the schools causing concern support

log on a half-termly basis b) ensure that all amber/ red support plans are visible, updated and shared with

stakeholders, ensure that the support log is updated by CAs

within teams.

Operational plans in Swansea now refer to the ERW business plan. There needs to be a note of instruction from Swansea to identify the particular key priorities for ERW to deliver on. The new annexe to business plan 2017-2020 will feature Swansea's priorities. HOH has shared with lead CAs.


7New subject specialists and challenge advisers undertaking work beyond the regional strategy.

Heads of Hub Possible High 6 Transfer

Hub level risk assessment reviewed at Hub QA Meeting.

Communication with schools now less of a risk. A better

understanding of consortia functions has been achieved but

will need to be maintained by the incoming CEO.

The regional agendas for core visits should be adhered to. Use of

consultants is not part of the regional strategy for literacy and numeracy and

should be avoided. There should be local operational plans in place to

deliver regional strategies e.g. Menu of Support.





Greater scrutiny of PDG planning and intervention required. Is

their evidence that the resource improves standards? Gap in fsm

and non-fsm performance is widening at key stage 4.

This is a key priority for KS4 in Swansea as progress has stalled.

Interschool practice is now shared in order to maximise fsm learner

potential.

Unlikely Medium 2 May 2015

9Heightened risk of budgetary constrains on support services and schools impacting adversely on staff


ALN services are streched, in particular. It is important that

challenge advisers upskill themselves on the challenges faced by schools. Ringfenced school improvement levels

preserved for FY 2017-2018 and split into primary, secondary and curriculum units to ensure best

value for money and closer budget monitoring.

Schools have dwindling resource for staff CPD in primary schools because of Foundation Phase

element of EIG. New TALC model requires explanation so that clusters can nominate a lead practitioner and get the money back to help with

CPD.

Possible High 6 July 2015

Possible Medium 4 July 2015

23/11/2017






Inherent Risk

Risk Reference




Register

Ringfenced school improvement levels preserved for FY 2017-2018 and split into primary,

secondary and curriculum units to ensure best value for money and closer budget monitoring.

October 2015

23/11/2017





Analyses of range of data and ongoing monitoring by ChAds provides early indications.Consistent

programme of school improvement through brokered 'menu of support.' Leadership Strategy and KS4 Improvement Plan in place. Enhanced

capacity of school-to-school support.DCEO leading SCC reviews supported by

PCA and Hub Lead. Work programme of ERW Head of Stds provides additional support.

Additional regional resources proviide support and capacity for more focused local activity (ChAd

deployment). Ongoing ERW training and professional development

opportunities continue to provide guidance and facilitate

improvement.




Ongoing effective support from ChAds and wider team members provides a consistent programme

of school improvement through the individual brokered 'menu of support' (agreed with school

durng CSV1 - Autumn Term). Consistent CSV1 training for ChAds enhances implementation and

improved targeting of potential risks. Early moderation activities support implementation of

provision based on 'current needs.' Ongoing focus on enhancing leadership and provision through

range of HT Seminars and Network activities

Await outcome of national discussions on role / impact of 'Judgement 1 - Standards' and

potential following influence on Leadership/Provision judgements.

Content and fidndings of Core Support Visit agendas will support

accuracy / level of need.



Head of Quality and Standards & PCAs


Defined support arrangements for schools are set out clealry to ensure a consistent entitlement via the 'menu of support' and shared with all parties. Comprehensive training and awareness raising programmes are in place. Hub QA meetings support monitoring of school progress at an individual level / any potential risks. Recent ERW training packages have continued to supporte the 'consistency agenda.' Rhwyd package provides consistent template / level of expectation.

All LA Chief Education Officers Unlikely High 3 March 2015


Hub QA Team members, PCAs and Chief

Education Officersunlikely High 3 Treat and Transfer

PCC strategic documentation includes KS4 Improvement Plan, SCC Protocol and specific

Improvement Strategies (Leadership, T&L, efsm etc). Standing item on Hub QA. SCC Plans led by DCEO with support from Head of Huub and PCA. Hub QA monitroing progress and impact on a regular basis.

Appt of PCC DCEO completed and enhancing current SCC

arrangements. Unlikely High 3 May 2015

5


Directors Possible High 6 Treat

PCC realignment of strategic responsibilites and duties undertaken - reinforces consistency. Hub QA & PCA / ChAd Team meetings review workload and

impact to ensure early identification of issues / risks.

Clarity on ChAd role supported by revised Core Support Visit schedules. However, any potential risks need to remain under review.

Possible high 6 July 2015




School Improvement - Pembrokeshire

Inherent Risk

Risk Reference




Register

23/11/2017





School Improvement - Pembrokeshire

Inherent Risk

Risk Reference




Register


Directors Possible High 6 Treat

PCC eFSM Strategy in place and shared with all partners. Ongoing targeted interventions and

sharing of most effective practice. Additional PCC Reviews of use / impact of PDG funding. ERW CSV1 clarifying any further actions for 'menu of support'

on an individual school basis.

PCC Efsm Strategy in place. Additional PCC PDG Reviews.

Unlikely high 3 July 2015

23/11/2017





Analyses of range of data and ongoing monitoring by ChAds provides early indications. Consistent programme of school improvement through brokered 'menu of support.' Enhanced capacity of school-to-school support. Additional support and challenge provided in light of revised Estyn Framework and National Categorisation requirements to ensure parity between findings of both parties (ERW and Estyn). SCC review activity and ongoing monitoring of schools' progress / needs (including Category of Support programme) led by PCAs. Ongoing work programme of PCAs/Head of School Effectiveness and Hub QA Team provides additional support.

Ongoing training and professional development programme provided to support all ChAds with clear guidance. Additional early identification of risks through moderation activities (Autumn Term), Rhwyd QA and analyses of CV1 and 2 provides constructive support.

LA capacity (ability to support and challenge) remains under review

with ongoing recruitment programme in place.




Ongoing effective support from ChAds and wider team members provides a consistent programme of school improvement through the individual brokered 'menu of support' (agreed with school durng CSV1 - Autumn Term). Consistent CSV1 training for ChAds enhances implementation and improved targeting of potential risks. Early moderation activities support implementation of provision based on 'current needs.' Ongoing focus on enhancing leadership and provision through range of HT Seminars and Network activities e.g. Action Research Projects.

Await outcome of national discussions on role / impact of 'Judgement 1 - Standards' and potential following influence on Leadership/Provision judgements. Content and fidndings of Core Support Visit agendas will support accuracy / level of need.



Head of Support and Performance & PCAs


Defined support arrangements for schools are set out clealry to ensure a consistent entitlement via the 'menu of support' and shared with all parties. Comprehensive training and awareness raising programmes are in place. Hub QA meetings support monitoring of school progress at an individual level / any potential risks. Recent ERW training packages have continued to supporte the 'consistency agenda.' Rhwyd package provides consistent template / level of expectation.

Regular Team Meetings (weekly) provide additional opportunities for sharing good practice and any potential concerns. Line management systems are robust and provide addtional support if necessary. Successful completion of ongoing ChAd recruitment programme will further support capacitiy and any consistency issues.



PCAs, Hub QA Team Members and Chief Education Officers

Unlikely High 3 Treat and Transfer

ERW SCC Protocols support ChAd activity. Standing item on Hub QA. SCC Plans in place with monitoring and review support from Hub QA Team and PCAs. Hub QA focused on monitoring progress and impact on a regular and individual basis. Improvement Panels implemented in specific targeted schools. Consistent approach and impact gained across the LA.

Unlikely Medium 2 May 2015

5


Directors Possible High 6 TreatHub QA & PCA / ChAd Team meetings review workload and impact to ensure early identification of issues / risks.

Clarity on ChAd role supported by revised Core Support Visit schedules. However, any potential risks need to remain under review.

Possible High 6 July 2015


Directors Unlikely High 3 Treat

Ongoing targeted interventions re being implemented and sharing of most effective practice across schools networks continues to benefit learners. ERW CSV1 to analyses PDG plans and clarify any further actions for 'menu of support.' CCC eFSM Scrutiny Panel Report has been published and supported identification of 'good practice' and potential risks.

Unlikely High 3 July 2015

Actions to Mitigate RiskTransfer detail

(if necessary and date)Additional Detail LA / Hub

Escalation from LA detail (if necessary and date)

Date appear on ERW Register



School Improvement - Carmarthenshire

Inherent Risk

Following Mitigation

Risk Reference Nature / Description of Risk Risk Owner Probability Impact Risk Score

23/11/2017


1WG Funding may not be timely resulting in underspend at the end of the financial year

Managing Director / Section 151 Officer

Likely High 9 Tolerate

Effective plans locally to mitigate impact.

Financial forward planning with contingency arrangements so that essential implementation is not hindered.

Constant communication with WG to improve expectation. Communication to WG

2016-17 commitment form WG to work more effective with regions and LAs, should help situation. MD success at getting fair funding formula for all regions will positively impact on ERW

N/A Likely Medium 6 March 2015

2Measured impact does not reflect value for money on ERW's work outcomes

Managing Director Likely Medium 6 Treat

Comprehensive VFM Framework in place.In house monitoring of effectiveness; support in any identified areas of concern.Regular reports to Exec. Board.VFM monitoring and recommendations from Internal Audit undertaken.

Suggest taking of register after Exec. Board and Joint Committee review

VFM Framework and reports. Due to reposrt to JC July 2016 comarison

data with other regions.

N/A Unlikely Low 1 March 2015

3

Individual LAs fail to comply with Grant Regulations and limited assurance given from other LA's to PCC

Section 151 Officer and Head of Internal Audit

Likely High 9 Treat

Clear agreed financial guidance and procedures. Correspondence from

Section 151 Officer and Internal Audit to all LA's.

Assurance for PCC from each LA.Improved communication and

understanding of roles, responsibilities and risks.

Training and termly finance officers meeting.

N/A Possible Medium 4 March 2015

4Region not funded fairly by WG in proportion to number of schools, pupils and teachers

Likely High 9 Escalate WG On-going correspondence to WG over past year. Comittment given re sparcity

Constant on-going discussions with WG. JC opt not to write to WG but

to raise via representatives. Limited control on external factors.

Breakthrough in discussions but nothing confirmed in writing 10.5.16

N/A Unlikely Low 1 March 2015

5Financial pressures in each LA leading to cuts affecting school services

LAs Likely High 9 ERW maintains high delegation rate to schools

On-going information and discussion. Impact on capacity and willingness of schools to engage on self improving system. Further work with HT board to ensure clarity around epectations

of HT to colllaborate and the remuneration.

All Almost Certain High 12 October 2015

6

The region has received two letters from WG outlining the concerns that ERW is not using its "Regional Grants" within the spirit of the terms and conditions. Risk that funding may be withdrawn

Managing Director, Directors Likely Hgh 9Review of financial arrangements

authorised by Joint Committee

Escalation from LA detail (if necessary and date)

June 2017

Financial

Inherent Risk



ERW Risk Register

Following MitigationRisk

ReferenceNature / Description of Risk Risk Owner Probability Impact Risk Score Actions to Mitigate Risk Transfer detail

(if necessary and date)Additional Detail LA / Hub

Managing a risk register should be seen as a supportive and helpful way of recording issues and the support required to get the actions in place to mitigate the risk. In a partnership, the process of escalating and sharing each others risks are complex.

Risk register format has matured in recent months and has been agreed by Joint Committee (June 2015) as fit for purpose. Joint Committee agreed that under leadership of Karen Jones (NPT, Head of Corporate Development) that we should further mature process ready for new financial year.

Key Actions:

* Identify Hub and LA owner where necessary.* Collation of LA/Hub risks can be collated for Hub QA, reducing duplication.* Review risk profile after mitigation and actions.* Discuss lessons learnt as part of review process.* Include review at Executive and Joint Committee.* Prioritise risks and order levels of risks.* Link to self evaluations.

Below is the Risk Matrix:-

23/11/2017


1

Estyn visits result in LAs being placed in follow up / special measures or requiring further attention

Chief Education Officers Likely High 9 Transfer to 3rd Party / LA

Robust self evaluation and monitoring at LA level, with regional strategies to support.

Pembrokeshire support network established by ERW by mutual consent. Review of evidence work reaims of concern.

Place on Pembrokeshire Risk Register Email sent Pembrokeshire N/A Likely High 9 March 2015

2Inspection of Region or any single LA finds less than adequate standards, provision or leadership

Managing Director and 6 Directors

Likely High 9 Treat and Mitigate

Alternative support lead ChAd for schools causing concern required in LA. all alliance members tke ownership on detaila and accountability. Effective BP in place.

Clear plan for improvement as part of improvement planning, but heightned urgency pre inspection. Taken swift effective action against recommendations of Estyn review. Good track record of impact on outcomes. Quality systems secure. Infrastructure clear.

All

Risk for all LAs but specifically Pembrokeshire, where pace of improvement has not been good enough and high proprtion of secondaries causing concern.

All N/A Unlikely Medium 2 March 2015

3

Insufficient capacity of Central Team and Challenge Adviser Team to deliver Business Plan to high standard

Directors and Managing Director


Effective planning Central Team capacity to coordinate and facilitate change. position remains same and is critical

Discuss with all Directors 24/07/15. All agreed capacity and restructure of Central Team. Improved planning and training on key workload issues. Challenege adviser capacity agreed to maintain at full Sept 2015

N/A

Review leads to need to reaffirm frm all LAs the commitment as set out in legal agreement Joint committee paper on comparing

regions is likely to raise issue and further action is likley. Central

team caacity discussion with LD 14/10/16

Pembrokeshire; Carmarthenshire,

Sswansea, CeredigionN/A Likely High 9 March 2015

4

Governance and Legal footing of ERW found to be ineffective at securing consistent improvement across all LAs by Estyn / WAO / WG / Self Evaluation

Managing Director, Directors and

Monitoring OfficerPossible High 6 Treat and Mitigate

Evidence of effective communication, planning and accountability. Impact on outcomes is clear. Remaining risk is system knowledge by external stakeholders. Action by LA to respond to identified risks in Register

Additional comms briefing scheduled. Review paper on effectiveness of governance underway

N/A N/A Possible Mediun 4 March 2015

5Support and intervention coupled with local plans and strategies do not lead to improvement in PCC

Lead Chief Exec., Lead Director, Managing

Director and PCC Corporate Leadership

Team


plans agreed and committed to by Exec in Dec 2015. network underway and chaired by Lead Chief exec. Estyn and WG sighted of plans - work to action necessary

transfer to LA register necessary

agreement between MD and Director as to support for all key schools causing cocnern. Remains concern n revieiwing support proviced for key schools. Duplication remains a concern.

Pembs likely High October 2015





ERW Risk Register

Inherent Risk

Central

June 2017


ReferenceNature / Description of Risk Risk Owner Probability Impact Risk Score Treatment

23/11/2017






ERW Risk Register

Inherent Risk

Central

June 2017


ReferenceNature / Description of Risk Risk Owner Probability Impact Risk Score Treatment

6 Failure to address or implement key areas of ERW BP

MD / Chairs of Priority Boards

likely High 3 Treat

Focus on bringing pace to groups through effective minutes/actions.increased central capacity to monitor quality and actions/ focus.

Target additional support for Support for Learning Groups.

All alliance members should adhere to agreed code of

conduct, BP actions and Legal agreement. Capacity issues in

central team , and capacity of LAs to respond to Legal Agreement

commitment and SLAs

N/A likely Medium 2 March 2015

ERW JOINT COMMITTEE

1 DECEMBER 2017

LETTER FROM SCRUTINY

Purpose:

To share with the Joint Committee, the correspondence received by the Chair of the Scrutiny Councillor Group

RECOMMENDATIONS / KEY DECISIONS REQUIRED:That the Joint Committee receive the report and agree a response

REASONS: Scrutiny and Democratic Accountability of the Consortium

Report Author:

Osian Evans

Designation:

Executive Officer

Tel No. 01267 24 5640


Agenda Item 5


1 DECEMBER 2017

Letter from Scrutiny

BRIEF SUMMARY OF PURPOSE OF REPORTTo share with the Joint Committee, the correspondence received by the Chair of the Scrutiny Councillor Group.


IMPLICATIONSPolicy, Crime & Disorder and Equalities

Legal Finance Risk Management Issues Staffing Implications

NONE YES NONE NONE NONE

1. Legal Correspondence with the Scrutiny Group is a key element of the Joint Committee’s public accountability

CONSULTATIONSN/A


THERE ARE NONE

To: Cllr. Ellen ap Gwynn Chair of the ERW Joint Committee

Please ask for:

Scrutiny

Scrutiny Office Line:

01792 637256

e-mail

[email protected]

Date

06 November 2017

Dear Councillor ap Gwynn, ERW Scrutiny Councillor Group – 29 September 2017 The Chairs and Vice Chairs of all six local authorities’ Education Scrutiny Committees came together in Brecon for their bi-annual Scrutiny Councillor Group. I am writing to you with their views, conclusions and recommendations from the meeting on the 29 September 2017. Quota of Challenge Advisors The Managing Director updated us on the issue highlighted in our previous letter with regards to what is being done by local authorities to reach their full quota of Challenge Advisors. The Group heard that currently there are 45 full time equivalents in post of a target of 58 across the region. This gap was not in ability of ERW to close but is a challenge for individual Local Authorities to address. We heard that the formula currently used as part of the ERW agreement and how we actually manage capacity and staff across the region, needs to the looked at. We welcomed the ERW Joint Committees decision to set up a Programme Board to review and monitor capacity. The group would like an update on progress on how this is progressing at our next meeting. Business Plan 2017-2020 The Managing Director provided us with a presentation on the latest Business Plan 2017-2020. We were pleased to hear about the new section built in that will measure impact/success. The group would like to receive updates on this section, at all future meetings, as it will form a standing item on our future Agendas. Performance Management We heard that there is an ongoing programme of upskilling schools in performance management and in particular the upskilling of middle managers in schools so they are in a good position to deal with under performance.

ERW Scrutiny Councillor Group Scrutiny Support provided by Swansea Council

Contact: Scrutiny Team, Gloucester Room, Guildhall, Swansea SA1 4PE

� 01792 637256

� [email protected]

The campaign to recruit teachers We were pleased to hear that the outcomes of this campaign so far is proving positive with twice as many applicants for the National Professional Qualification for Headship (NPQH) than there has been in previous years. The other topics we covered during the meeting include: Estyn Mark Campion from Estyn attended our meeting to discuss the ERW Estyn Inspection and to update us on the new framework for schools, local authority and regional inspections. In summary, we heard that Estyn:

― will be visiting ERW in November 17 for follow up (Welsh Government had asked Estyn to inspect the four Consortia and it has been agreed ahead of that each will be follow up on 1 year after inspection). There is no further work beyond this yet planned.

― will be starting the cycle of Local Authority inspection pilots over the coming months starting with 2 Local Authorities initially. In the new cycle each LA will be inspected on a five year cycle, so ERW will be involved each year as part of an individual LA inspection.

― there is now a cycle of individual school inspections in place, under the new inspection framework, following last year’s pilot.

― post 16 and 6th form will have more prominence in inspections moving forward as there had not been much focus on this aspect previously.

Elective Home Education This issue was raised following the response to our letter from the Welsh Government Cabinet Minister for Education. We still feel that there are huge gaps in this legislation and guidance and that there needs to be a political shift to address this. We did however, recognise that it is outside the remit of ERW and therefore would encourage each local authority to make their concerns known individually to Welsh Government. We would welcome your views on any aspect of this letter, but on this occasion, do not require a formal written response. Yours sincerely, Cllr David Jones Chair ERW Scrutiny Councillor Group

ERW JOINT COMMITTEE 1 DECEMBER 2017

ERW FINANCIAL UPDATE – QUARTER 2 2017-18

Purpose: To inform the ERW Joint Committee of the updated financial position for the year 2017-18.

RECOMMENDATIONS / KEY DECISIONS REQUIRED:

The Joint Committee note the ERW Financial Update Quarter 2 2017-18.

The Joint Committee approve the changes to the ERW Central Team Revenue Budget, Grant Allocation and ERW reserves for 2017-18 and future years.

The Joint Committee note the additional information provided on grant budgets and spend to date information now being provided.

REASONS: To obtain approval of the Joint Committee

Report Author:

Jon Haswell

Designation:

ERW S151 Officer

Tel No. 01437 775836


Agenda Item 6


1 DECEMBER 2017

ERW Financial Update – Quarter 2 2017-18


Provides an updated budget for 2017-18 financial year.

Provides more detailed budgeting information in response to the recommendation from the WAO ISA 260 report for 2016-17.

Provides information on the expected level of Welsh Government grant funding for the 2017-18 financial year.

Provides information on the cost of seconded staff from the constituent local Authorities.




NONE NONE YES YES YES

1. FinanceFinancial Implications outlined in the detailed report.

2. Risk ManagementRisk management to be reviewed as part of the Internal Audit, where applicable

3. Staffing ImplicationsStaffing implications outlined in the detailed report.

CONSULTATIONSN/A


THERE ARE NONE

1

ERW Financial UpdateQuarter 2 - 2017-18

1 December 2017

ERW S151 Officer

2

1. Introduction

This report has been considered by the ERW Executive Board and provides the Joint Committee with a financial update as at Quarter 2 - 2017-18.

2. 2017-18 Central Team Revenue Budget

The 2017-18 Central Team revenue budget was approved by the Joint Committee at its meeting on 20 February 2017 with a Quarter 1 update provided on 17 July 2017. Whilst we need to limit the number of budget amendments during the year, reality and changing circumstances will inevitably mean that revisions will be needed as we respond to changes in funding from Welsh Government.

The Outturn report for 2016-17 resulted in an additional £70k of resources being transferred to reserves. Full movement of reserves is shown at section 7.

The current position as at Quarter 2 is shown in the table on page 3 and is effectively an updated projected Outturn position for 2017-18 based on current information and projections, and is reported to the Joint Committee for approval.

Key changes are:-

An additional £5k of system costs, specifically for graphic design software and training for 5 Core Central Team ERW staff, which is necessary for the amount of graphic design work which is now required in a timely manner for various public, internal and business planning documentation. Bringing this work in-house presents a long term efficiency, as we will not need to pay for external providers to do this work.

Following a recommendation from the Wales Audit Office ISA 260 for 2016-17, we have provided more detail in terms of the budgets and actual expenditure of the grants we receive. For consistency we have updated the presentation of the Core Central Team budget to also show actual expenditure. Financial reporting may be amended further over time to strengthen the process.

The actual costs for Equipment / IT / Stationery etc. exceed the budget of £10k. All office costs primarily get costed to the Core Central Team and then when appropriate (such as the end of a project), the costs are then distributed amongst the grants as appropriate. It is therefore expected that by the end of the financial year, and once the reapportionments have taken place, this will be within budget.

Core Central Team salaries reflect the fact that some staff changes have resulted in part year savings due to no hand over period being achieved.

3

It is anticipated that £364k of Core Central Team costs will be recoverable from various grant funding sources in 2017-18.

The planned use of reserves for 2017-18 has been reduced from £145k to £82k.

*£364,000 of salaries within this figure are also presented under the appropriate priority I.E. Teaching and Learning. Whilst they are Core Central Team staff, they are covered by grant funding as shown under Grant Funding Administration £364,000 **.

ANNUAL EXPENDITURE CORE CENTRAL TEAM BUDGET

2017-18Approved

Budget June 2017

£000’s

2017-18Projected Outturn

at September2017

£000’s

Actual Income / Expenditure at 31.09.2017

£000’s

Committed

£000’s1. STAFFING COSTSSalaries Core Funded* 477 447 241 206Travel, Subsistence, Training & Development 4 4 1 3

481 451 242 2092. RUNNING COSTSAccommodation 42 42 18 24Stationery/Telephone/Printing/Copying/Equipment/IT

10 10 12 0

Translation 20 20 13 2Conference Support/Programme Costs 0 0 0 0Systems Developments 44 49 49 0

116 121 92 263. FACILITATIONService Level Agreements 128 128 48 80

128 128 48 80TOTAL ESTIMATED EXPENDITURE 725 700 382 315

ANNUAL INCOMELocal Authority Contributions 250 250 250 0Other Income/Grants 4 4 0 4Grant Funding Administration ** 326 364 192 172TOTAL ESTIMATED INCOME 580 618 442 176

NET EXPENDITURE 145 82 (60) 139Appropriation from Reserve (145) (82) 60 (139)

4

3. 2017-18 Grant Allocations

(a) The Joint Committee was advised at its meeting on 17 July 2017 of grant allocations for 2017-18 totalling £68.078m. The grant allocations have now increased to £70.368m as shown in the table below. Three other expected grants are also shown in the table below, although no formal paperwork has been received. Since the last report to the Joint Committee, the majority of the grant offer letters from Welsh Government have now been received, however there are still some core funding streams where only indicative figures have been received without full terms and conditions. The lateness of key grants and the level of uncertainty still surrounding significant amounts of funding well into the third quarter of the financial year is very unsatisfactory and a significant risk to the region and the education system as a whole and can only be detrimental to the effort of raising standards.

(b) Following the decision of the Joint Committee on 21 September 2017 to create a Programme Team under the leadership of the Lead Chief Executive, Welsh Government have agreed to support the work financially (see table below - Reform and Review).

(c) Seconded StaffAppendix A lists the current seconded staff ERW is committed to paying for, totalling £1.499m, which are to be funded from the grants listed below. The number of seconded staff is expected to increase this year as the cluster leaders of learning model is rolled out.

(d) Cluster Leaders of Learning Estimated costs for this year are £1.020m with a further commitment to fund £2m next year. The full academic year cost of providing 50 clusters of learning is £3.250m. The project commenced in September 2017 with 16 secondments, with a further 7 secondments have been appointed and will start In January 2018, with the remaining 27 secondments remaining to be appointed with a January 2018 start.

5

Grants Allocations for 2017-18

Grant Name

2017-18AllocationJune 2017

£000

2017-18Revised

AllocationSeptember

2017£000

Commentary

School Improvement Business Plan PrioritySchools Challenge Cymru – Tranche 3 21 21 Offer received 11.08.17

Education Improvement Grant (EIG) 37,752 37,752 Offer received 28.04.17Leading Learning Business Plan PrioritySchools Causing Concern 0 313 Offer received 11.07.17National Professional Qualification for Headteachers Assessment 16-17 Carry Over17-18 Allocation

0233

100200

Amount dependant on new Head Teacher appointments amount TBC

Mentoring and Networking Support for Head Teachers 0 72

Amount dependant on new Head Teacher appointments amount TBC

External Mentoring (Education Workforce Council)16-17 Carry Over 17-18 Allocation

00

237268 Offer received - carry over

Support for Learning Business Plan Priority ALN Innovation 300 360 Offer received 09.10.17Pupil Deprivation Grant 22,724 22,724 Offer received 30.08.17Pupil Deprivation Grant – LAC 1,187 1,187 Offer received 30.08.17Teaching and Learning Business Plan Priority Pioneers 2,236 2,236 Offer received 26.10.17Learning in Digital Wales CPD 142 142 Offer received 28.07.17Modern Foreign Language 120 120 Offer received 28.04.17GCSE 16-17 Carry OverGCSE 17-18 Allocation

100582

185582

Offer received Offer received 28.04.17

Welsh 16-17 Carry OverWelsh 17-18 Allocation

-243

13243

Offer receivedOffer received carry over

National Network of Excellence for Science and Technology (NNEST) 23 23 IndicativeAssessment for Learning 129 129 Offer received 04.07.17Foundation Phase Training Materials and Approaches 5 5 Offer received 04.07.17Literacy and Numeracy Grant 125 125 Offer received 04.07.17Welsh Baccalaureate 16-17 Carry Over 15 22 Offer received carry overRaising Standards Grant (inc. Welsh) 2,141 3,159 Offer received £2,518,000 13.09.17

Offer received £356,039 09.11.17£641,000 still indicative

Language Pilot 0 150 Offer received Total 68,078 70,368

6

Grants to be Confirmed Reform & Review - 210 Expected A Level - 70 ExpectedWellbeing - 90 Bid Submitted

NOTE Summary of how Raising Standards Grant has been allocated to priority areas.Leading Learning Priority (Page 7) 1,021,000School Improvement (page 10) 60,000Support for Learning 0Teaching and Learning (Page 8) 2,078,000Budgeted 3,159,000

The £2.625m of Welsh Government grants that remained unpaid for 2016-17, as reported to the Joint Committee, were received by the end of July 2017. These delays did put additional financial pressure on the lead banker for the region, at a time when Local Authorities are already under increasing financial pressure.

4. 2017-18 GrantsFor budgeting and business planning purposes, the grants received are allocated according to the ERW Business Plan priorities:

Leading Learning Teaching and Learning Support for Learning School Improvement Operational Effectiveness (included within the other 4 priorities)

Some grants may be allocated to more than one priority area.Please follow the links below for details on specific grants:

The Level 1 Business Plan: Please see each priority on pages 7-11

The Level 2 Business Plan:https://hwbwave15.sharepoint.com/sites/ERW/Central%20Team/Forms/AllItems.aspx?newTargetListUrl=%2Fsites%2FERW%2FCentral%20Team&viewpath=%2Fsites%2FERW%2FCentral%20Team%2FForms%2FAllItems%2Easpx&id=%2Fsites%2FERW%2FCentral%20Team%2FBusiness%20Planning%20Docs%2FLevel%202

The Level 3 Business Plan:https://hwbwave15.sharepoint.com/sites/ERW/Central%20Team/Forms/AllItems.aspx?newTargetListUrl=%2Fsites%2FERW%2FCentral%20Team&viewpath=%2Fsites%2FERW%2FCentral%20Team%2FForms%2FAllItems%2Easpx&id=%2Fsites%2FERW%2FCentral%20Team%2FBusiness%20Planning%20Docs%2FLevel%203The terms and conditions of each grant are carefully adhered to, and wherever possible clear links are made between grants to enable greater value for money when planning expenditure.

https://hwbwave15.sharepoint.com/sites/ERW/Central%20Team/Forms/AllItems.aspx?newTargetListUrl=%2Fsites%2FERW%2FCentral%20Team&viewpath=%2Fsites%2FERW%2FCentral%20Team%2FForms%2FAllItems.aspx&id=%2Fsites%2FERW%2FCentral%20Team%2FBusiness%20Planning%20Docs%2FLevel%202








7

Detailed below are the grants allocated to each Business Plan Priority Area to show the total amount of grants allocated to that Area along with how those grants are to be spent.

A. Leading LearningThe priorities within this Business Plan aspect include:

Professional Learning for Schools, Challenge Advisers, and the ERW Central Team Leadership Development Implementation of National Programmes such as HLTA, NPQH Staffing/Secondments

Leading Learning Estimated Income Projected

Budget 2017-18

Actual Income at 30.09.2017

Grants Allocated to Leading Learning Priority Schools Causing Concern 313,000 0National Professional Qualification for Head Teachers Assessment 16-17 Carry Over17-18 Allocation

100,000200,000

100,0000

Mentoring and Networking Support for Head Teachers 72,000 0Raising Standards Grant 1,021,000 0External Mentoring (Education Workforce Council)16-17 Carry Over 17-18 Allocation

237,000268,000

237,000134,000

Total Estimated Income 2,211,000 471,000

Leading Learning Estimated ExpenditureProjected

Budget2017-18

Actual Expenditure at

30.09.2017Committed

1. Staffing costs Salaries, Secondments, Specialists 1,286,000 370,000 916,000

Travel, Subsistence, Training and Development 308,000 2,000 250,0002. Development & Running costs Rent and Accommodation 26,000 1,000 21,000Stationery, Telephone, Printing, Copying, Equipment, IT, General 150,000 17,000 60,000Translation 5,000 1,000 2,000Software, Marketing, Communication, Research & Evaluation 5,000 0 03. Delegated schools/ LasGrants Passported to LAS 72,000 0 72,000

Payments to Schools via LAS for Specific Work1 241,000 0 241,000Unallocated 118,000 0 0

Total Estimated Expenditure 2,211,000 391,000 1,562,000

1 Professional Learning Schools; Lead schools to deliver menu of support; collaboration; supporting schools causing concern; Pioneer schools

8

B. Teaching and LearningThe priorities within this Business Plan aspect include:Teaching and Learning, Assessment and Moderation, Pedagogy, Curriculum and Subject Support, Teaching and Learning Networks, Staffing/ Secondments.

Teaching and Learning Budgeted Income

Projected Budget2017-18


Grants Allocated to Teaching & Learning Priority Pioneers 2,236,000 0Digital 142,000 0Modern Foreign Languages 120,000 0GCSE 16-17 Carry Over GCSE 17-18 Allocation

185,000582,000

00

Siarter Iaith 16-17 Carry OverSiarter Iaith 17-18 Allocation

13,000243,000

13,0004,000

National Network for Excellence in Science and Technology (NNEST) 23,000 0Assessment for Learning (AfL) 129,000 0Foundation Phase Training Materials and Approaches 5,000Literacy and Numeracy Grant 125,000 0Language Pilot 150,000Raising Standards Grant 2,078,000 0Welsh Baccalaureate 16-17 Carry Over 22,000 22,000Total Estimated Income 6,053,000 39,000Teaching and Learning Budgeted Expenditure

Projected Budget 2017-18

Actual Expenditure at 30.09.20172 Committed

1. Staffing costs Salaries, Secondments, Specialists 2,570,000 331,000 1,691,000Travel, Subsistence, Training and Development 129,000 12,000 63,0002. Development & Running costs Rent and Accommodation 5,000 1,000 2,000Stationery, Telephone, Printing, Copying, Equipment, IT, General 91,000 64,000 20,000Translation 42,000 2,000 25,000

Software, Marketing, Communication, Research & Evaluation 110,000 1,000 33,0003. Delegated Schools/ LASGrants Passported to LAS 1,380,000 0 1,380,000Payments to Schools via LAS for Specific Work1 1,009,000 21,000 440,000Collaboration 2,000 0 0

Unallocated 2 715,000 0 0


9

C. Support for Learning

The priorities within this Business Plan aspect include:

Additional Learning Needs Looked After Children PDG Staffing/Secondments

Support for Learning Budgeted Income Projected Budget2017-18


Grants allocated to Support for Learning Priority ALN 360,000 0PDG 4 22,724,000 0LAC PDG 1,187,000 0 Total Estimated Income 24,271,000 0Support for Learning Budgeted Expenditure Projected

Budget 2017-18

Actual Expenditure

at 30.09.2017Committed

1. Staffing costs Salaries, Secondments, Specialists 125,000 71,000 54,000

Travel, Subsistence, Training and Development 8,000 2,000 5,0002. Development & Running costs Rent and Accommodation 0 0Stationery, Telephone, Printing, Copying, Equipment, IT, General 0 0Translation 2,000 1,000 500Software, Marketing, Communication, Research & Evaluation 0 03. Delegated Schools/LASGrants Passported to LAS 2 24,136,000 0 24,136,000

Payments to Schools via LAS for Specific Work 0 0Unallocated 0 0


2. The PDG grant offer letter arrived too late to complete a Quarter 1 claim, the first claim has now been submitted with WG for Quarters 1 & 2 and this money is due in on the 24.11.2017.

10

D. School Improvement

The priorities within this Business Plan aspect include:

Capacity Building Staffing Categorisation / Rhwyd / etc. Staffing/Secondments School to School Work / Dolen

School Improvement Budgeted Income Projected Budget 2017-18


Grant Income Schools Challenge Cymru 21,000 0Research 60,000 0Education Improvement Grant 2 37,752,000 7,550,000Total Estimated Income 37,833,000 7,550,000

School Improvement Budgeted Expenditure

Projected Budget 2017-18

Actual Expenditure at

30.09.2017Committed

1. Staffing Costs Salaries, Secondments, Specialists 270,000 22,000 248,000Travel, Subsistence, Training and Development 211,000 5,000 180,0002. Development & Running Costs Rent and Accommodation 0 0Stationery, Telephone, Printing, Copying, Equipment, IT, General 63,000 1,000 62,000Translation 15,000 1,000 5,000Software, Marketing, Communication, Research & Evaluation 22,000 3,000 19,0003. Delegated schools/ LASGrants Passported to LAS 36,657,000 7,331,000 29,326,000

Payments to Schools via LAS for Specific Work1 345,000 0 345,000 Unallocated 250,000 0 0

Total Estimated Expenditure 37,833,000 7,363,000 30,185,000

Professional Learning Schools; Lead schools to deliver menu of support; collaboration; supporting schools causing concern; Pioneer schools2The second EIG claim has been submitted and is due in from WG on the 10.11.17.

11

5. ERW Review and Reform Programme Team

The Joint Committee agreed on 21 September 2017 to appoint a Programme Team under the leadership of the Lead Chief Executive.

Welsh Government have provided support of £210k to the ERW Joint Committee to facilitate the transition period of the work.

Budgeted Spend Profile £Programme Manager £60,000Expert Facilitator – based on daily rate £20,000External Expertise to inform HR, Finance or School Improvement – based on daily rate to add capacity and advice/expertise where necessary

£20,000

Communication and Engagement Arrangements £10,000Costs incurred by LAs or ERW Central Team to support the implementation programme team – it is envisaged that short and medium term secondments will be necessary to support the implementation of the programme. Stability of the Central Team.

£100,000

Total £210,000

6. Risks

This report, in a similar vein to previous Financial Updates, highlights risks for ERW. The high cost of secondments and the growing expectations on ERW are well known. This is reflected in the Review and Reform Programme recommendations from the last meeting. Welsh Government have also identified the need to support us with additional resources. Estyn have identified the matter too as contributing to hindering progress.

As the lead financial authority for ERW, and as Section 151, there are implications for Pembrokeshire County Council HR and finance due to the capacity and staffing within the ERW Central Team. These risks are now longstanding, and business operating capacity as well as strategic capacity is insufficient currently to mitigate the risks.

12

7. ReservesThe table below shows the implications on ERW Reserves from April 2016. Taking into account last year’s movements resulted in total reserves of £542k at 31 March 2017, with this anticipated to reduce to £460k by 31 March 2018.

Useable Reserves General Working Total Reserve Reserve Reserves Balance 1 April 2016 472 472 2016-17 From Revenue 70 70 Transfer -100 100 0 Balance 31 March 2017 442 100 542 2017-18 To Revenue -82 -82 Balance 31 March 2018 360 100 460

8. Recommendations

The Joint Committee note the ERW Financial Update Quarter 2 - 2017-18.

The Joint Committee approve the lead section 151 officer and Lead Chief Executive to secure sufficient strategic and operating capacity to allow ERW to mitigate risks.

The Joint Committee approve the changes to the ERW Central Team Revenue Budget, Grant Allocations and ERW Reserves for 2017-18.

The Joint Committee note the significant risk to the region given the amount of core funding it receives and the effect on the regions reserves over the medium term.

Appendix A

Seconded Staff

Draft Budget for Secondments for 17/18

£

Leadership 267,000

School Improvement 81,000

Teaching & Learning 841,000

Support 124,000

Cluster 186,000

Total 1,499,000

Cluster Leaders Of Learning 50 Clusters across the region at an estimated £65k cost per clusterbudgeted costs for 2017-18 £16 appointed in September 495,0007 appointed due to start in January 18 110,00027 places budgeted to start in January 18 415,000

Total budgeted cost 17-18 1,020,000


ESTYN BRIEFING

PURPOSE: To inform the Joint Committee of the feedback from the Estyn InspectionRECOMMENDATIONS / KEY DECISIONS REQUIRED:That the Joint Committee receive and accept the report

REASONS: N/A

Report Author:Betsan O’Connor

Designation:

Managing Director

Tel No. 01267 245640


Agenda Item 7



1 DECEMBER 2017

Estyn Briefing


Estyn provided us with 4 recommendations during the inspection of June 2016. These were followed up in November 2017. Our self-evaluation of progress and the Estyn draft judgement as shared with ERW on November 16th 2017 is attached as papers.

The inspection team will not return formally to review progress further. They noted that the two case conferences taking place in the region and the two inspections of LAs during the coming year would allow them to review progress against JC recommendations of September 21 2017.

The full text of the recommendation is likely to feature in the report. DETAILED REPORT ATTACHED? YES

IMPLICATIONSRisk Management Issues YES

1. Risk ManagementThe Estyn activity in the region for the coming year means that progress against the JC recommendations of September 21 2017 will need to be sufficient. Failure to secure this progress is therefore a risk.

CONSULTATIONSN/A


THERE ARE NONE

1

Recommendation ERW Progress Judgement Estyn draft judgement

Ensure that school improvement services address the performance of schools causing concern, particularly in the secondary sector

Satisfactory progress Limited progressDue to limited progress of the secondary schools

in statutory categories.Also the lack of written agreement on roles and

responsibilities between the LA and ERW in relation to actions and activities undertaken in

SCC.Ensure that planning for education improvement clearly integrates local and regional priorities, so that ERW and local authority plans are complementary and contain actions that are specific and measurable, with appropriate milestones for delivery.

Satisfactory progress Satisfactory

Ensure that the work of the main boards and working groups is recorded carefully and consistently, so that concerns, decisions and actions are clear, auditable, fully costed and enable leaders to monitor progress.

Satisfactory Progress Satisfactory progress

Refine the framework for assessing value for money so that all relevant costs across the six authorities are taken into account fully when set against outcomes

Satisfactory progress Satisfactory progress

ERW JOINT COMMITTEE

1 DECEMBER 2017

ERW CODE OF CORPORATE GOVERNANCE

PURPOSE: Following on from the points made at the last meeting of the Joint Committee and the inability of the ERW central team to influence the performance management of School Improvement staff in the six LAs, the ERW Code of Corporate Governance for the central team has been redrafted and is attached. Also attached are the Code of Corporate Governance for each LA, which would cover the work and performance management of all School Improvement staff.


That the Joint Committee receive the Code of Corporate Governance for ERW.

REASONS: Joint Committee ApprovalReport Author:

Betsan O’Connor

Designation:

Managing Director

Tel No. 01267 676840


Agenda Item 8



1 DECEMBER 2017

ERW Code of Corporate Governance

BRIEF SUMMARY OF PURPOSE OF REPORTAt the last Joint Committee meeting it was noted that the ERW central team cannot influence the performance management of all School Improvement staff in local authorities.

The ERW Code of Corporate Governance for the central team has been redrafted and is attached for information. The Code of Corporate Governance for each LA is used to cover the work and performance management of all School Improvement staff.

Powys and NPT have not been able to submit their Code of Corporate Governance.

DETAILED REPORT ATTACHED? Codes of Corporate Governance attached:APPENDIX 1 - ERW;APPENDIX 2 - Carmarthenshire;APPENDIX 3 - Swansea;APPENDIX 4 - Pembrokeshire;APPENDIX 5 - Ceredigion;



NONE NONE NONE YES NONE

1. Risk ManagementThe Corporate Code of Governance is an additional layer of assurance for Internal Audit, and failure to comply with their recommendations is noted as a risk on the Central Risk Register

CONSULTATIONSN/A


THERE ARE NONE

Code of Corporate GovernanceERW Central Team

October 2017

1

ERW’s Code of Corporate Governance has been developed in accordance with ‘Delivering Good Governance in Local Government: Framework (CIPFA/Solace, 2016) (‘the Framework’).

The overall aim is to ensure that resources are directed in accordance with agreed policy and according to priorities, that there is sound and inclusive decision-making and that there is clear accountability for the use of those resources in order to achieve desired outcomes for service users and communities. The Framework positions the attainment of sustainable economic, societal, and environmental outcomes as a key focus of governance processes and structures, which is in line with the requirements of the Well-being of Future Generations (Wales) Act 2015.

Governance comprises the arrangements put in place to ensure that the intended outcomes for stakeholders are defined and achieved. To deliver good governance in the public sector entities must try to achieve their entity’s objectives while acting in the public interest at all times. Acting in the public interest implies primary consideration of the benefits for society, which should result in positive outcomes for service users and other stakeholders.

2

Core Principle A: Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law.

As an organisation, we are accountable not only for how much we spend, but also for how we use resources. This includes accountability for outputs, both positive and negative, and for the outcomes achieved as a result. In addition, we have an overarching responsibility to serve the public interest in adhering to the requirements of legislation and government policies. It is essential that, as a whole, we can demonstrate the appropriateness of all our actions across all activities and have mechanisms in place to encourage and enforce adherence to ethical values and to respect the rule of law.

3

Sub Principle: Behaving with IntegrityRequirement Local Guidance Sources of AssuranceEnsuring Officers and members behave with integrity and lead a culture where acting in the public interest is visibly and consistently demonstrated thereby protecting the reputation of ERW.

Induction for ERW staff and members of Joint Committee and Joint Scrutiny

Monitoring Officer and Section 151 Officer Guidance

Equal Opportunities Policy ERW Values and Aims

Ensuring Officers take the lead in establishing values for ERW and its staff and that they are communicated and understood. These should build on the Seven Principles of Public Life (the Nolan Principles).

Legal Agreement Code of Corporate Governance ERW Values and Aims Code of Conduct Equal Opportunities Policy

Demonstrating, communicating and embedding the values through appropriate policies and processes, which are reviewed on a regular basis to ensure that they are operating effectively.

HR Policies Legal Agreement Code of Corporate Governance ERW Values and Aims Code of Conduct Equal Opportunities Policy

Performance appraisals Declarations at meetings Publication of Delegated Decisions Minutes of the Executive Board and

Joint Committee meetings Minutes of meetings Declarations of interest Conduct of meetings Monitoring Officer Section 151 Officer Other Statutory Officer Register of gifts and hospitality

Sub Principle: Demonstrating strong commitment to ethical valuesRequirement Local Guidance Sources of AssuranceSeeking to establish, monitor and maintain ERW’s ethical standards and performance.

Complaints Policy Code of Conduct Equal Opportunities Policy

Underpinning personal behaviour with ethical values and ensuring

Job descriptions Induction Arrangements

Scrutiny work plan and minutes Scrutiny function Monitoring Officer Role Complaints & Compliments Performance Appraisals for Central

4

they permeate all aspects of ERW’s culture and operation.

Independent Statutory Officers Equal Opportunities Policy

Developing and maintaining robust policies and procedures which place emphasis on agreed ethical values.

Monitoring Officer Advice and Guidance Equal Opportunities Policy Welsh Language Policy

Ensuring that external providers of services on behalf of ERW are required to act with integrity and in compliance with ethical standards expected by ERW.

Contracts Procurement and Tendering Specification

and Evaluation. Authorisation Forms for Decision Required

SLAs Training and development, guidance and

feedback to LA employed staff working for ERW.

Team Internal and External Assurance

Provider Reviews Partnership Agreements / SLAs Self-Evaluation

Sub Principle: Respecting the rule of lawRequirement Local Guidance Sources of AssuranceEnsuring members and staff demonstrate a strong commitment to the rule of the law as well as adhering to relevant laws and regulations.

Statutory Provisions Monitoring Officer advice and guidance Code of Conduct Equal Opportunities Policy

Creating 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.

Job descriptions Joint Committee support

Striving to optimise the use of the full powers available for the benefit of citizens, communities

Advice and guidance from Legal Services Monitoring Officer

Statutory guidance is followed Monitoring & Appraisals Feedback Internal and External Audit Reports

5

and other stakeholders. Ensuring corruption and misuse of power are dealt with effectively.

6

Core Principle B: Ensuring openness and comprehensive stakeholder engagement.

ERW is run for the public good and should ensure openness in our activities. Clear, trusted channels of communication and consultation should be used to engage effectively with all groups of stakeholders, such as individual’s citizens and service users, as well as institutional stakeholders.

7

Sub Principle: Engaging comprehensively with institutional stakeholdersRequirement Local Guidance Sources of AssuranceEffectively engaging with institutional stakeholders to ensure that the purpose, objectives and intended outcomes for each stakeholder relationship are clear so that outcomes are achieved successfully and sustainably.

Local/National Guidance Joint Plan for Regional Working (ERW, GWE,

EAS, CSC) Grant conditions LA Annex

Developing formal and informal partnerships to allow for resources to be used more efficiently and outcomes achieved more effectively. Ensuring 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 partnerships working is explicit.

Local/National Guidance Joint Plan for Regional Working Grant conditions

Scrutiny Work Plan Legal Agreement Joint Plan Grant Conditions EIG Outcomes Framework

8

Sub Principle: OpennessRequirement Local Guidance Sources of AssuranceEnsuring an open culture through demonstrating, documenting and communicating ERW’s commitment to openness.

Joint Committee Meetings Executive Board Meetings

Making decisions that are open about 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. Providing 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.

Monitoring Officer Advice Committee Services Report Templates for

ERW Joint Committee and Executive Board Monitoring Officer Advice Risk Register

Using formal and informal consultation and engagement to determine the most appropriate and effective interventions/courses of action.

Complaints Policy Feedback from Headteacher Board Executive Board Function Self-Evaluation Role of Research and Evaluation Officer

Website Public Notices Scheme of Delegation Decision Log from Executive Board / Directors Publication of Joint Committee and Executive

Board Reports Annual calendar of events and meetings Annual financial calendar of deadlines and

guidance on compliance Annual Headteacher Survey

http://pccintranet/content.asp?nav=104,150,153&parent_directory_id=101

9

Core Principle C: Defining outcomes in terms of sustainable economic, social and environmental benefits.

The long-term nature and impact of ERW’s responsibilities mean that we should define and plan outcomes and that these are sustainable. Decisions should further ERW’s purpose, contribute to intended benefits and outcomes, and remain within the limits of authority and resources. Input from all groups of stakeholders, including citizens, service users, and institutional stakeholders, is vital to the success of this process and in balancing competing demands when determining priorities for the finite resources available.

10

Sub Principle: Defining outcomesRequirement Local Guidance Sources of AssuranceHaving a clear vision which is an agreed formal statement of ERW’s purpose and intended outcomes containing appropriate performance indicators, which provide the basis for ERW’s overall strategy, planning and other decisions.

Values and Aims Annual Business Plan ERW Strategy Legal Agreement

Specifying 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.

Communication Strategy

Identifying and managing risks to the achievement of outcomes.

Risk Register

Delivering defined outcomes on a sustainable basis within the resources that will be available. Managing service users’ expectations effectively with regard to determining priorities and making the best use of the resources available.

Financial Plan

Annual Improvement Cycle Risk Registers and arrangements

https://www.pembrokeshire.gov.uk/content.asp?nav=101,2096,1566,1710

11

Sub Principle: Sustainable economic, social and environmental benefitsRequirement Local Guidance Sources of AssuranceConsidering and balancing the combined economic, social and environmental impact of policies and plans when taking decisions about service provision.

Legislative requirements National Model for Regional Working Grant Conditions

Taking a longer-term view with regard to decision making, taking account of risk and acting transparently where there are potential conflicts between the ERW’s intended outcomes and short-term factors such as the political cycle or financial constraints.

Business Plan ERW Strategy Grant Conditions Legal Agreement

Determining 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.

HT survey and feedback On-going engagement with ERW HT Board Hub QA

Ensuring fair access to services. Equal Opportunities Policy Welsh Language Policy Staff Induction

Record of decision making and supporting materials

Complaints and Compliments Service Feedback Risk Register ERW Strategy and Business Plan

12

Core Principle D: Determining the interventions necessary to optimise the achievement of the intended outcomes.

At ERW we achieve intended outcomes by providing a mixture of legal, regulatory and practical interventions (courses of action). Determining the right mix of these courses of action is a critically important strategic choice that ERW has to ensure intended outcomes are achieved.

Robust decision-making mechanisms are in place to ensure that the defined outcomes can be achieved in a way that provides the best trade-off between the various types of resource inputs while still enabling effective and efficient operations. Decisions made need to be reviewed frequently to ensure that achievement of outcomes is optimised.

13

Sub Principle: Determining interventionsRequirement Local Guidance Sources of AssuranceEnsuring 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.

Decision making protocols Forward work plans

Considering feedback from 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 and bearing in mind future impacts.

HT Conferences Annual Headteacher Survey Newsletter feedback and information from survey

and questionnaires after events

Agenda reports and minutes of meetings

Data capture of support to schools (Rhwyd)

Support log analysis Decision log from Executive Board

Sub Principle: Planning interventionsRequirement Local Guidance Sources of AssuranceEstablishing and implementing robust planning and control cycles that cover strategic and operational plans, priorities and targets.

Joint Scrutiny meeting schedule Risk Register Business Plan

Engaging with internal and external stakeholders in determining how services and other courses of action should be planned and delivered.

Internal Audit Work Programme

Considering and monitoring risks facing each partner when working

Risk Register

Minutes of meetings Joint Committee and Executive Board

meetings Improvement Planning Schedule Service/Project Plans Reports to Committees Partnership Agreements Risk Register Business Plan Planning protocols Service Improvement Plans

14

collaboratively, including shared risks.Ensuring arrangements are flexible and agile so that the mechanisms for delivering goods and services can be adapted to changing circumstances.

Service Improvement Plans

Establishing appropriate key performance indicators (KPI’s) as part of the planning process in order to identify how the performance of services and projects is to be measured.

Service Improvement Plans Project Plans

Ensuring capacity exists to generate the information required to review service quality regularly.

Service Improvement Plans and Performance Monitoring

Operational MeetingsPreparing budgets in accordance with objectives, strategies and the medium term financial plan.

Financial Regulations

Informing medium and long-term resource planning by drawing up realistic estimates of revenue and capital expenditure aimed to developing a sustainable funding strategy.


Quarterly performance report Scrutiny Committee Reports Budget Monitoring Cost Reduction/Efficiency Monitoring Corporate and Service Improvement

Plans

Sub Principle: Optimising achievement of intended outcomesRequirement Local Guidance Sources of AssuranceEnsuring the medium term financial strategy integrates and balances service priorities, affordability and other resource constraints.

Service Planning Process Ongoing review of the Medium Term Financial Plan

Annual Budget Setting Process Annual Budget Report Committee Minutes

15

Ensuring the budgeting process is all-inclusive, taking into account the full cost of operations over the medium and longer term.

Service Planning Process

Ensuring the medium term financial strategy sets the context of 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.


Ensuring the achievement of ‘social value’ through service planning and commissioning.

Compliance with the 10 Principles of Welsh Public Procurement Policy as detailed in the Welsh Government’s Wales Procurement Policy Statement.

Quarterly Integrated Reports

16

Core Principle E: Developing ERW’s capacity including the capability of its leadership and the individuals within it.

At ERW we need appropriate structures and leadership, as well as people with the right skills, appropriate qualifications and mindset, to operate efficiently and effectively and achieve intended outcomes within the specified periods. At ERW we must ensure that we have both the capacity to fulfil our own mandate and to make certain that there are policies in place to guarantee that management has the operational capacity for ERW as a whole. Because both individuals and the environment in which ERW operates will change over time, there will be a continuous need to develop our capacity as well as the skills and experience of individual staff members. Leadership is strengthened by the participation of people with many different types of backgrounds, reflecting the structure and diversity of communities.

17

Sub Principle: Developing the entity’s capacityRequirement Local Guidance Sources of AssuranceReviewing operations, performance and use of assets on a regular basis to ensure their continuing effectiveness.

Performance Management Appraisal Process

Improving 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.

Scrutiny Committee

Recognising the benefits of partnership and collaborative working where added value can be achieved.

Joint Plan for Regional Working

Scrutiny Committees Appraisals Utilisation of research and benchmarking

exercises

Sub Principle: Developing the capability of ERW’s leadership and other individualsRequirement Local Guidance Sources of AssuranceDeveloping 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.

Legal Agreement ERW Values and Aims Induction of Members of Joint Committee and

Joint Scrutiny

Publishing a statement that specifies the types of decision that are delegated and those reserved for the collative decision making of the governing body.

Legal Agreement Scheme of Delegation Financial Regulations

Job descriptions Register of delegated decisions Minutes of Meetings (Executive Board &

Joint Committee) Induction and ongoing training and

development programme Arrangements for succession planning. Communication strategy Manager Performance Reviews Employee Performance Reviews

18

Ensuring the Chair of Joint Committee and Lead Chief Executive/Managing Director 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.

Legal Agreement ERW Values and Aims

Training and development plans HR policies Challenge and Review Records Estyn Reports

19

Developing the capabilities of members and senior management to achieve effective leadership and to enable ERW to respond successfully to changing legal and policy demands as well as economic, political and environmental changes and risks by:

ensuring members and staff have access to appropriate induction tailored to their role and that ongoing training and development matching individual and organisational requirements is available and encouraged.

ensuring members and officers have the appropriate skills, knowledge, resources and support to fulfil their roles and responsibilities and ensuring that they are able to update their knowledge on a continuing basis.

Ensuring personal, organisational and system-wide development through shared learning, including lessons learnt from governance weaknesses both internal and external.

Induction Learning & Development Programme Job Descriptions & Recruitment Best Practice Guidance

Taking steps to consider the leaderships own effectiveness and ensuring leaders are open to constructive feedback from peer review and inspections.

Performance Management Estyn Inspection Link HMI visits Challenge and Review

20

Holding staff to account through regular performance reviews, which take account of training and development needs.

Performance Appraisals

Ensuring arrangements are in place to maintain the health and wellbeing of the workforce and support individuals in maintaining their own physical and mental wellbeing.

HR Policies and Procedures

21

Core Principle F: Managing risks and performance through robust internal control and strong public financial management.

At ERW we need to ensure that the organisations and governance structures that we oversee have implemented and can sustain, an effective performance management system that facilitates effective and efficient delivery of planned services.

Risk management and internal control are important and integral parts of performance management system and are crucial to the achievement of outcomes. Risk should be considered and addressed as part of all decision making activities.

A strong system of financial management is essential for the implementation of policies and the achievement of intended outcomes, as it will enforce financial discipline, strategic allocation of resources, efficient service delivery and accountability.

It is also essential that a culture and structure for scrutiny are in place as a key part of accountable decision making, policy making and review. A positive working culture that accepts, promotes and encourages constructive challenge is critical to successful scrutiny and successful service delivery.

Importantly, this culture does not happen automatically, it requires repeated public commitment from those in authority.

22

Sub Principle: Managing riskRequirement Local Guidance Sources of AssuranceRecognising that risk management is an integral part of all activities and must be considered in all aspects of decision making.

Risk Register

Implementing robust and integrated risk management arrangements and ensuring that they are working effectively.

Risk Register Business Plan

Ensuring that responsibilities for managing individual risks are clearly allocated.

Risk Register Business Plan

Risk Registers Business Plans

Sub Principle: Managing performanceRequirement Local Guidance Sources of AssuranceMonitoring service delivery effectively including planning, specification, execution and independent post implementation review.

Service Improvement Plans Performance Management

Making decisions based on relevant, clear objective analysis and advice pointing out the implications and risks inherent in ERW’s financial, social and environmental position and outlook.

Report Templates for Committees Forward Work Plans

Ensuring 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

Joint Scrutiny Committee

Audit Plans Publication of Joint Committee and

Executive Board documentation of meetings

Agreement on the information that will be needed and timescales

Discussion between members and officers on the information needs of members to support decision-making.

Scrutiny Committee’s Terms of Reference

Agenda and minutes of Scrutiny meetings

Evidence as a result of scrutiny Training for members Committee reports Budget Reports

http://vmmoderngov1:8070/ieDocHome.aspx?bcr=1&LLL=0

23

enhancing ERW’s performance and that of any organisation for which it is responsible.Providing members and senior management with regular reports on service delivery plans and on progress towards outcome achievement.

Joint Scrutiny Committee

Ensuring there is consistency between specification stages (such as budgets) and post implementation reporting (e.g. financial statements).


Sub Principle: Robust internal controlRequirement Local Guidance Sources of AssuranceAligning the risk management strategy and policies on internal control with achieving objectives.

Risk Register

Evaluating and monitoring risk management and internal control on a regular basis.

Risk Register

Ensuring effective counter fraud and anti-corruption arrangements are in place.

Whistleblowing Policy

Ensuring additional assurance on the overall adequacy and effectiveness of the framework of governance, risk management and control is provided by the internal auditor.

Business Plan Internal Audit Reports

Risk registers Audit plan Audit reports Reports to Scrutiny Committee Annual Governance Statement 2015-16 Head of Internal Audit Annual Assurance

Statement

24

Sub Principle: Managing dataRequirement Local Guidance Sources of AssuranceEnsuring effective arrangements are in place for the safe collection, storage, use and sharing of data, including processes to safeguard personal data.

Data Protection Policy Freedom of Information Policy

Ensuring effective arrangements are in place and operating effectively when sharing data with other bodies.

IT Security and Internet Policy

Reviewing and auditing regularly the quality and accuracy of data used in decision making and performance monitoring.


Data Protection Policy and Procedures Data sharing agreement Data sharing register Data processing agreements Data quality procedures and reports Internal Audit Reports

Sub Principle: Strong public financial managementRequirement Local Guidance Sources of AssuranceEnsuring financial management supports both long term achievement of outcomes and short-term financial and operational performance.


Ensuring well-developed financial management is integrated at all levels of planning and control, including management of financial risks and controls.


Annual Outturn Report Budget monitoring reports

25

Core Principle G: Implementing good practices in transparency, reporting and audit to deliver effective accountability.

Accountability is about ensuring that those making decisions and delivering services are answerable for them. Effective accountability is concerned not only with reporting on actions completed, but also ensuring that stakeholders are able to understand and respond as ERW plans and carries out its activities in a transparent manner.

Both external and internal audit contribute to effective accountability.

26

Sub Principle: Implementing good practice in transparencyRequirement Local Guidance Sources of AssuranceWriting and communicating 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.

Joint Committee Meetings Executive Board Meetings Headteacher Board Discussions with Headteacher Associations Trade Union Stakeholder Meetings

Striking 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.

Joint Committee Meetings Joint Scrutiny

Website Joint Committee and Executive Board

Meetings Joint Scrutiny Meetings Communication Plan Headteacher Board Discussions with Headteacher

Associations Trade Union Stakeholder meetings

Sub Principle: Implementing good practice in reportingRequirement Local Guidance Sources of AssuranceReporting at least annually on performance, value for money and stewardship of resources to stakeholders in a timely and understandable way.

Legal Agreement ISO260

Ensuring members and senior management own the results reported.

Legal Agreement

Annual Statement of Accounts Annual Governance Statement Internal Audit Review Annual Governance Statement Partnership Agreements

27

Sub Principle: Assurance and effective accountabilityRequirement Local Guidance Sources of AssuranceEnsuring that recommendations for corrective action made by external audit are acted upon.

Internal Audit Reports

Ensuring 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.


Welcoming peer challenge, reviews and inspections from regulatory bodies and implementing recommendations.


Gaining assurance on risks associated with delivering services

Risk Register

Scrutiny Committees Head of Internal Audit Annual Assurance

Statement Annual Governance Statements Risk Registers

Ensuring 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.Ensuring that this Framework is applied to jointly managed or shared service organisations as appropriate.

Joint Regional Plan

Ensuring 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.


28

through third parties and that this is evidenced in the annual governance statement.Ensuring that when working in partnership, arrangements for accountability have been recognised and met.

Joint Working Plan

29

Application & Monitoring

In order to demonstrate the spirit and ethos of good governance, the shared values of ERW must be reflected in the behaviour of Officers and Members, as well as Policy, in order to integrate into the Culture.

As part of the review of the Annual Governance Process, an independent assessment of Compliance with this Regional Code of Corporate Governance will be undertaken by the Internal Audit Service. This will also rely on work undertaken in year by both Internal Audit, Wales Audit Office and other Regulatory Bodies.

Directors and Statutory Officers will be required to complete a self-assessment of the application of the Regional Code of Corporate Governance within their area of responsibility.

The outcome of these assessments, along with the Head of Internal Audit Annual Assurance Statement will inform the Annual Governance Statement. Any areas that require further improvement will be considered for inclusion as a Significant Governance Issue or a Priority for Improvement.

The Regional Code of Corporate Governance will be subject to annual review and update to reflect changes to working practices and policies.

Carmarthenshire County Council

Code Reviewed: March 2016 Page 1 of 9

CODE OF CORPORATE GOVERNANCE

Introduction

1. This Code sets out Carmarthenshire County Council’s approach to achieving and maintaining good corporate governance. It follows guidance produced by the Chartered Institute of Public Finance and Accountancy (CIPFA) and the Society of Local Authority Chief Executives and Senior Managers (SOLACE), and also takes account of the Welsh Assembly Government’s ‘citizen-centred governance principles for Wales’.

2. Carmarthenshire County Council (the Council) is by nature, a complex organisation which affects the lives of all citizens in the area: As well as providing a diverse range of services, it also works with partner organisations who provide other public services. The Council’s aims and priorities reflect these responsibilities.

3. The Council sees Corporate Governance as “doing the right things, in the right way, for the right people in a timely, inclusive, open, honest and accountable manner.” It comprises the systems and processes, and also the culture and values, by which the Council is directed and controlled and how it accounts to and engages with its citizens.

4. Strong, transparent and responsive governance enables the Council to put citizens first by pursuing its aims and priorities effectively, and by underpinning them with appropriate mechanisms for managing performance and risk. In order to maintain citizens’ confidence, these mechanisms must be sound and be seen to be sound.

The Governance Framework comprises the systems and processes, and cultures 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.

Governance Principles

5. The Council operates through a governance framework that brings together its legislative responsibilities and management processes with six core governance principles based on those developed by the Independent Commission on Good Governance in Public Services in 2004. These are:

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

ii. Members and officers working together to achieve a common purpose with clearly defined functions and roles in order to achieve the best possible outcomes for citizens;



iii. Promoting values for the authority and demonstrating the values of good governance through upholding high standards of conduct and behaviour;

iv. Taking informed and transparent decisions which are subject to effective scrutiny and managing risk in order to foster innovation;

v. Developing the capacity and capability of members and officers to be effective; and

vi. Engaging with local people and other stakeholders to ensure robust public accountability.

6. The Council commits itself to each of these principles. The schedule shows how this will be achieved.

Monitoring, Review and Changes

7. The Council’s commitment to good corporate governance includes the application, development and maintenance of this Code. The Leader and Chief Executive are responsible for the regular review of the governance systems and processes that are in place to ensure that they are applied and are effective and meet the aspirations and deliver the requirements of the Code of Governance. The results of this review are contained in an Annual Governance Statement which is reported to the Audit Committee and then published with the Annual Statement of Accounts.

8. The Corporate Governance Group comprising key officers will co-ordinate manage and report on the governance arrangements of the Authority. Where the reviews of the governance arrangements reveal possible gaps or weaknesses, action will be agreed that will ensure improved governance. Agreed action plans emanating from the reviews will be monitored for implementation.

The Group comprises:

Deputy Leader – Resources

Deputy Leader – Communities

Audit Committee Chair (Observer)

Director of Corporate Services (s.151 Officer)

Head of Administration & Law (Monitoring Officer)

Head of Financial Services

Assistant Chief Executive (Regeneration & Policy)

Assistant Chief Executive (People Management & Performance)

Head of Audit, Risk & Procurement

Audit & Risk Manager

9. Independent sources of assurance concerning the Code’s suitability and effectiveness include Internal Audit, External Audit, the work of the Council’s Standards Committee and the Scrutiny Function.



10. Any changes that are required to this Code resulting from its review or from changes in legislation or recommended best practice will be submitted to the Audit Committee for approval.

SCHEDULE

Principle 1: Focusing on the purpose of the authority and on outcomes for the community and creating and implementing a vision for the local area

We will therefore: by:

focus on the diverse needs of citizens and service users and exercise strategic leadership by developing and clearly communicating our purpose, vision and intended outcomes .

developing and promoting our purpose

and vision, reviewing them on a regular

basis, and considering the implications for

the way the authority is run

ensuring that our partnerships

are underpinned by a common

understanding and purpose which is

shared by all partners

communicating our activities,

achievements, financial position and

performance

promoting equality of

opportunity, combating

discrimination and harassment and

promoting good community relations

ensure that users receive a high quality of service whether directly, in partnership, or by commissioning,

deciding how the quality of service for

users is to be measured and making sure that

we have the information needed to review

quality effectively and regularly

having in place effective

arrangements to identify and deal

with failures in service delivery

ensure that best use is made of resources and that taxpayers and service users receive excellent value for money

deciding how value for money is to be

measured and making sure that we have the

information needed to review value for

money and performance effectively

measuring the environmental impact of

policies, plans and decisions

working constructively with partner

organisations to deliver improved services

Principle 2: Members and officers working together to achieve a common purpose with clearly defined functions and roles in order to achieve the best possible outcomes for citizens.


ensure that there is effective leadership throughout the authority and specify clearly the roles and responsibilities of

setting out a clear statement of the respective

roles and responsibilities of the executive and of

the executive’s members individually, and the

authority’s approach towards putting this into



the executive and non-executive functions and also the scrutiny function

practice

setting out a clear statement of the

respective roles and responsibilities of

other authority members, members

generally and of senior officers

ensure that a constructive working relationship exists between authority members and officers and that the responsibilities of members and officers are carried out to a high standard

having in place a scheme of delegation and

reserve powers within the constitution, which

includes a formal schedule of those matters

specifically reserved for collective decision of the

authority and which takes account of relevant

legislation, and by ensuring that it is monitored

and updated when required

the Chief Executive being responsible

and accountable to the authority for all

aspects of operational management

having protocols in place which

ensure that the Leader and Chief

Executive negotiate and agree their

respective roles early in the relationship

and which maintain a shared

understanding of the roles

a senior officer being responsible to

the authority for ensuring that appropriate

advice is given on all financial matters, for

keeping proper financial records and

accounts, and for maintaining an effective

system of internal financial control

a senior officer being responsible to

the authority for ensuring compliance with

agreed procedures and all applicable

statutes

ensure that relationships between the authority, its partners and the public are clear so that each knows what to expect of the other

having in place protocols to ensure effective

communication between members and officers in

their respective roles

setting out the terms and conditions for

remunerating members and officers and an

effective structure for managing the process

having in place effective mechanisms to

monitor service delivery

developing our vision, strategic plans,

priorities and targets through robust mechanisms,

which include consultation with the local

community and other key stakeholders, and by

articulating and disseminating them clearly

having in place governance arrangements for

partnerships which:



− clarify the roles of members both

individually and collectively in relation to

the partnership and to the authority,

− clearly set out the legal status of the

partnership,

− make clear the extent to which

representatives or organisations both

understand and make clear to all other

partners the extent of their authority to

bind their organisation to partner decisions

Principle 3: Promoting values for the authority and demonstrating the values of good governance through upholding high standards of conduct and behaviour.


ensure that members and officers exercise leadership by behaving in ways that exemplify high standards of conduct and effective governance

requiring the authority’s leadership to set a tone

for the organisation by creating a climate of

openness, support and respect

defining and communicating through

codes of conduct and protocols the standards

of conduct and personal behaviour expected

of our members and staff, of work between

members and staff and between the

authority, its partners and the community.

having in place arrangements which

prevent our members and employees being

influenced by prejudice, bias or conflicts of

interest in dealing with different

stakeholders, and appropriate processes to

ensure that the arrangements continue to

operate in practice

ensure that organisational values, and particularly the corporate values of equality and sustainability, are put into practice and are effective

developing and maintaining shared values,

including leadership values, for both the

organisation and staff and which reflect public

expectations, and by communicating these with

members, staff, the community and partners

designing systems and processes in conformity

with appropriate ethical standards, and by

monitoring their continuing effectiveness in practice

maintaining an effective standards committee

using the our shared values to act as a guide for

decision making and as a basis for developing

positive and trusting relationships within the

authority

agreeing values for partnerships against which

decision making and actions can be judged, and



which are demonstrated by partners’ behaviour both

individually and collectively

Principle 4: Taking informed and transparent decisions, which are subject to effective scrutiny and managing risk in order to foster innovation.


be rigorous and transparent about how decisions are taken and listen and act on the outcome of constructive scrutiny

maintaining an effective scrutiny function

which encourages constructive challenge and

enhances the authority’s performance overall

having in place open and effective mechanisms

for documenting evidence for decisions and by

recording the criteria, rationale and considerations

on which decisions are based

having in place arrangements to safeguard

members and employees against conflicts of

interest and effective processes to ensure that they

continue to operate in practice

having in place an effective audit committee

whose role is independent of the executive and

scrutiny functions

ensuring that effective, transparent and

accessible arrangements are in place for dealing

with complaints

have good – quality information, advice and support to ensure that services are delivered effectively and are what the community wants / needs

ensuring that those making decisions, whether

for the authority or partnerships, are provided with

information that is fit for the purpose – relevant,

timely and giving clear explanations of technical

issues and their implications

ensuring that proper professional advice is

available on matters that have legal or financial

implications and recorded well in advance of

decision

ensure that effective risk management is in place

embedding risk management into the culture of

the authority, where members and managers at all

levels recognising that risk management is part of

their jobs

maintaining effective arrangements for whistle-

blowing which are easily accessible to officers,

staff and all those contracting with or appointed by

the authority.

use its legal powers to the full benefit of the citizens and communities in their areas

actively recognising the limits of lawful

activity due to, for example, the ultra vires doctrine,

but also striving to utilise our statutory powers to

the full benefit of our communities

recognising the limits of lawful action and

observing both the specific requirements of

legislation and the general responsibilities placed

on authorities by public law



observing all specific legislative requirements

placed upon the authority, as well as the

requirements of general law, and in particular, by

integrating the key principles of good

administrative law – rationality, legality and natural

justice – into our procedures and decision making

processes

Principle 5: Developing the capacity and capability of members and officers to be effective.


ensure that members and officers have the skills, knowledge, experience and resources they need to perform well in their roles

providing induction programmes tailored to

individual needs and opportunities for members

and officers to update their knowledge on a

regular basis

the statutory officers having the skills,

resources and support necessary to perform

effectively and by disseminating a clear

understanding of their roles throughout the

authority

develop the capability of people with governance responsibilities and evaluate their performance, as individuals and as a group.

assessing the skills required by members and

officers and committing the authority to develop

these skills to enable roles to be carried out

effectively

developing skills on a continuing basis to

improve performance, including the ability to

scrutinise and challenge and to recognise when

outside expert advice is needed

ensuring that effective arrangements

are in place for reviewing the

performance of the executive as a whole

and of individual members and by

agreeing an action plan which might, for

example, aim to address any training or

development needs

encourage new talent for membership of the authority so that best use can be made of individuals’ skills and resources in balancing continuity and renewal

having in place effective arrangements in

place designed to encourage individuals from all

sections of the community to engage with,

contribute to and participate in the work of the

authority

ensuring that career structures are in place

for members and officers to encourage

participation and development

Principle 6: Engaging with local people and other stakeholders to ensure robust public accountability


exercise leadership through a robust scrutiny function which

making clear throughout all the authority and

to all staff and the community to whom the



effectively engages local people and all local institutional stakeholders, including partnerships, and develops constructive accountability relationships

authority is accountable and for what

considering those institutional

stakeholders to whom the authority is

accountable and assessing the

effectiveness of the relationships and any

changes required

producing an annual report on the

activity of the scrutiny function

take an active and planned approach to dialogue with and accountability to the public to ensure effective and appropriate service delivery whether directly by the authority, in partnership or by commissioning

ensuring that clear channels of

communication are in place with all sections of

the community and other stakeholders, and by

having in place monitoring arrangements to

ensure that they operate effectively

holding meetings in public unless there are

good reasons for confidentiality

ensuring that arrangements are in place to

enable the authority to engage with all sections of

the community effectively, that these recognise

that different sections of the community have

different priorities, and by establishing explicit

processes for dealing with these competing

demands

establishing a clear policy on the types of

issues we will meaningfully consult on or engage

with the public and service users about, including

a feedback mechanism to demonstrate what has

changed as a result

publishing an annual improvement plan

giving information on the authority’s vision,

strategy, plans and financial statements as well as

information about outcomes, achievements and

the satisfaction of service users in the previous

period

ensuring that the authority as a whole is open

and accessible to the community, service users

and our staff, and that it has made a commitment

to openness and transparency in all its dealings,

including partnerships, subject only to the need to

preserve confidentiality in those specific

circumstances where it is proper and appropriate

to do so

make best use of human resources by taking an active and planned approach to meet responsibility to staff

developing and maintaining a clear policy on

how staff and their representatives are consulted

and involved in decision making

Report of the Section 151 Officer

Council – 24 August 2017


Purpose: This report provides the revised Code of Corporate Governance and allows Council to approve the revised Code based on the CIPFA/SOLACE Framework issued for 2016/17 onwards.

Policy Framework: None

Consultation: Corporate Management Team, Legal, Finance and Access to Services

Recommendation(s): It is recommended that Council approves the revised Code of Corporate Governance.

Report Author: Simon Cockings

Finance Officer: Simon Cockings

Legal Officer: Tracey Meredith

Access to Services Officer:

Sherill Hopkins

1. Introduction

1.1 The Delivering Good Governance in Local Government Framework 2016 Edition produced by CIPFA and SOLACE (the Framework) defines governance as

‘Governance comprises the arrangements put in place to ensure that the intended outcomes for stakeholders are defined and achieved.’

The Framework also states that

‘To deliver good governance in the public sector, both governing bodies and individuals working for public sector entities must try to achieve their entity’s objectives while acting in the public interest at all times,

Acting in the public interest implies primary consideration of the benefits for society, which should result in positive outcomes for service users and other stakeholders.

1.2 In local government, the governing body is the full council

2. Code of Corporate Governance

2.1 The Delivering Good Governance in Local Government Framework published by CIPFA and SOLACE in 2007 set the standard for local authority governance in the UK. CIPFA and SOLACE reviewed the Framework in 2015 to ensure it remained fit for purpose and published a revised Framework in spring 2016.

2.2 The new Delivering Good Governance in Local Government Framework 2016 edition applies to annual governance statements prepared for the financial year 2016/17 onwards.

2.3 The concept underpinning the Framework is that it is helping local government in taking responsibility for developing and shaping an informed approach to governance, aimed at achieving the highest standards in a measured and proportionate way. The Framework is intended to assist authorities individually in reviewing and accounting for their own unique approach. The overall aim is to ensure:

Resources are directed in accordance with agreed policies and according to priorities

There is sound and inclusive decision making There is clear accountability for the use of those resources in order to

achieve desired outcomes for service users and communities

2.4 The term local Code of Corporate Governance essentially refers to the approved governance structure in place, as there is an expectation that a formally set out local structure should exist, although in practice it may consist of a number of local codes or documents.

2.5 To achieve good governance, each local authority should be able to demonstrate that its governance structures comply with the core and sub-principles contained in the Framework. It should therefore develop and maintain a local Code of Corporate Governance reflecting the principles set out in the Framework.

2.6 It is also crucial that he Framework is applied in a way that demonstrates the sprit and ethos of good governance which cannot be achieved by rules and procedures alone. Shared values that are integrated into the culture of an organisation and are reflected in behaviour and policy are hallmarks of good governance.

2.7 The Accounts and Audit (Wales) Regulations 2014 require that a review of the effectiveness of the governance arrangements must be undertaken at least annually and reported on within the authority e.g. to the Audit Committee or other appropriate member body and externally with the published accounts of the authority. In doing this, the authority is looking to provide assurance that:

Its governance arrangements are adequate and working effectively in practice.

Where the reviews of the governance arrangements have revealed significant gaps which will impact on the authority achieving its objectives, what action is to be taken to ensure effective governance in future.

2.8 The Code of Corporate Governance for the City and County of Swansea based on the principles of the 2016 edition of the CIPFA/SOLACE Framework is shown in Appendix 1.

3. Equality and Engagement Implications

3.1 There are no equality and engagement implications associated with this report

4. Financial Implications

4.1 There are no financial implications associated with this report.

5. Legal Implications

5.1 There are no legal implications associated with this report.

Background Papers: None Appendices: Appendix 1 - Code of Corporate Governance


1. Definition of Governance

1.1 The Delivering Good Governance in Local Government Framework 2016 Edition produced by CIPFA and SOLACE (the Framework) defines governance as

‘Governance comprises the arrangements put in place to ensure that the intended outcomes for stakeholders are defined and achieved.’

The Framework also states that

‘To deliver good governance in the public sector, both governing bodies and individuals working for public sector entities must try to achieve their entity’s objectives while acting in the public interest at all times,

Acting in the public interest implies primary consideration of the benefits for society, which should result in positive outcomes for service users and other stakeholders.

1.2 In local government, the governing body is the full council.

2. Background

2.1 The Delivering Good Governance in Local Government Framework published by CIPFA and SOLACE in 2007 set the standard for local authority governance in the UK. CIPFA and SOLACE reviewed the Framework in 2015 to ensure it remained fit for purpose and published a revised Framework in spring 2016.

2.2 The new Delivering Good Governance in Local Government Framework 2016 edition applies to annual governance statements prepared for the financial year 2016/17 onwards.

2.3 The concept underpinning the Framework is that it is helping local government in taking responsibility for developing and shaping an informed approach to governance, aimed at achieving the highest standards in a measured and proportionate way. The Framework is intended to assist authorities individually in reviewing and accounting for their own unique approach. The overall aim is to ensure:

Resources are directed in accordance with agreed policies and according to priorities.

Appendix 1

There is sound and inclusive decision making. There is clear accountability for the use of those resources in order to

achieve desired outcomes for service users and communities.

2.4 The term local Code of Corporate Governance essentially refers to the approved governance structure in place, as there is an expectation that a formally set out local structure should exist, although in practice it may consist of a number of local codes or documents.

2.5 To achieve good governance, each local authority should be able to demonstrate that its governance structures comply with the core and sub-principles contained in the Framework. It should therefore develop and maintain a local Code of Corporate Governance reflecting the principles set out in the Framework.

2.6 It is also crucial that the Framework is applied in a way that demonstrates the sprit and ethos of good governance which cannot be achieved by rules and procedures alone. Shared values that are integrated into the culture of an organisation and are reflected in behaviour and policy are hallmarks of good governance.

2.7 The Accounts and Audit (Wales) Regulations 2014 require that a review of the effectiveness of the governance arrangements must be undertaken at least annually and reported on within the authority e.g. to the Audit Committee or other appropriate member body and externally with the published accounts of the authority. In doing this, the authority is looking to provide assurance that:

Its governance arrangements are adequate and working effectively in practice.

Where the reviews of the governance arrangements have revealed significant gaps which will impact on the authority achieving its objectives, what action is to be taken to ensure effective governance in future.

2.8 The Code of Corporate Governance for the City and County of Swansea based on the principles of the 2016 edition of the CIPFA/SOLACE Framework is shown below.

Principle A - Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law Local government organisations are accountable not only for how much they spend, but also for how they use the resources under their stewardship. This includes accountability for outputs, both positive and negative, and for the outcomes they have achieved. In addition, they have an overarching responsibility to serve the public interest in adhering to the requirements of legislation and government policies. It is essential that, as a whole, they can demonstrate the appropriateness of all their actions and have mechanisms in place to encourage and enforce adherence to ethical values and to respect the rule of law.

Sub-Principles Behaviours and Actions that Demonstrate Good Governance in PracticeEnsuring 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 Ensuring 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 should build on the Principles of Public Life (the Nolan Principles) Leading by example and using these standard operating principles or values as a framework for decision making and other actions

Behaving with integrity

Demonstrating, communicating and embedding 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 Seeking to establish, monitor and maintain the organisation’s ethical standards and performance Underpinning personal behaviour with ethical values and ensuring they permeate all aspects of the organisation’s culture and operation Developing and maintaining robust policies and procedures which place emphasis on agreed ethical values

Demonstrating strong commitment to ethical values

Ensuring that external providers of services on behalf of the organisation are required to act with integrity and in compliance with high ethical standards expected by the organisation

Sub-Principles Behaviours and Actions that Demonstrate Good Governance in PracticeEnsuring members and staff demonstrate a strong commitment to the rule of the law as well as adhering to relevant laws and regulations Creating 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 Striving to optimise the use of the full powers available for the benefit of citizens, communities and other stakeholders Dealing with breaches of legal and regulatory provisions effectively

Respecting the rule of law

Ensuring corruption and misuse of power are dealt with effectively

Principle B – Ensuring openness and comprehensive stakeholder engagementLocal government is run for the public good; organisations therefore should ensure openness in their activities. Clear, trusted channels of communication and consultation should be used to engage effectively with all groups of stakeholders, such as individual citizens and service users, as well as institutional stakeholders.

Sub-Principles Behaviours and Actions that Demonstrate Good Governance in PracticeEnsuring an open culture through demonstrating, documenting and communicating the organisation’s commitment to openness Making decisions that are open about 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 Providing 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

Openness

Using formal and informal consultation and engagement to determine the most appropriate and effective interventions/ courses of action Effectively engaging with institutional stakeholders to ensure that the purpose, objectives and intended outcomes for each stakeholder relationship are clear so that outcomes are achieved successfully and sustainably Developing formal and informal partnerships to allow for resources to be used more efficiently and outcomes achieved more effectively

Engaging comprehensively with institutional stakeholders

Ensuring 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

Sub-Principles Behaviours and Actions that Demonstrate Good Governance in PracticeEstablishing a clear policy on the type of issues that the organisation will meaningfully consult with or involve individual citizens, service users and other stakeholders to ensure that service (or other) provision is contributing towards the achievement of intended outcomes Ensuring that communication methods are effective and that members and officers are clear about their roles with regard to community engagement Encouraging, collecting and evaluating the views and experiences of communities, citizens, service users and organisations of different backgrounds including reference to future needs Implementing effective feedback mechanisms in order to demonstrate how their views have been taken into account Balancing feedback from more active stakeholder groups with other stakeholder groups to ensure inclusivity

Engaging stakeholders effectively, including individual citizens and service users

Taking account of the interests of future generations of tax payers and service users

Principle C – Defining outcomes in terms of sustainable economic, social and environmental benefitsThe long-term nature and impact of many of local government’s responsibilities mean that it should define and plan outcomes and that these should be sustainable. Decisions should further the authority’s purpose, contribute to intended benefits and outcomes, and remain within the limits of authority and resources. Input from all groups of stakeholders, including citizens, service users and institutional stakeholders, is vital to the success of this process and in balancing competing demands when determining priorities for the finite resources available

Sub-Principles Behaviours and Actions that Demonstrate Good Governance in PracticeHaving a clear vision which is an agreed formal statement of the organisation’s purpose and intended outcomes containing appropriate performance indicators, which provides the basis for the organisation’s overall strategy, planning and other decisions Specifying 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 Delivering defined outcomes on a sustainable basis within the resources that will be available Identifying and managing risks to the achievement of outcomes

Defining outcomes

Managing service users’ expectations effectively with regard to determining priorities and making the best use of the resources available Considering and balancing the combined economic, social and environmental impact of policies, plans and decisions when taking decisions about service provision Taking 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 Determining 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

Sustainable economic, social and environmental benefits

Ensuring fair access to services

Principle D – Determining the interventions necessary to optimise the achievement of the intended outcomesLocal government achieves its intended outcomes by providing a mixture of legal, regulatory and practical interventions. Determining the right mix of these courses of action is a critically important strategic choice that local government has to make to ensure intended outcomes are achieved. They need robust decision-making mechanisms to ensure that their defined outcomes can be achieved in a way that provides the best trade-off between the various types of resource input while still enabling effective and efficient operations. Decisions made need to be reviewed continually to ensure that achievement of outcomes is optimisedSub-Principles Behaviours and Actions that Demonstrate Good Governance in Practice

Ensuring decision makers receive objective and rigorous analysis of a variety of options indicating how intended outcomes would be achieved and including the risks associated with those options. Therefore ensuring best value is achieved however services are provided

Determining interventions

Considering 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 Establishing and implementing robust planning and control cycles that cover strategic and operational plans, priorities and targets Engaging with internal and external stakeholders in determining how services and other courses of action should be planned and delivered Considering and monitoring risks facing each partner when working collaboratively including shared risks Ensuring arrangements are flexible and agile so that the mechanisms for delivering outputs can be adapted to changing circumstances Establishing appropriate local performance indicators (as well as relevant statutory or other national performance indicators) as part of the planning process in order to identify how the performance of services and projects is to be measured Ensuring capacity exists to generate the information required to review service quality regularly Preparing budgets in accordance with organisational objectives, strategies and the medium-term financial plan

Planning interventions

Informing medium and long-term resource planning by drawing up realistic estimates of revenue and capital expenditure aimed at developing a sustainable funding strategy

Sub-Principles Behaviours and Actions that Demonstrate Good Governance in PracticeEnsuring the medium term financial strategy integrates and balances service priorities, affordability and other resource constraints Ensuring the budgeting process is all-inclusive, taking into account the full cost of operations over the medium and longer term Ensuring 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

Optimising achievement of intended outcomes

Ensuring the achievement of ‘social value’ through service planning and commissioning. The Public Services (Social Value) Act 2012 states that this is “the additional benefit to the community...over and above the direct purchasing of goods, services and outcomes”

Principle E – Developing the entity’s capacity , including the capability of its leadership and the individuals within it.Local government needs appropriate structures and leadership, as well as people with the right skills, appropriate qualifications and mindset, to operate efficiently and effectively and achieve their intended outcomes within the specified periods. A local government organisation must ensure that it has both the capacity to fulfil its own mandate and to make certain that there are policies in place to guarantee that its management has the operational capacity for the organisation as a whole. Because both individuals and the environment in which an authority operates will change over time, there will be a continuous need to develop its capacity as well as the skills and experience of the leadership of individual staff members. Leadership in local government entities is strengthened by the participation of people with many different types of backgrounds, reflecting the structure and diversity of communitiesSub-Principles Behaviours and Actions that Demonstrate Good Governance in Practice

Reviewing operations, performance and use of assets on a regular basis to ensure their continuing effectiveness Improving resource use through appropriate application of techniques such as benchmarking and other options in order to determine how the authority’s resources are allocated so that outcomes are achieved effectively and efficiently Recognising the benefits of partnerships and collaborative working where added value can be achieved

Developing the entity’s capacity

Developing and maintaining an effective workforce plan to enhance the strategic allocation of resources Developing 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 Publishing a statement that specifies the types of decisions that are delegated and those reserved for the collective decision making of the governing body

Developing the capability of the entity’s leadership and other individuals

Ensuring the leader and the chief executive have clearly defined and distinctive leadership roles within a structure, whereby the chief executive leads the authority 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 P

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Sub-Principles Behaviours and Actions that Demonstrate Good Governance in PracticeDeveloping the capabilities of members and senior management to achieve effective shared 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 by:

ensuring members and staff have access to appropriate induction tailored to their role and that ongoing training and development matching individual and organisational requirements is available and encouraged

ensuring members and officers have the appropriate skills, knowledge, resources and support to fulfil their roles and responsibilities and ensuring that they are able to update their knowledge on a continuing basis

ensuring personal, organisation and system-wide development through shared learning, including lessons learnt from both internal and external governance weaknesses

Ensuring that there are structures in place to encourage public participation Taking 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 Ensuring arrangements are in place to maintain the health and wellbeing of the workforce and support individuals in maintaining their own physical and mental wellbeing

Principle F – Managing risks and performance through robust internal control and string public financial managementLocal government needs to ensure that the organisations and governance structures that it oversees have implemented, and can sustain, an effective performance management system that facilitates effective and efficient delivery of planned services. Risk management and internal control are important and integral parts of a performance management system and crucial to the achievement of outcomes. Risk should be considered and addressed as part of all decision making activities. A strong system of financial management is essential for the implementation of policies and the achievement of intended outcomes, as it will ensure financial discipline, strategic allocation of resources, efficient service delivery and accountability. It is also essential that a culture and structure for scrutiny is in place as a key part of accountable decision making, policy making and review. A positive working culture that accepts, promotes and encourages constructive challenge is critical to successful scrutiny and successful delivery. Importantly, this culture does not happen automatically, it requires repeated public commitment from those in authority.Sub-Principles Behaviours and Actions that Demonstrate Good Governance in Practice

Recognising that risk management is an integral part of all activities and must be considered in all aspects of decision making Implementing robust and integrated risk management arrangements and ensuring that they are working effectively

Managing risk

Ensuring that responsibilities for managing individual risks are clearly allocated Monitoring service delivery effectively including planning, specification, execution and independent post-implementation review Making 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 Ensuring an effective scrutiny or oversight function is in place which encourages 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 Providing members and senior management with regular reports on service delivery plans and on progress towards outcome achievement

Managing performance

Ensuring there is consistency between specification stages (such as budgets) and post-implementation reporting (eg financial statements)

Sub-Principles Behaviours and Actions that Demonstrate Good Governance in PracticeAligning the risk management strategy and policies on internal control with achieving objectives Evaluating and monitoring risk management and internal control on a regular basis Ensuring effective counter fraud and anti-corruption arrangements are in place Ensuring additional assurance on the overall adequacy and effectiveness of the framework of governance, risk management and control is provided by the internal auditor

Robust internal control

Ensuring an audit committee or equivalent group or function which is independent of the executive and accountable to the governing body:

provides a further source of effective assurance regarding arrangements for managing risk and maintaining an effective control environment

that its recommendations are listened to and acted upon Ensuring effective arrangements are in place for the safe collection, storage, use and sharing of data, including processes to safeguard personal data Ensuring effective arrangements are in place and operating effectively when sharing data with other bodies

Managing data

Reviewing and auditing regularly the quality and accuracy of data used in decision making and performance monitoring Ensuring financial management supports both long-term achievement of outcomes and short-term financial and operational performance

Strong public financial management

Ensuring well-developed financial management is integrated at all levels of planning and control, including management of financial risks and controls

Principle G – Implementing good practices in transparency, reporting and audit to deliver effective accountabilityAccountability is about ensuring that those making decisions and delivering services are answerable for them. Effective accountability is concerned not only with reporting on actions completed but also ensuring that stakeholders are able to understand and respond as the organisation plans and carries out its activities in a transparent manner. Both external and internal audit contribute to effective accountability.Sub-Principles Behaviours and Actions that Demonstrate Good Governance in Practice

Writing and communicating reports for the public and other stakeholders in an understandable style appropriate to the intended audience and ensuring that they are easy to access and interrogate

Implementing good practice in transparency

Striking 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 Reporting at least annually on performance, value for money and the stewardship of its resources Ensuring members and senior management own the results Ensuring robust arrangements for assessing the extent to which the principles contained in the Framework have been applied and publishing the results on this assessment including an action plan for improvement and evidence to demonstrate good governance (annual governance statement) Ensuring that the Framework is applied to jointly managed or shared service organisations as appropriate

Implementing good practices in reporting

Ensuring 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 Ensuring that recommendations for corrective action made by external audit are acted upon Ensuring an effective internal audit service with direct access to members is in place which provides assurance with regard to governance arrangements and recommendations are acted upon

Assurance and effective accountability

Welcoming peer challenge, reviews and inspections from regulatory bodies and implementing recommendations

Sub-Principles Behaviours and Actions that Demonstrate Good Governance in PracticeGaining assurance on risks associated with delivering services through third parties and that this is evidenced in the annual governance statement

Ensuring that when working in partnership, arrangements for accountability are clear and that the need for wider public accountability has been recognised and met

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Pembrokeshire County Council’s Local Code of Corporate Governance has been developed in accordance with ‘Delivering Good Governance in Local Government: Framework (CIPFA/Solace, 2016) (‘the Framework’).

The overall aim is to ensure that resources are directed in accordance with agreed policy and according to priorities, that there is sound and inclusive decision making and that there is clear accountability for the use of those resources in order to achieve desired outcomes for service users and communities. The Framework positions the attainment of sustainable economic, societal, and environmental outcomes as a key focus of governance processes and structures, which is in line

with the requirements of the Well-being of Future Generations (Wales) Act 2015.

Governance comprises the arrangements put in place to ensure that the intended outcomes for stakeholders are defined and achieved. To deliver good governance in the public sector entities must try to achieve their entity’s objectives while

acting in the public interest at all times. Acting in the public interest implies primary consideration of the benefits for society, which should result in positive outcomes for service users and other stakeholders.

Core Principle A: Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law.

As a Council we are accountable not only for how much we spend, but also for how we use resources. This includes accountability for outputs, both positive and negative, and for the outcomes that are achieved. In addition, we have an overarching responsibility to serve the public interest in adhering to the requirements

of legislation and government policies. It is essential that, as a whole, we can demonstrate the appropriateness of all our actions across all activities and have mechanisms in place to encourage and

enforce adherence to ethical values and to respect the rule of law.

Sub Principle: Behaving with IntegrityRequirement Local Guidance Sources of AssuranceEnsuring 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 Council.

Members Code of Conduct and Employee Code of Conduct (see Constitution)

Induction for Officers and Members Planning Code of Practice Monitoring Officer and Section 151 Officer

Guidance Strategic Equalities Plan

Ensuring Members take the lead in establishing the Target Operating Model or values for the Council and its staff and that they are communicated and understood. These should build on the Seven Principles of Public Life (the Nolan Principles).

Constitution Local Code of Corporate Governance Members Code of Conduct (see

Constitution) Employees Code of Conduct (see

constitution) Mission Statement Planning Code of Practice

Leading by example and using the above Target Operating Model or values as a framework for decision making and other actions.

Constitution Local Code of Corporate Governance Members Code of Conduct (see

Constitution) Employee Code of Conduct (see

Constitution) Mission Statement Planning Code of Practice Strategic Equalities Plan

Performance appraisals Registers of interest Members and officers registers of

interest Declarations at meetings Publication of Delegated Decisions Minutes of Council and Cabinet

meetings Minutes of meetings Webcasting of meetings Declarations of interest Conduct of meetings Standards Committee Monitoring Officer Section 151 Officer Other Statutory Officer Annual Counter Fraud and

Investigations report Registers of gifts and hospitality Annual Complaints and Compliments

report Training Records Regulator Reports

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Demonstrating, communicating and embedding the Target Operating Model or values through appropriate policies and processes which are reviewed on a regular basis to ensure that they are operating effectively.

Counter Fraud, Corruption and Bribery Strategy 2015-17

Whistleblowing Policy Counter Fraud work plan Complaints & Compliments Policy HR Policies

Sub Principle: Demonstrating strong commitment to ethical valuesRequirement Local Guidance Sources of AssuranceSeeking to establish, monitor and maintain the Council’s ethical standards and performance.

Ethical Framework Complaints and Compliments Policy Members Code of Conduct (see


Constitution) Local Resolution Procedure Planning Code of Practice Strategic Equalities Plan

Underpinning personal behaviour with ethical values and ensuring they permeate all aspects of the Council’s culture and operation.

Job descriptions Employee Standard Manager Standard Member and officer Induction Members Code of Conduct (see


Constitution) Independent Statutory Officers Planning Code of Practice Strategic Equality Plan

Developing and maintaining Ethical Framework

Scrutiny work plan and minutes Scrutiny function Monitoring Officer Public Services Ombudsman for Wales

annual report Working group notes Audit Committee Minutes Annual Complaints & Compliments

Report Standards Committee Minutes Performance appraisals Internal and External Assurance

Provider reviews Self-Assessment of Compliance as part

of the Annual Governance Process Partnership Agreements Partnerships Overview & Scrutiny

Committee Minutes Contract Monitoring Community Benefits Officer

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robust policies and procedures which place emphasis on agreed ethical values.

Monitoring Officer advice and guidance Members Code of Conduct (see


Constitution) Planning Code of Practice Strategic Equality Plan

Ensuring that external providers of services on behalf of the Council are required to act with integrity and in compliance with ethical standards expected by the Council.

Partnership Procedure Contracts Procurement and Tendering Specification

and Evaluation Procurement Strategy Standing Orders in Relation to Contracts

Sub Principle: Respecting the rule of lawRequirement Local Guidance Sources of AssuranceEnsuring members and staff demonstrate a strong commitment to the rule of the law as well as adhering to relevant laws and regulations.

Constitution Statutory Provisions Legal Services advice and guidance Monitoring Officer advice and guidance Counter Fraud, Corruption and Bribery

Strategy 2015-17 Member and Officer Code of Conduct (see

Constitution) Information Governance Policy Planning Code of Practice Strategic Equality Plan

Creating the conditions to ensure that the statutory officers, other key post holders, and members,

Job descriptions Guidance on Statutory Roles

Statutory guidance is followed Monitoring & Appraisals Annual Counter Fraud and

Investigations Report Feedback Internal and External Audit Reports Regulators Self-assessment Record of legal advice provided by

officers Record of Monitoring Officer advice Record of Data Incidents and Breaches Investigations record









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are able to fulfil their responsibilities in accordance with legislative and regulatory requirements.

CMT Terms of Reference Committee support Planning Code of Practice

Striving to optimise the use of the full powers available for the benefit of citizens, communities and other stakeholders.

Community Asset Transfer Policy Advice and guidance from Legal Services

Dealing with breaches of legal and regulatory provisions effectively.

Information Governance Policy Information Security Breach Policy Counter Fraud, Corruption and Bribery

Strategy 2015-17 Monitoring Officer, Section 151 Officer,

SIRO powers Police liaison

Ensuring corruption and misuse of power are dealt with effectively.


Constitution

Standards Committee Statutory Officers Annual report on Counter Fraud and

Investigations HR Disciplinary Policy Ombudsman Adjudication Panel for Wales


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Core Principle B: Ensuring openness and comprehensive stakeholder engagement.

The Council is run for the public good and should ensure openness in their activities. Clear, trusted channels of communication and consultation should be used to engage effectively with all groups of

stakeholders, such as individual’s citizens and service users, as well as institutional stakeholders.

Sub Principle: Engaging comprehensively with institutional stakeholdersRequirement Local Guidance Sources of AssuranceEffectively engaging with institutional stakeholders to ensure that the purpose, objectives and intended outcomes for each stakeholder relationship are clear so that outcomes are achieved successfully and sustainably.

Local/National Guidance Terms of Reference and Membership of

Pembrokeshire Public Service Board

Developing formal and informal partnerships to allow for resources to be used more efficiently and outcomes achieved more effectively.

Pembrokeshire Public Services Board Partnership Procedure


Trust A shared commitment to

change A culture that promotes and

accepts challenge among partners and that the added value of partnerships working is explicit.

Terms of Reference of the Pembrokeshire Public Service Board

Partnership Procedure

Pembrokeshire Public Services Board (PSB) Partnerships Overview & Scrutiny Work Plan Joint Working Register Legal Agreement/Partnership Agreement Single Integrated Plan/Wellbeing Plan

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Sub Principle: OpennessRequirement Local Guidance Sources of AssuranceEnsuring an open culture through demonstrating, documenting and communicating the Council’s commitment to openness.

Constitution Corporate Public Engagement Strategy 2012 -

2017

Making decisions that are open about 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.

Council/Committee Meetings Integrated Impact Assessment Tool Business Impact Assessment Template SIRO, Legal and Monitoring Officer advice

Providing 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.

Constitution Democratic Services Report Templates Integrated Impact Assessment Tool Business Risk Management Strategy 2015-

2017 Members Code of Guidance Planning Code of Practice

Using formal and informal consultation and engagement to determine the most appropriate and effective interventions/courses of action.

Corporate Public Engagement Strategy 2012-2017

Complaints and Compliments Policy

Chief Executive and Statutory Officers Freedom of information act publication scheme Appeals against FOI and Subject Access

Requests Authority website Public consultations Records of decision making Supporting materials Webcasting of council cabinet and committee

meetings Register of Delegated Decisions Decision making protocols Publication of Reports Record of professional advice in reaching

decisions Meeting reports show details of advice given Discussion between members and officers on

the information needs of members to support decision making

Agreement on the information that will be provided and timescales

Calendar of dates for submitting, publishing and distributing timely reports is adhered to.

Well-being Assessment/Needs Assessment Consultation feedback/Citizens survey Annual complaints and compliments report


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Sub Principle: Engaging with individual citizens and service users effectivelyRequirement Local Guidance Sources of AssuranceEstablishing a clear policy on the type of issues that the Council 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.

Public Service Board Terms of Reference Wellbeing Assessment and Plan Corporate Public Engagement Strategy 2012-

2017

Ensuring that communication methods are effective and that members and officers are clear about their roles with regard to community engagement.

Corporate Public Engagement Strategy 2012 – 2017

Corporate Communications Standards, Services and Resources

Encouraging, collecting and evaluating the views and experiences of communities, citizens, service users and organisations of different backgrounds including reference to future needs.


Pembrokeshire Public Services Board Wellbeing Assessment

Integrated Impact Assessment Guidance and Template

Strategic Equality Plan Welsh Language Standards

Implementing effective feedback mechanisms in order to demonstrate how views have been taken into account.

Corporate Public Engagement Strategy 2012 - 2017

Balancing feedback from more active stakeholder groups with other stakeholder groups to ensure inclusivity.

Business Impact Tool Corporate Public Engagement Strategy 2012 -

2017

Record of Public Consultations Evidence of structured stakeholder discussions Effective community involvement/feedback Review of take up Review of outcomes Impact captured in report pro-forma ‘Have your Say’ ‘You Said – We Did’


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Taking account for the impact of decisions on future generations of tax payers and service users.

Wellbeing Assessment and Plan Integrated Impact Assessment Guidance and

Template


Core Principle C: Defining outcomes in terms of sustainable economic, social and environmental benefits.

The long-term nature and impact of the Council’s responsibilities mean that we should define and plan outcomes and that these are sustainable. Decisions should further the Council’s purpose, contribute to intended benefits and outcomes, and remain within the limits of authority and resources. Input from all

groups of stakeholders, including citizens, service users, and institutional stakeholders, is vital to the success of this process and in balancing competing demands when determining priorities for the finite

resources available.

Sub Principle: Defining outcomesRequirement Local Guidance Sources of AssuranceHaving a clear vision which is an agreed formal statement of the Council’s purpose and intended outcomes containing appropriate performance indicators, which provide the basis for the Council’s overall strategy, planning and other decisions.

Mission Statement(Vision and Core Values) Single Integrated Plan/Wellbeing Plan Annual Improvement Plan

Specifying 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.

Wellbeing Assessment/ Plan Integrated Impact Assessment Guidance and

Template

Delivering defined outcomes on a sustainable basis within the resources that will be available.

Improvement Planning Process

Identifying and managing risks to the achievement of outcomes.

Business Risk Management Strategy 2015-17 Business Continuity Business Impact Analysis

Managing service users’ expectations effectively with regard to determining priorities and making the best use of the resources available.


Corporate Communications Standards, Services and Resources

Annual Improvement Review Corporate Improvement Plan Service Improvement Plans Corporate Risk Management Group Risk Registers Risk Management Protocols Public Meetings Publicising Financial Pressures Report Format for CMT/Cabinet



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Sub Principle: Sustainable economic, social and environmental benefitsRequirement Local Guidance Sources of AssuranceConsidering and balancing the combined economic, social and environmental impact of policies and plans when taking decisions about service provision.

Legislative requirements – Well-being of future generations (Wales) Act 2015

Integrated Impact Assessment Guidance and Template

Taking a longer-term view with regard to decision making, taking account of risk and acting transparently where there are potential conflicts between the Council’s intended outcomes and short-term factors such as the political cycle or financial constraints.

Medium Term Financial Plan Long-term Strategies Single Integrated Plan/Wellbeing Assessment and

Plan Education & Learning Strategy 2016-19 Strategic Asset Management Plan Integrated Impact Assessment Guidance and

Template

Determining 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.

Public service board wellbeing plan Corporate Public Engagement Strategy 2012 -

2017

Ensuring fair access to services. Customer Charter Corporate Communications Standards, Services

and Resources Integrated Impact Assessment Strategic Equality Plan Welsh Language Standards

CMT/Cabinet/Committee Report Template Application of Wales procurement policy

statement Corporate plans take account of medium

and long-term service plans Record of decision making and supporting

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Core Principle D: Determining the interventions necessary to optimise the achievement of the intended outcomes.

As a Council we achieve intended outcomes by providing a mixture of legal, regulatory and practical interventions (courses of action). Determining the right mix of these courses of action is a critically

important strategic choice that the Council has to ensure intended outcomes are achieved.

Robust decision-making mechanisms are in place to ensure that the defined outcomes can be achieved in a way that provides the best trade-off between the various types of resource inputs while still enabling

effective and efficient operations. Decisions made need to be reviewed frequently to ensure that achievement of outcomes is optimised.

Sub Principle: Determining interventionsRequirement Local Guidance Sources of AssuranceEnsuring 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.

Decision making protocols Option appraisals Forward work plans

Considering 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.

Public Consultation Events Workforce Planning Strategy Strategic Asset Management Plan

Agenda reports and minutes of meetings

‘You Said – We Did’ Minutes of Meetings Asset Management Action Plan Service Improvement Plans

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Sub Principle: Planning interventionsRequirement Local Guidance Sources of AssuranceEstablishing and implementing robust planning and control cycles that cover strategic and operational plans, priorities and targets.

CMT and Heads of Service Meetings (monthly) Council, Cabinet and Overview & Scrutiny meeting

schedule

Engaging with internal and external stakeholders in determining how services and other courses of action should be planned and delivered.

Pembrokeshire Public Services Board Wellbeing Assessment and Plan

Public Engagement Strategy 2013-2018 Business Impact Assessment Template

Considering and monitoring risks facing each partner when working collaboratively, including shared risks.

Partnership Procedure Business Continuity Business Impact Analysis Business Risk Management Strategy 2015-17

Ensuring arrangements are flexible and agile so that the mechanisms for delivering goods and services can be adapted to changing circumstances. Establishing appropriate key performance indicators (KPI’s) as part of the planning process in order to identify how the performance of services and projects is to be measured.

Service Improvement Plans Project Plans

Ensuring capacity exists to generate the information required to review service quality regularly.

Service Improvement Plans and Performance Monitoring

Preparing budgets in accordance with objectives, strategies and the medium term financial plan.


Minutes of Meetings Improvement Planning Schedule Service/Project Plans Reports to CMT/Cabinet/Committees Partnership Agreements Risk Registers Business Continuity Plans Planning protocols Service Improvement Plans CMT monitoring of Service

Improvement Plans Quarterly performance report Overview & Scrutiny Committee

Reports Budget Monitoring Cost Reduction/Efficiency Monitoring Corporate and Service Improvement

Plans

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Informing medium and long-term resource planning by drawing up realistic estimates of revenue and capital expenditure aimed to developing a sustainable funding strategy.

Financial Regulations Financial Control Procedures Medium Term Financial Plan

Sub Principle: Optimising achievement of intended outcomesRequirement Local Guidance Sources of AssuranceEnsuring the medium term financial strategy integrates and balances service priorities, affordability and other resource constraints.

Medium Term Financial Plan Service Planning Process

Ensuring the budgeting process is all-inclusive, taking into account the full cost of operations over the medium and longer term.

Financial Control Procedures Medium Term Financial Plan

Ensuring the medium term financial strategy sets the context of 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.

Financial Regulations Medium Term Financial Plan

Ensuring the achievement of ‘social value’ through service planning and commissioning.

Compliance with the 10 Principles of Welsh Public Procurement Policy as detailed in the Welsh Government’s Wales Procurement Policy Statement.

Ongoing review of the Medium Term Financial Plan

Annual Budget Setting Process Annual Budget Report Quarterly Integrated Reporting CMT/Cabinet/Committee/Council

Minutes Quarterly Integrated Reports









Core Principle E: Developing the Council’s capacity including the capability of its leadership and the individuals within it.

As a Council we need appropriate structures and leadership, as well as people with the right skills, appropriate qualifications and mindset, to operate efficiently and effectively and achieve intended

outcomes within the specified periods. As a Council we must ensure that we have both the capacity to fulfil our own mandate and to make certain that there are policies in place to guarantee that management has

the operational capacity for the Council as a whole. Because both individuals and the environment in which the Council operates will change over time, there will be a continuous need to develop our capacity as well as the skills and experience of individual staff members. Leadership is strengthened by the participation of

people with many different types of backgrounds, reflecting the structure and diversity of communities.

Sub Principle: Developing the entity’s capacityRequirement Local Guidance Sources of AssuranceReviewing operations, performance and use of assets on a regular basis to ensure their continuing effectiveness.

Transformation Programme Performance Management Annual Appraisal Process

Improving 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.Recognising the benefits of partnership and collaborative working where added value can be achieved.

Partnership Cost Benefit Analysis Tool

Developing and maintaining an effective workforce plan to enhance the strategic allocation of resources.

Workforce Planning Strategy Redeployment Panel

Quarterly Performance Reports Overview & Scrutiny Committee’s Appraisals Utilisation of research and benchmarking

exercises Partnership Overview &Scrutiny

Committee Partnership Appraisal

Sub Principle: Developing the capability of the Council’s leadership and other individualsRequirement Local Guidance Sources of AssuranceDeveloping 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.Publishing a statement that specifies the types of decision that are delegated and those reserved for the collative decision making of the governing body.

Constitution Financial Regulations and Standing Orders in

Relation to Contracts

Ensuring 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.

Job descriptions Register of delegated decisions Minutes of Meetings

(CMT/Cabinet/Council) Access to courses/information briefings

on new legislation. Members’ induction and ongoing training

and development programme Mentoring and peer support programmes Personal development plans for members

and officers Arrangements for succession planning. Citizens’ and residents’ panels Stakeholder forum terms of reference Communication and engagement strategy

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Reviews Employee Performance Reviews Training and development plans Human resource policies





Developing the capabilities of members and senior management to achieve effective leadership and to enable the Council to respond successfully to changing legal and policy demands as well as economic, political and environmental changes and risks by:

ensuring members and staff have access to appropriate induction tailored to their role and that ongoing training and development matching individual and organisational requirements is available and encouraged.

ensuring members and officers have the appropriate skills, knowledge, resources and support to fulfil their roles and responsibilities and ensuring that they are able to update their knowledge on a continuing basis.

Ensuring personal, organisational and system-wide development through shared learning, including lessons learnt from governance weaknesses both internal and external.

Corporate Induction Member Induction Committee Training Programmes Employee Management Standard Learning & Development Programme Job Descriptions & Recruitment Statutory notices Training & Development Funding Best Practice Guidance Workforce Planning Strategy

Ensuring that there are structures in place to encourage public participation.

Occupational Health


Taking steps to consider the leaderships own effectiveness and ensuring leaders are open to constructive feedback from peer review and inspections.

Manager/Supervisor Standard

Holding staff to account through regular performance reviews which take account of training and development needs.

Manager/Supervisor and Employee Standards

Ensuring arrangements are in place to maintain the health and wellbeing of the workforce and support individuals in maintaining their own physical and mental wellbeing.

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Core Principle F: Managing risks and performance through robust internal control and strong public financial management.

As a Council we need to ensure that the organisations and governance structures that we oversee have implemented and can sustain, an effective performance management system that facilitates effective and

efficient delivery of planned services.

Risk management and internal control are important and integral parts of performance management system and are crucial to the achievement of outcomes. Risk should be considered and addressed as part

of all decision making activities.

A strong system of financial management is essential for the implementation of policies and the achievement of intended outcomes, as it will enforce financial discipline, strategic allocation of resources,

efficient service delivery and accountability.

It is also essential that a culture and structure for scrutiny are in place as a key part of accountable decision making, policy making and review. A positive working culture that accepts, promotes and encourages

constructive challenge is critical to successful scrutiny and successful service delivery.

Importantly, this culture does not happen automatically, it requires repeated public commitment from those in authority.

Sub Principle: Managing riskRequirement Local Guidance Sources of AssuranceRecognising that risk management is an integral part of all activities and must be considered in all aspects of decision making.

Business Risk Management Strategy 2015-17

Implementing robust and integrated risk management arrangements and ensuring that they are working effectively.

Business Continuity Business Impact Analysis Business Risk Management Strategy 2015-17

Ensuring that responsibilities for managing individual risks are clearly allocated.

Business Continuity Business Impact Analysis Business Risk Management Strategy 2015-17

Risk Registers Business Continuity plans

Sub Principle: Managing performanceRequirement Local Guidance Sources of AssuranceMonitoring service delivery effectively including planning, specification, execution and independent post implementation review.

Service Improvement Plans Transformation Programme Performance Management

Making decisions based on relevant, clear objective analysis and advice pointing out the implications and risks inherent in the Council’s financial, social and environmental position and outlook.

Report Templates for CMT/Cabinet/Committees and Council

Forward Work Plans

Ensuring an effective scrutiny or oversight function is in place which provides constructive challenge and debate on policies and objectives before, during and after

Scrutiny Committee Framework

Performance Indicators Cost performance plans Audit Plans Publication of agendas and minutes of

meetings Agreement on the information that will

be needed and timescales Discussion between members and

officers on the information needs of members to support decision making.

Scrutiny Committee’s Terms of Reference

Agenda and minutes of scrutiny meetings

Evidence as a result of scrutiny Training for members








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decisions are made thereby enhancing the Council’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. Providing members and senior management with regular reports on service delivery plans and on progress towards outcome achievement.

Forward Work Programmes

Ensuring there is consistency between specification stages (such as budgets) and post implementation reporting (e.g. financial statements).

Financial Control Procedures Financial Regulations

Balanced membership Public service boards are subject to

effective scrutiny. Agendas CMT/Committee reports Budget Report Integrated Reports



Sub Principle: Robust internal controlRequirement Local Guidance Sources of AssuranceAligning the risk management strategy and policies on internal control with achieving objectives.

Business Risk Management Strategy 2015-17 Internal Audit Charter and Communication

ProtocolEvaluating and monitoring risk management and internal control on a regular basis.

Business Risk Management Strategy 2015-17 Internal Audit Charter and Communications

ProtocolEnsuring effective counter fraud and anti-corruption arrangements are in place.


Whistleblowing Policy Anti -Money Laundering Policy

Ensuring additional assurance on the overall adequacy and effectiveness of the framework of governance, risk management and control is provided by the internal auditor.

Business Risk Management Strategy 2015-17 Internal Audit Charter and Communication

Protocol

Ensuring the Audit Committee: Provides a further source of

effectiveness assurance regarding arrangements for managing risk and maintaining an effective control environment.

That its recommendations are listened to and acted upon.

Audit Committee Internal Audit Recommendation Monitoring

and Escalation Protocol

Risk registers Audit plan Audit reports Corporate Risk Management Group Integrated Reports to Cabinet, Overview

& Scrutiny and the Audit Committee Fraud Risk Register Counter Fraud Work Plan Annual Report on Counter Fraud and

Investigations Annual Governance Statement 2015-16 Head of Internal Audit Annual Assurance

Statement Audit committee Terms of Reference Balanced membership Audit Committee Resolutions and

Minutes Audit Committee Self-Assessment and

Annual Report of Effectiveness









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Sub Principle: Managing dataRequirement Local Guidance Sources of AssuranceEnsuring effective arrangements are in place for the safe collection, storage, use and sharing of data, including processes to safeguard personal data.

Data Protection Policy Freedom of Information Policy Information Governance Policy

Ensuring effective arrangements are in place and operating effectively when sharing data with other bodies.


Reviewing and auditing regularly the quality and accuracy of data used in decision making and performance monitoring.


Data management framework and procedures

Data Protection Officers Data Protection Policies and Procedures Data sharing agreement Data sharing register Data processing agreements Data quality procedures and reports Data validation procedures Internal Audit Reports

Sub Principle: Strong public financial managementRequirement Local Guidance Sources of AssuranceEnsuring financial management supports both long term achievement of outcomes and short-term financial and operational performance.

Financial Control Procedures Financial Regulations Medium Term Financial Plan Transformation Programme

Ensuring well-developed financial management is integrated at all levels of planning and control, including management of financial risks and controls.


Integrated Reports Annual Outturn Report Budget monitoring reports Integrated reports











Core Principle G: Implementing good practices in transparency, reporting and audit to deliver effective accountability.

Accountability is about ensuring that those making decisions and delivering services are answerable for them. Effective accountability is concerned not only with reporting on actions completed, but also ensuring that stakeholders are able to understand and respond as the Council plans and carries out its activities in a

transparent manner.

Both external and internal audit contribute to effective accountability.

Sub Principle: Implementing good practice in transparencyRequirement Local Guidance Sources of AssuranceWriting and communicating 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.

Council/Committee Meetings

Striking 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.

Council/Committee Meetings

Website Council meetings are webcast Councillors annual reports Annual report

Sub Principle: Implementing good practice in reportingRequirement Local Guidance Sources of AssuranceReporting at least annually on performance, value for money and stewardship of resources to stakeholders in a timely and understandable way.

Constitution

Ensuring members and senior management own the results reported.

Constitution

Ensuring 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.

Annual Statement of Accounts Annual Governance Statement Audit Committee Monitoring Audit Committee and Council approval Internal Audit Review Senior Management and Statutory

Officer Annual Governance Self-Assessment Statements

Annual Governance Statement Partnership Agreements Annual Governance Statement Integrated Reports





Sub Principle: Assurance and effective accountabilityRequirement Local Guidance Sources of AssuranceEnsuring that recommendations for corrective action made by external audit are acted upon.

Internal Audit Recommendation Monitoring and Escalation Protocol

Ensuring 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.

Internal Audit Charter and Communication Protocol


Welcoming peer challenge, reviews and inspections from regulatory bodies and implementing recommendations.


Gaining assurance on risks associated with delivering services through third parties and that this is evidenced in the annual governance statement.

Contracts Partnership Procedure

Ensuring that when working in partnership, arrangements for accountability have been recognised and met.


Reports to the Audit Committee Audit Committee Agenda’s and Minutes Integrated Reports to Cabinet and

Overview & Scrutiny Committee’s Self-assessment of Conformance with

the Public Sector Internal Audit Standards

Head of Internal Audit Annual Assurance Statement

Reporting to CMT and the Audit Committee

Senior Management and Statutory Officers Annual Governance Self-Assessment Statements

Annual Governance Statements Public service boards’ terms of reference

and wellbeing plans Partnerships Overview & Scrutiny

Committee Partnership Agreements and Risk

Registers

Ensuring that this Framework is applied to jointly managed or shared service organisations as appropriate.


Ensuring 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.















Application & Monitoring

In order to demonstrate the spirit and ethos of good governance, the shared values of the Council must be reflected in the behaviour of Officers and Members, as well as Policy, in order to integrate into the Culture.

As part of the review of the Annual Governance Process, an independent assessment of Compliance with this Local Code of Corporate Governance will be undertaken by the Internal Audit Service. This will also rely on work undertaken in year by both Internal Audit, Wales Audit Office and other Regulatory Bodies.

Directors and Statutory Officers will be required to complete a self-assessment of the application of the Local Code of Corporate Governance within their area of responsibility.

The outcome of these assessments, along with the Head of Internal Audit Annual Assurance Statement will inform the Annual Governance Statement. Any areas that require further improvement will be considered

for inclusion as a Significant Governance Issue or a Priority for Improvement.

The Local Code of Corporate Governance will be subject to annual review and update to reflect changes to working practices and policies.

1

CEREDIGION COUNTY COUNCIL

Local Code of

Corporate Governance Approved by Council 29 June 2017

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Contents

1 Introduction 3

2 Principle A Behaving with integrity, demonstrating strong

commitment to ethical values and respecting the rule of law. 6

3 Principle B Ensuring openness and comprehensive stakeholder

engagement. 9

4 Principle C Defining outcomes in terms of sustainable economic,

social and environmental benefits. 12

5 Principle D Determining the interventions necessary to optimise the

achievement of the intended outcomes 15

6 Principle E Developing the entity’s capacity, including the capability

of leadership and the individuals within it. 18

7 Principle F Managing Risks and performance through robust

internal control and strong public financial management 21

8 Principle G Implementing good practice in transparency reporting,

and audit, to deliver effective accountability 25

9 Monitoring and Review 27

10 Annual Governance Statement 28

11 Related Documents 29

Contents

3

Introduction

1.1. Corporate governance is a term used to describe how organisations direct and control what they do. As well as systems and processes, this includes cultures and values. For local authorities this also includes how a council relates to the communities that it serves.

1.2. Good corporate governance requires local authorities to carry out their

functions in a way that demonstrates accountability, transparency, effectiveness, integrity, impartiality and inclusivity. Corporate governance is also the structure through which strategic objectives are set and performance monitored.

1.3. Ceredigion County Council is committed to demonstrating that it has the necessary corporate governance arrangements in place to perform effectively. This Code is a public statement that sets out the way the Council will meet that commitment. As such it represents a key component of the Council’s governance arrangements, and is included in the Constitution.

1.4. The Code has been developed in accordance with and is consistent with the Chartered Institute of Public Finance and Accountancy (CIPFA)/Society of Local Authority Chief Executives (SOLACE) Delivering Good Governance in Local Government Framework (2016 Edition) and (CIPFA)/Society of Local Authority Chief Executives (SOLACE) Delivering Good Governance in Local Government Framework Guidance notes for Welsh authorities (2016 Edition)

1.5. The core principles and sub-principles of good governance are taken from the

International Framework: Good governance in the Public sector (CIPFA 2014) where governance is defined as follows:

Governance comprises the arrangements put in place to ensure that

the intended outcomes for stakeholders are defined and achieved.

And the International Framework also states that:

To deliver good governance in the public sector, both governing bodies

and individuals working for public sector entities must try to achieve

their entity’s objectives while acting in the public interest at all times

1.7 The Principles for Good Governance in the Public Sector outlined in the

International Framework are as follows;

Acting in the public interest requires:

Principle A: Behaving with integrity, demonstrating strong commitment

to ethical values and respecting the rule of law.

4

Principle B: Ensuring openness and comprehensive stakeholder

engagement.

In addition to the overarching requirements for acting in the public interest in

Principles A and B, achieving good governance in the public interest also

requires effective arrangements for:

Principle C: Defining outcomes in terms of sustainable economic,

social and environmental benefits.

Principle D: Determining the interventions necessary to optimise the

achievement of the intended outcomes

Principle E: Developing the entity’s capacity, including the capability of

leadership and the individuals within it.

Principle F: Managing Risks and performance through robust internal

control and strong public financial management.

Principle G: Implementing good practice in transparency reporting, and

audit, to deliver effective accountability

1.8 Figure 1 below defines the relationships between the Principles for Good Governance in the Public Sector.

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1.9 Ceredigion County Council has a Constitution which sets out how the Council operates, how decisions are made and the procedures followed. Other corporate policy and strategy documents include governance arrangements. Together, these documents and arrangements demonstrate that the Council is seeking to ensure that it is governed well through the integration into its conduct of the core principles of the CIPFA / SOLACE Framework.

1.10 The purpose of this Code of Corporate Governance is to demonstrate that the Councils governance structures comply with the core principles and sub-principles contained in the Framework

1.11 The mechanisms for monitoring and reviewing the Council’s corporate governance arrangements are set out in the Code.

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A. Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law

Local government organisations are accountable not only for how much they spend, but also for how they use the resources under their stewardship. This includes accountability for outputs, both positive and negative, and for the outcomes they have achieved. In addition, they have an overarching responsibility to serve the public interest in adhering to the requirements of legislation and government policies. It is essential that, as a whole, they can demonstrate the appropriateness of all their actions and have mechanisms in place to encourage and enforce adherence to ethical values and to respect the rule of law.

Sub-principles Behaviours Governance Structure

Behaving with integrity

Ensuring 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

The Constitution sets out how the Council operates, how decisions are made and the procedures followed to ensure that these are efficient, transparent and accountable.

Behaviour expectations are set out in the following documents

o The Code of Conduct for Members o The Code of Conduct for employees

In addition the Employee handbook is available via CeriNet and sets out the expected ethical standards of conduct of any local government employee.

A suite of Policy and Procedures documents is available to support Codes of Conduct which are reviewed periodically to ensure that they continue to be relevant and effective.

Ensuring 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 should

build on the Seven Principles of Public Life (the

Nolan Principles)

Leading by example and using these standard

operating principles or values as a framework for

decision making and other actions.

Demonstrating, communicating and embedding

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

Demonstrating strong Seeking to establish, monitor and maintain the

organisation’s ethical standards and performance

The Ethics & Standards Committee is proactive in maintaining the ethical standards and performance of

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commitment to

ethical values

Underpinning personal behaviour with ethical

values and ensuring they permeate all aspects of

the organisation’s culture and operation

Members which includes appropriate training sessions

The following policies and procedures set out ethical standards for behaviour

o Code of Conduct for Members (2016) o Code of Conduct for Officers o Register of Members/Officers Interests o Registers of Members/officers Gifts and

Hospitality o Member/officer relations protocol o Whistleblowing policy o Systems for reporting and dealing with

incidents of wrong-doing. o Procurement Strategy

Developing and maintaining robust policies and

procedures which place emphasis on agreed

ethical values

Ensuring that external providers of services on

behalf of the organisation are required to act with

integrity and in compliance with high ethical

standards expected by the organisation

Respecting the rule

of law

Ensuring members and staff demonstrate a

strong commitment to the rule of the law as well

as adhering to relevant laws and regulations

The Monitoring Officer ensures: o that decisions are taken in a lawful and fair

way o that agreed procedures are followed o Applicable statutes and procedure rules are

complied with o Acts as the corporate conscience

To report to Council any decision/proposal or omission giving rise to a breach of law or code of practice or maladministration

The Council has appointed the following Statutory Chief Officers

o Head of Paid Service (Chief Executive) o Chief Finance Officer/S151 officer o Strategic Director for Learning & Partnerships

(Education) o Director for Care, Protection and Lifestyle

(Social Services) o Monitoring Officer

Creating 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

Striving to optimise the use of the full powers

available for the benefit of citizens, communities

and other stakeholders

Dealing with breaches of legal and regulatory

provisions effectively

Ensuring corruption and misuse of power are

dealt with effectively

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o Head of Democratic services

The council also employs the following Chief Officers: o Deputy Chief Executive o Strategic Director for Sustainable

Communities

The Monitoring Officer and the Chief Finance Officer have responsibility for dealing with breaches of legal and regulatory provisions effectively

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B. Ensuring openness and comprehensive stakeholder engagement

Local government is run for the public good; organisations therefore should ensure openness in their activities. Clear, trusted channels of communication and consultation should be used to engage effectively with all groups of stakeholders, such as individual citizens and service users, as well as institutional stakeholders.


Openness

Ensuring an open culture through

demonstrating, documenting and

communicating the organisation’s commitment

to openness

The Council is committed to openness.

All meetings of the Council are webcast

All Council, Cabinet , Scrutiny and Committee minutes and reports of all meetings are available on the web (unless exempt)

Annual reports, Statements of accounts, Improvement progress reports are all published within timescales and are available on the Council’s website

Making decisions that are open about 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

Providing 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

Using formal and informal consultation and

engagement to determine the most appropriate

and effective interventions/ courses of action

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Engaging comprehensively with institutional stakeholders

Effectively engaging with institutional

stakeholders to ensure that the purpose,

objectives and intended outcomes for each

stakeholder relationship are clear so that

outcomes are achieved successfully and

sustainably

The Council has an effective Community and engagement policy in place

The Council has an Overview and Scrutiny Public Engagement Policy in place

The Council maintains a Database of stakeholders with whom the authority should engage

A Record of public consultations is held by the Communications team

Formal Partnerships include o Public Service Board o Community Safety Partnership o Mid & West Wales Regional Safeguarding Children

Board

There are a number of Strategic Collaboration projects

Developing formal and informal partnerships to

allow for resources to be used more efficiently

and outcomes achieved more effectively


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

Engaging stakeholders

effectively, including

individual citizens and

service users

Establishing a clear policy on the type of issues

that the organisation will meaningfully consult

with or involve individual citizens, service users

and other stakeholders to ensure that service (or

other) provision is contributing towards the

achievement of intended outcomes

The Council has in place the following documents which set out when consultation should take place, communication methods and Consultees

o Corporate Communications Strategy o The Engagement and Consultation Checklist o Community Engagement Policy o Public Engagement Tool Kit o Engagement with Service Users List. o Integrated Impact Assessment Tool Kit

The Council responds to and acts upon all feedback received in an appropriate manner.

Ensuring that communication methods are

effective and that members and officers are

clear about their roles with regard to community

engagement

Encouraging, collecting and evaluating the

views and experiences of communities, citizens,

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service users and organisations of different

backgrounds including reference to future needs

Implementing effective feedback mechanisms in

order to demonstrate how their views have been

taken into account

Balancing feedback from more active

stakeholder groups with other stakeholder

groups to ensure inclusivity

Taking account of the interests of future

generations of tax payers and service users

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

The long-term nature and impact of many of local government’s responsibilities mean that it should define and plan outcomes and that these should be sustainable. Decisions should further the authority’s purpose, contribute to intended benefits and outcomes, and remain within the limits of authority and resources. Input from all groups of stakeholders, including citizens, service users, and institutional stakeholders, is vital to the success of this process and in balancing competing demands when determining priorities for the finite resources available.

Engaging stakeholders effectively, including individual citizens and service users

Establishing a clear policy on the type of issues

that the organisation will meaningfully consult

with or involve individual citizens, service users

and other stakeholders to ensure that service (or

other) provision is contributing towards the

achievement of intended outcomes

The Council has an effective Community and engagement policy in place

The Council has an Overview and Scrutiny Public Engagement Policy in place

A range of communication methods will be utilised to ensure that the most effective responses can be generated.

Feedback from Consultations is given due consideration and reported upon to show how views have been acted upon.

A Public Engagement Toolkit has been developed in order to provide a user friendly resource for officers when developing and undertaking effective public engagement with their communities, in accordance with the National Principles of Public Engagement

Ensuring that communication methods are

effective and that members and officers are

clear about their roles with regard to community

engagement

Encouraging, collecting and evaluating the

views and experiences of communities, citizens,

service users and organisations of different

backgrounds including reference to future needs

Implementing effective feedback mechanisms in

order to demonstrate how their views have been

taken into account

Balancing feedback from more active

stakeholder groups with other stakeholder

groups to ensure inclusivity

Taking account of the interests of future

generations of tax payers and service users

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Defining outcomes Having a clear vision which is an agreed formal

statement of the organisation’s purpose and

intended outcomes containing appropriate

performance indicators, which provides the

basis for the organisation’s overall strategy,

planning and other decisions

The Council has a current Corporate Strategy 2012-2017 that sets out its vision and purpose. This strategy illustrates how the authority will support and promote the well-being of the citizens of Ceredigion and reflects the vision and priorities of the Single Integrated Plan for Ceredigion.

The Council has developed its first Well-being Statement and well-being objectives for publication by the 31st March 2017

Specifying 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

Delivering defined outcomes on a sustainable

basis within the resources that will be available

Identifying and managing risks to the

achievement of outcomes

Sustainable economic, social and environmental benefits

Considering and balancing the combined

economic, social and environmental impact of

policies, plans and decisions when taking

decisions about service provision

The Council is committed to considering the full combined economic, social and environmental implications of its decisions.

The Authority has undertaken the following steps towards the implementation of the Well-being of Future Generations (Wales) Act 2015 and will continue to embed the 5 ways of working in its effort to deliver the 7 well-being goals; o Prepared well-being objectives and statement o Embedded the Well-being Goals and Sustainable

development principal into the business planning process

o Developed a new Integrated Impact Assessment tool o Established a WFGA group and action plan o Review of the Constitution o PSB assessment of Local Well-being

Taking 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

Determining the wider public interest associated

with balancing conflicting interests between

achieving the various economic, social and

environmental benefits, through consultation

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where possible, in order to ensure appropriate

trade-offs

o Agreed on the Scrutiny arrangements

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

Local government achieves its intended outcomes by providing a mixture of legal, regulatory, and practical interventions. Determining the right mix of these courses of action is a critically important strategic choice that local government has to make to ensure intended outcomes are achieved They need robust decision-making mechanisms to ensure that their defined outcomes can be achieved in a way that provides the best trade-off between the various types of resource inputs while still enabling effective and efficient operations. Decisions made need to be reviewed continually to ensure that achievement of outcomes is optimised.


Determining interventions

Ensuring decision makers receive objective and

rigorous analysis of a variety of options

indicating how intended outcomes would be

achieved and including the risks associated with

those options. Therefore ensuring best value is

achieved however services are provided

The Council will continue to implement the Integrated Impact Assessment Tool to enable decision makers to receive accurate, relevant and timely performance and intelligence to support them with objective and rigorous analysis to inform decisions.

The Council is committed to seeking continuous feedback from citizens and service users when considering options for service improvement and/or reduction of services. Considering 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

Planning interventions

Establishing and implementing robust planning

and control cycles that cover strategic and

operational plans, priorities and targets

The Council plans its activity at a strategic level through its budget and business planning cycle.

Internal and external stakeholders are consulted with to ensure that services delivered across different parts of the organisation complement each other and avoid duplication

An Assessment of Local Well-being is being undertaken by the PSB that will feed the Local Well-being Plan and the Council Well-being Objectives for future years.

Engaging with internal and external

stakeholders in determining how services and

16

other courses of action should be planned and

delivered

The Corporate Performance Management arrangements provide regular performance reports showing progress against goals and targets including local performance indicators set in the budget and business plans.

Financial Regulations and Financial Procedure Rules along with Budgetary Control Guidance are all up to date. Chief Officer Assurance Statements. The internal controls in place are subject to regular review by Internal Audit, in accordance with the annual risk-based audit plan.

Considering and monitoring risks facing each

partner when working collaboratively including

shared risks

Ensuring arrangements are flexible and agile so

that the mechanisms for delivering outputs can

be adapted to changing circumstances

Establishing appropriate local performance

indicators (as well as relevant statutory or other

national performance indicators) as part of the

planning process in order to identify how the

performance of services and projects is to be

measured

Ensuring capacity exists to generate the

information required to review service quality

regularly

Preparing budgets in accordance with

organisational objectives, strategies and the

medium-term financial plan

Informing medium and long-term resource

planning by drawing up realistic estimates of

revenue and capital expenditure aimed at

developing a sustainable funding strategy

Optimising achievement of intended outcomes

Ensuring the medium term financial strategy

integrates and balances service priorities,

affordability and other resource constraints

The Medium Term Financial Plan integrates and balances service priorities, affordability and other resource constraints,

Financial Regulations and Financial Procedure Rules Ensuring the budgeting process is all-inclusive,

17

taking into account the full cost of operations

over the medium and longer term

along with Budgetary Control Guidance are all up to date. Chief Officer Assurance Statements. The internal controls in place are subject to regular review by Internal Audit, in accordance with the annual risk-based audit plan

Community Benefits is embedded in our Processes and Policies and has been regularly applied, monitored and reported upon

Well-being of Future Generations (Wales) Act is currently being integrated into our processes.

Ensuring 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

Ensuring the achievement of ‘social value’

through service planning and commissioning.

The Public Services (Social Value) Act 2012

states that this is “the additional benefit to the

community...over and above the direct

purchasing of goods, services and outcomes”

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E. Developing the entity’s capacity, including the capability of its leadership and the individuals within it

Local government needs appropriate structures and leadership, as well as people with the right skills, appropriate qualifications and mind set, to operate efficiently and effectively and achieve their intended outcomes within the specified periods. A local government organisation must ensure that it has both the capacity to fulfil its own mandate and to make certain that there are policies in place to guarantee that its management has the operational capacity for the organisation as a whole. Because both individuals and the environment in which an authority operates will change over time, there will be a continuous need to develop its capacity as well as the skills and experience of the leadership of individual staff members. Leadership in local government entities is strengthened by the participation of people with many different types of backgrounds, reflecting the structure and diversity of communities.

Sub-principles Behaviour Governance Structure

Developing the entity’s capacity

Reviewing operations, performance and use of

assets on a regular basis to ensure their

continuing effectiveness

The Council monitors on an ongoing basis its governance and staffing structures to support the delivery of planned services and proactively plans for the future.

The Council employs benchmarking techniques to monitor and improve service delivery where appropriate.

The Council welcomes opportunities provide through partnership working

o The Council is the lead Authority for the Public Service Board for Ceredigion

o The Growing Mid Wales Partnership seeks to achieve economic growth and prosperity across the region

There is a current Workforce and Training plan

Improving resource use through appropriate

application of techniques such as benchmarking

and other options in order to determine how the

authority’s resources are allocated so that

outcomes are achieved effectively and efficiently

Recognising the benefits of partnerships and

collaborative working where added value can be

achieved

Developing and maintaining an effective

workforce plan to enhance the strategic

allocation of resources

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Developing the capability of the entity’s leadership and other individuals

Developing 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

The Constitution sets out o Responsibility for Council & Cabinet functions o Roles and responsibilities for the Leader and

Members o Roles and responsibilities of statutory and

Chief Officers o Protocols for Member/Officer Relations o A Scheme of Delegation o Members Code of Conduct o Officers Code of Conduct o Overview & scrutiny protocol

The Corporate structure of the Authority has been established to ensure that the statutory officers are able to perform their roles effectively. The Chief Executive is responsible for reviewing this structure as necessary

The Council aims to achieve the standard level for the Wales Charter for Member Support and Development.

o Members’ role descriptions are in place. o A process for Member Personal Development

Reviews has been implemented o A Members’ Training Plan will be developed to

include mentoring and peer support programmes

Induction and training programmes are provided for new Members and Officers tailored to meet individual needs

The Corporate Performance Management arrangements maintain a ‘Golden Thread’ structure linking individual staff objectives to business plans, Improvement objectives, corporate strategy and the Single Integrated Plan.

Publishing a statement that specifies the types

of decisions that are delegated and those

reserved for the collective decision making of

the governing body

Ensuring the leader and the chief executive

have clearly defined and distinctive leadership

roles within a structure, whereby the chief

executive leads the authority 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

Developing the capabilities of members and

senior management to achieve effective shared

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 by:

Ensuring members and staff have access to

appropriate induction tailored to their role and

that ongoing training and development matching

individual and organisational requirements is

available and encouraged.

20

ensuring personal, organisation and system-

wide development through shared learning,

including lessons learnt from both internal and

external governance weaknesses

A Community Engagement Policy is in place

Human Resource Strategy

Smoke Free policy

Food and Nutrition policy

Alcohol and drug policy Ensuring that there are structures in place to

encourage public participation

Taking 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.

Ensuring arrangements are in place to maintain

the health and wellbeing of the workforce and

support individuals in maintaining their own

physical and mental wellbeing

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F. Managing risks and performance through robust internal control and strong public financial management

Local government needs to ensure that the organisations and governance structures that it oversees have implemented, and can sustain, an effective performance management system that facilitates effective and efficient delivery of planned services. Risk management and internal control are important and integral parts of a performance management system and crucial to the achievement of outcomes. Risk should be considered and addressed as part of all decision making activities.

A strong system of financial management is essential for the implementation of policies and the achievement of intended outcomes, as it will enforce financial discipline, strategic allocation of resources, efficient service delivery, and accountability.

It is also essential that a culture and structure for scrutiny is in place as a key part of accountable decision making, policy making and review. A positive working culture that accepts, promotes and encourages constructive challenge is critical to successful scrutiny and successful delivery. Importantly, this culture does not happen automatically, it requires repeated public commitment from those in authority.


Managing risk Recognising that risk management is an integral

part of all activities and must be considered in all

aspects of decision making

The Council will maintain and review a Corporate Risk Management Framework

The Corporate Risk Register identifies named risk managers for key strategic Risks

The Corporate Risk register is reviewed annually with updates provided quarterly.

Implementing robust and integrated risk

management arrangements and ensuring that

they are working effectively

Ensuring that responsibilities for managing

individual risks are clearly allocated

Managing performance

Monitoring service delivery effectively including

planning, specification, execution and

independent post-implementation review

The Council has in place Corporate Performance Management arrangements that include

o Business and Service Planning o Quarterly reporting against delivery and

performance indicators o Business Evaluation o Corporate performance management Panel

There are 5 Overview and Scrutiny Committees: o Co-ordinating Committee

Making 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

22

Ensuring an effective scrutiny or oversight

function is in place which encourages

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

o Corporate Resources Overview and Scrutiny Committee

o Healthier Communities Overview and Scrutiny Committee

o Learning Communities Overview and Scrutiny Committee

o Thriving Communities Overview and Scrutiny Committee

The Scrutiny function supports the work of Cabinet and Council and provides opportunities to challenge decision making.

Overview and Scrutiny Committees also monitor the decisions of Cabinet. They can ‘call-in’ a decision which has been made by Cabinet but not yet implemented. This enables, enabling them to consider whether the decision is appropriate.

Overview and Scrutiny reviews the provision of services, including those who work in partnership with the Council, and policy makers.

Providing members and senior management

with regular reports on service delivery plans

and on progress towards outcome achievement

Ensuring there is consistency between

specification stages (such as budgets) and post-

implementation reporting (e.g. financial

statements )

Robust internal control

Aligning the risk management strategy and

policies on internal control with achieving

objectives

The Council will maintain and keep under review a Risk Management Strategy

The following policies are in place o Anti-fraud and Corruption Strategy o Whistleblowing Policy

The Internal Audit function is headed by a CIPFA qualified CIA who has considerable local government experience, supported by a team with appropriate knowledge and skills.

An independent Audit Committee oversees the management of risk and the internal control environment

Evaluating and monitoring risk management and

internal control on a regular basis

Ensuring effective counter fraud and anti-

corruption arrangements are in place

Ensuring additional assurance on the overall

adequacy and effectiveness of the framework of

governance, risk management and control is

provided by the internal auditor

23

Ensuring an audit committee or equivalent group

or function which is independent of the

executive and accountable to the governing

body: provides a further source of effective

assurance regarding arrangements for

managing risk and maintaining an effective

control environment that its recommendations

are listened to and acted upon

Managing data Ensuring effective arrangements are in place for

the safe collection, storage, use and sharing of

data, including processes to safeguard personal

data.

The Deputy Chief Executive acts as the Senior Information Risk Owner (SIRO) for the authority.

Monitoring Officer acts as the Senior Responsible Officer (RIPA)for the authority

Policies relating to records management, data quality, data protection and information security are in place and monitored by the Information and Records Management Officer

Access to information requested under the Freedom of Information Act 2000 and the Environmental Information Regulations 2004 will be provided.

Individual access to personal information will also be made available under the Data protection Act 1998

The quality and accuracy of data produced and used in decision making and performance monitoring will be reviewed on a regular basis.

Ensuring effective arrangements are in place

and operating effectively when sharing data with

other bodies

Reviewing and auditing regularly the quality and

accuracy of data used in decision making and

performance monitoring

Strong public financial management

Ensuring financial management supports both

long-term achievement of outcomes and short-

term financial and operational performance

The Council will maintain and review a Medium Term Financial Strategy to ensure that public money is safeguarded at all times.

The Chief Finance Officer will provide financial advice at the highest level of decision making to ensure well developed financial management is integrated at all

Ensuring well-developed financial management

is integrated at all levels of planning and control,

including management of financial risks and

24

controls levels of planning and control including the management of financial risks and controls

25

G. Implementing good practices in transparency, reporting, and audit to deliver effective accountability

Accountability is about ensuring that those making decisions and delivering services are answerable for them. Effective accountability is concerned not only with reporting on actions completed, but also ensuring that stakeholders are able to understand and respond as the organisation plans and carries out its activities in a transparent manner. Both external and internal audit contribute to effective accountability.


Implementing good practice in transparency

Writing and communicating reports for the public

and other stakeholders in an understandable

style appropriate to the intended audience and

ensuring that they are easy to access and

interrogate

The Council will publish information and reports in a manner which is accessible to citizens and other stakeholders in readable and understandable format

Council meetings are webcast

The communications team is responsible for consistent management of Social Media and other messages sent out by the Council.

Arrangements are in place to ensure that all the elected members are able to prepare an annual report on their council activities during the previous year and completed reports are published on the Council’s Website. website

Striking 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

Implementing good practices in reporting

Reporting at least annually on performance,

value for money and the stewardship of its

resources

The Council will produce the following Annual Reports o o An Annual Governance Statement o An annual Improvement Plan Progress report

incorporating progress against the Corporate Strategy

All Annual reports are reported through Scrutiny, Cabinet and Council

All Annual reports will be published on the Council’s website

Ensuring members and senior management

own the results

Ensuring robust arrangements for assessing the

extent to which the principles contained in the

Framework have been applied and publishing

the results on this assessment including an

action plan for improvement and evidence to

demonstrate good governance (annual

26

governance statement)

Ensuring that the Framework is applied to jointly

managed or shared service organisations as

appropriate

Ensuring 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

Assurance and effective accountability

Ensuring that recommendations for corrective

action made by external audit are acted upon

The Council welcomes peer challenge, internal and external review and audit and inspections from regulatory bodies and gives thorough consideration to arising recommendations.

Recommendations are taken forward through Corporate Performance Management Arrangements.

The Council will manage risks to its financial position, objectives and reputation resulting from services being delivered through third parties

The Audit Committee will refer matters to the relevant Overview and Scrutiny Committee in order to seek assurance

Ensuring an effective internal audit service with

direct access to members is in place which

provides assurance with regard to governance

arrangements and recommendations are acted

upon

Welcoming peer challenge, reviews and

inspections from regulatory bodies and

implementing recommendations.

Gaining assurance on risks associated with

delivering services through third parties and that

this is evidenced in the annual governance

statement

Ensuring that when working in partnership,

arrangements for accountability are clear and

that the need for wider public accountability has

been recognised and met

27

9.1 This Code will be reviewed on an Annual basis to ensure it is kept up to date.

9.2 Any identified changes to the Code will be reported to the Audit Committee before being incorporated within the Council’s Constitution.

9.3 The Audit Committee is responsible for monitoring and reviewing the Governance arrangements as described in this Code.

9.4 Full terms of reference for the Audit Committee is included in the Constitution

9.5 All Members of the Council are informed of the work of these committees through minutes submitted to Council as well as Annual Reports

9.6 Through that Committee the Council will ensure that these arrangements are kept under continual review. This will include consideration of :

• The work of Internal and External Audit • The opinion of other review agencies and inspectorates • Opinions from the Council’s Statutory Officers • General matters relating to the implementation of the Code • The production of the Annual Governance Statement and actions

planned to address arsing governance issues

9. Monitoring and Review

28

10.1 Each Year the Council will publish an Annual Governance Statement (AGS). 10.2 This will provide an overall assessment of the Council’s Corporate

Governance arrangements and an appraisal of the controls in place to manage the Council’s key risks.

10.3 The AGS will also provide details of where improvements need to be made. 10.4 The AGS will be reviewed by Leadership Group and approved by the Audit

Committee, prior to being signed by the Leader of the Council and the Chief Executive.

10.5 The AGS will be published as part of the Council’s Annual Statement of

Accounts and will be reviewed by our External Auditors.

10. Annual Governance Statement

29

Key Documents which support the achievement of the core Principles

Contributory Processes / Regulatory Monitoring

Annual Governance Statement Annual Statement of Accounts Anti-Fraud & Corruption Strategy Property Asset Management Plan Cabinet & Committee Reports Code of Conduct for Members Code of Conduct for Officers Confidential Reporting Code Constitution Overview and Scrutiny Public Engagement Policy Community Engagement Policy (2013) Complaints Policy (public) Complaints Policy Contract Procedure Rules Contracts Register Corporate Communications Strategy Inc. Media Relations Corporate Risk Register Corporate Strategy 2013-2017 Corporate Health, Safety and Well-being Strategy Data Protection Policy Economic Regeneration Strategy External Audit Reports Financial Management Standards Financial Procedure Rules 2009 Forward Plan of Decisions Freedom of Information Policy Health & Safety Policy 2013 Human Resources Strategy Information & Communications Technology Strategy Information Security Policy Inspection Reports Internal Audit Plan Internal Audit Reports Key performance Indicators

Local Code of Corporate Governance

Medium term Financial Strategy Members Allowances Member Handbook Member Personal Development Schedule of Members’ Remuneration Members learning & development strategy Minutes of Meetings Office Accommodation Strategy Officer & Member declarations of Interest Gifts & Hospitality Registers Overview and Scrutiny Annual Report Democratic Services Annual Report Performance Management Reports Policy Framework procedure Procurement Strategy Records Management Policy Record of Decisions Risk Management Strategy Single Integrated Plan Scheme of Delegation Service Plans Social Media Editorial and Administration Policy Strategic Equality Plan (SEP) 2016-20 Treasury Management Policy Well-being and Improvement Plan Whistleblowing Policy Welsh Language Standards Workforce Plan Strategic Plan

Audit Committee Leadership Group Ceredigion Procurement Forum Community Safety Partnership Corporate Equalities Working Group Corporate Performance Management Panel Democratic Services Committee Ethics & Standards Committee Employee Forum External Audit External Inspection & Review Agencies ICT Technical - CAB Iechyd Dda Group Internal Audit Mid & West Wales Safeguarding Board Member Briefings/Workshops Capital Expenditure Working Group Monitoring Officer Group Overview & Scrutiny Committees Overview & Scrutiny Committee Public Service Board Police & Crime Panel Transformation Project Board and Panel Welsh Language Committee

Related Documents

http://www.ceredigion.gov.uk/English/Your-Council/Councillors-Committees/AnnualGovernanceStatement/Pages/default.aspx

http://www.ceredigion.gov.uk/English/Your-Council/Budgets-Finance/Statement-of-Accounts/Pages/default.aspx



http://www.ceredigion.gov.uk/English/Your-Council/Councillors-Committees/Minutes/Pages/default.aspx


https://ceri.ceredigion.gov.uk/net/wp-content/uploads/2016/07/CodeOfConduct-Eng.pdf

http://www.ceredigion.gov.uk/English/Your-Council/About-the-Council/Council-Constitution/Pages/default.aspx

http://www.ceredigion.gov.uk/English/Your-Council/strategiesplansandperformances/Pages/communityengagementpolicy.aspx

http://www.ceredigion.gov.uk/English/Your-Council/Complaints/Pages/Complaints-Policy.aspx




http://www.ceredigion.gov.uk/English/Your-Council/strategiesplansandperformances/strategies/Pages/default.aspx


http://www.ceredigion.gov.uk/English/Your-Council/strategiesplansandperformances/EconomicRegenerationStrategy/Pages/default.aspx









http://www.ceredigion.gov.uk/English/Your-Council/strategiesplansandperformances/Finance/Pages/Finance.aspx

http://www.ceredigion.gov.uk/English/Your-Council/Councillors-Committees/Members-Allowances/Pages/default.aspx

https://www.ceredigion.gov.uk/English/Your-Council/Councillors-Committees/Minutes/Pages/default.aspx

http://www.ceredigion.gov.uk/English/Your-Council/strategiesplansandperformances/Finance/Pages/Finance.aspx


http://www.ceredigion.gov.uk/English/Your-Council/strategiesplansandperformances/SingleIntegratedPlan/Pages/default.aspx



http://www.ceredigion.gov.uk/English/Your-Council/equalityanddiversity/strategicequalityplanobjectives/Pages/default.aspx

http://www.ceredigion.gov.uk/English/Your-Council/equalityanddiversity/strategicequalityplanobjectives/Pages/default.aspx

http://www.ceredigion.gov.uk/English/Your-Council/strategiesplansandperformances/plans/Pages/default.aspx

http://www.ceredigion.gov.uk/English/Your-Council/strategiesplansandperformances/plans/Pages/default.aspx




http://www.ceredigion.gov.uk/English/Your-Council/Councillors-Committees/Minutes/Pages/Audit.aspx

http://www.ceredigion.gov.uk/English/CeredigionForAll/Community%20Safety/Pages/default.aspx

http://www.ceredigion.gov.uk/English/CeredigionForAll/Community%20Safety/Pages/default.aspx

http://www.ceredigion.gov.uk/English/Your-Council/Councillors-Committees/Minutes/Pages/Ethics-and-Standards.aspx

http://www.ceredigion.gov.uk/English/Your-Council/Councillors-Committees/Minutes/Pages/Ethics-and-Standards.aspx

http://cysur.wales/home/about-us/

http://cysur.wales/home/about-us/

http://www.ceredigion.gov.uk/English/Your-Council/Councillors-Committees/Overview-and-Scrutiny/Pages/default.aspx

http://www.ceredigion.gov.uk/English/Your-Council/Councillors-Committees/Overview-and-Scrutiny/Pages/default.aspx

http://www.ceredigion.gov.uk/English/CeredigionForAll/Pages/default.aspx

http://dppoliceandcrimepanel.org.uk/

http://dppoliceandcrimepanel.org.uk/


ERW CONSORTIUM INTERNAL AUDIT WORK PROGRAMME 2017-18

Purpose: Approval of the 2017-18 Internal Audit work programme.


To approve the 2017-18 Internal Audit work programme.REASONS: Statutory Requirement.

Report Author:Jo Hendy

Designation:Head of Internal Audit

Tel No. 01437 776213

E. Mail:[email protected]

Agenda Item 10


1 DECEMBER 2017

ERW CONSORTIUM INTERNAL AUDIT WORK PROGRAMME 2017-18

BRIEF SUMMARY OF PURPOSE OF REPORTApproval of the 2017-18 Internal Audit work programme.




NONE NONE YES YES NONE

1. FinanceFormal Joint Committee approval of the Internal Audit work programme for 2017-18.

2. Risk ManagementFormal Joint Committee approval of the Internal Audit work programme for 2017-18.

CONSULTATIONSN/A


THERE ARE NONE

JOINT COMMITTEE

Report of: Head of Internal Audit

Date: 1 December 2017

Internal Audit Work Programme 2017-18

The Internal Audit work programme for 2017-18 has been prepared in accordance with the requirements of the Public Sector Internal Audit Standards.

The following Internal Audit work programme has been agreed with the Managing Director and the Section 151 Officer:

Governanceo Follow up of previous recommendationso Follow up of the Annual Governance Statement Priorities for

Improvement

Financial Managemento Budgetary Controlo Payment of Employees (including seconded staff)o Purchase of Supplies & Serviceso Compliance with Standing Orderso Compliance with Grant Funding Terms & Conditionso Distribution of Grant Funding

Business Plan Implementation and Value for Moneyo Implementation of the Business Plano Alignment with Financial Planningo Measuring and Monitoring the achievement of Value for Money

Project Management of the Review & Reform Programmeo Governance and Risk Management Arrangements o Project Managemento Deliverability of the Review & Reform Programme

Preparation for the introduction of the General Data Protection Regulation (GDPR) in May 2018

RECOMMENDATIONS

The Joint Committee approves the Internal Audit work programme 2017-18.

Background Documents:

N/A


OFFICE SPACE

Purpose: To provide an overview of the rationale and need to move to larger offices to accommodate ERW’s workforce.


That the Joint Committee consider the report and to note the significant risk in remaining at Y Llwyfan.

That the Joint Committee approve the report and support Option 2 as a way forward.

REASONS: Joint Committee Approval

Report Author:

Ruth Lee

Designation:

Project and Business Manager

Tel No. 01267 245636


Agenda Item 11



1 DECEMBER 2017

OFFICE SPACE


The purpose of this report is to provide an overview of the rationale and need to move to larger offices to accommodate ERW’s workforce. The paper will explain the risks, efficiencies and added valued to enable ERW to operate and work more effectively.DETAILED REPORT ATTACHED? YES



NONE NONE YES YES NONE

1. FinanceThe increase in the yearly lease would have an impact on budget.

2. Risk ManagementLoss of grant money

CONSULTATIONSN/A


THERE ARE NONE

Business case – Office Space

The purpose of this paper is to provide an overview of the rationale and need to move to larger offices to accommodate ERW’s workforce. The paper will explain the efficiencies and added value to enable ERW to operate and work effectively to deliver the Business Plan priorities.

The proposal is to move offices and lease from a choice of two different but suitable office space in Carmarthen, to accommodate all existing staff, including hotdesking for an additional 50 Network Leaders of Learning. By moving offices, it would ensure that all meetings and training events could be held centrally, larger hot desking area for increasing workforce and additional working area for administrative staff.

In accordance with ERW’s Health and Safety Policy, a staff room would be a necessity to ensure staff wellbeing. Currently the conditions do not allow sufficient space for lunch breaks and for all staff to have appropriate chairs and large PC monitors.

Currently we have two offices for Managing Director and Senior Management Team (both these offices are also used as small meeting spaces), two offices for a team of administrative staff (including Senior Accountant and Finance Officer), two meeting rooms (maximum of 15 in both meeting rooms) and a hot desking area suitable for 12 members of staff (approximately 2,000 sq feet).

Currently we lease from University of Wales Trinity St David and sub-lease the mezzanine from Theatre Genedlaethol. The expiry date for both of these leases is March 2018.

During the 2016-17 academic year, ERW spent a minimum of £60,632 on room hire within Y Llwyfan and various other venues, including The Village in Swansea and The Halliwell in Carmarthen. Over a 100 days of training had been organised and held last year and the table below provides a breakdown of some of our venue costs

Venue Cost 2016-17

Cost 2017-18 (to end of September) *

The Village Hotel, Swansea £36,380.00 £21,427.00

The Halliwell Centre, Carmarthen £13,336.00 £7,144.00

The Metropole Hotel, Llandrindod £378.00 £1,229.00

Botanical Garden of Wales, Llanarthne

£640.00 £1,723.00

Y Llwyfan Conference Room, Carmarthen

£9,898.00 £1,120.00

Other – MRC, GJ Centre, Gorseinon, Aberystwyth University,

£10,386 £8,199.00

Lampeter University, Ivy Bush, The Towers, Liberty Stadium, Parc Y ScarlettsY Llwyfan Lease £31,578 £31,578.00TOTAL 102,598 £72,420

* A further 64 events have been organised until the end of this academic year, however we are in the process of arranging further courses, for example NPQH and HLTA and training for Challenge Advisers and Leaders of Learning. Estimated cost for the next 6 months will be £70,000. The majority of our events are held in The Village Hotel in Swansea, a tender was submitted and was won as they were the cheapest facility, despite not being in a central location.

We are currently looking at other venues following an invitation to tender for using school premises for Consortium events, meetings and training had been issued. These school premises will support smaller events outside Carmarthen.

Moving forward, ERW’s future requirements would be:

1 Office for Managing Director 6 Offices x 4 people (SMT, Admin) Hot desk sufficient for up to 120 people Meeting Rooms (mixture of between 10 – 80 capacity) Conference Room (capacity of up to 200 people) Kitchen for staff and events Staff Room Reception Area Parking

The following options are available to ERW for potential future office space, including the cost for leasing per annum.

Talks with officers from University of Wales Trinity St David have got underway to discuss options of looking at further office space within Y Llwyfan and also any additional space on the Carmarthen campus. Tenant leases are currently being reviewed. However, currently there are no options for ERW at the Llwyfan, Egin (S4C) or other UWTSD sites in Carmarthen.

The risks of remaining at Y Llwyfan, with the existing arrangements for holding regional training events, would see an increase of costs and put added pressure on grant funding. The current working arrangements are not suitable for a growing organisation and is detrimental to the wellbeing of staff. Current provisions see staff sharing desks, no monitors for their laptops, inappriopriate seating and eating lunch at their desks, due to no staff room or break out rooms.

Option 1:

Land at Parc Pensarn, Pensarn, Carmarthen, SA31 2NG

4,000 sq ft with a mezzanine level to utilise the first floor Footings have been laid due to another developer withdrawing Built within 4 - 6 months once plans have been drawn up Design to own needs, incorporating conference room and meeting rooms thus

making huge savings on hiring venues 10 year lease but could serve notice on the premises after 5 years Sufficient car parking for staff and representatives on working groups and training

events Direct transport links with A48 and rail Cost of leasing (excluding utilities) would be £60,000 per annum Offices would need to be furnished

Benefits:

Enable us to purpose build to own design and hold all events

Risks:

Still in the planning stage, building needs to be constructed Private provider Possible delays in building

Option 2:

Welsh Government Offices, Picton Terrace, Carmarthen, SA31 3BT

Welsh Government currently have two floors in the Carmarthen offices available to let. These offices have been newly refurbished and would provide sufficient work space for all ERW employees. In addition, there are a large number of meeting rooms, holding up to 60 people that can be used (included within the lease). As part of the lease ERW could also use for free rooms in other Welsh Government offices across Wales. For example, a conference centre in Aberystwyth which hold up to 80 people can be booked as part of this lease.This also includes:

Access to car parking A secure manned reception The second floor that could be used both as hot-desking and as a conference centre A canteen that also provide catering for events held in meeting rooms etc Open plan offices which would improve agile working and develop a more positive

working environment

Office space for senior leadership team A number of professional meeting areas located throughout the building Separate access to the building for ERW employees VC equipment in all meetings rooms. Cost of lease, which will include all utilities including council tax will be £184,928 At date of writing, quoted price per floor is £92,464, however, if a lease is taken for

both floors, this price could be negotiated to a lower rate.

Benefits:

Meeting rooms in Aberystwyth, Newtown and Swansea could allow for future proofing a flexible working arrangements and potential changes to deployment and employment arrangements.

Collaboration with known partners

Challenges:

Additional costs to install IT cabling for internet access and phone line Offices would need to be furnished

Recommendations

That the Joint Committee consider the report and to note the significant risk in remaining at Y Llwyfan.

That the Joint Committee approve the report and support Option 2 as a way forward.


ERW LEAD CHIEF EXECUTIVE AND ERW LEAD DIRECTOR

Purpose:

Appointment of ERW Lead Chief Executive and ERW Lead Director


Agree appointments of Lead Chief Executive and Lead Director

REASONS: Resignation of current post holders.

Report Author:

Betsan O’Connor

Designation:

ERW Managing Director

Tel No. 01267 676840

E. Mail:[email protected]

Agenda Item 12



1 DECEMBER 2017

ERW LEAD CHIEF EXECUTIVE AND ERW LEAD DIRECTOR

BRIEF SUMMARY OF PURPOSE OF REPORTFollowing the resignation of the Lead Director of Education and the Lead Chief Executive since the last meeting, it is timely to fill these posts.

6. “The Lead Chief Executive, the Lead Director of Education and the Lead Financial Officer for the consortium should be appointed by the Joint Committee and their duties shall include …….”

Both agreed to stay in post until after Estyn’s visit on the request of the Joint Committee Chair.DETAILED REPORT ATTACHED? NO



NONE NONE NONE NONE NONE(

CONSULTATIONSN/A


THERE ARE NONE