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Report to Governance Committee

Date 14 July 2015

By Governance and Support Services Manager & Monitoring Officer

Title of Report Annual Governance Statement and Updated Local Code of Corporate Governance

Purpose of Report

To seek approval to the Annual Governance Statement for 2014-15 to accompany the Authority’s Statement of Accounts and to note the updated Local Code of Corporate Governance

Recommendation: The Committee is recommended to: 1) Approve the Annual Governance Statement for 2014-15 to accompany the

Authority’s Statement of Accounts; and 2) Note the updated Local Code of Corporate Governance.

1. Introduction

1.1 This report explains the statutory basis for the production of an Annual Governance Statement and the contribution this makes to ensuring good governance within a public authority. The final draft of the annual Governance Statement for 2014-15 is appended to the report for approval. Also appended to the report for noting is the updated Local Code of Corporate Governance.

2. Background

2.1 Under the Accounts and Audit (England) Regulations 2011 the Authority is required to conduct a review at least once a year of the effectiveness of its system of internal control. The findings of that review must be considered by a committee of the Authority, or by the Members of the Authority as a whole. Following that review, an annual governance statement, prepared in accordance with “proper practices in relation to internal control”, must be approved. The approved statement must then accompany the Authority’s Statement of Accounts. It is the role of the Governance Committee to review the outcome of the annual review of governance arrangements and approve the Annual Governance Statement, ensuring it contains any actions for improvement.

2.2 The “proper practices”, in accordance with which the Annual Governance Statement is to be prepared, are set out in guidance1 to local authorities (including national park authorities) issued by the Chartered Institute of Public Finance and Accountancy (CIPFA) and the Society of Local Authority Chief executives (SOLACE).

3. Guidance

3.1 The guidance suggests that, to carry out its review, the Authority will need to:

• Consider the extent to which the Authority complies with the principles and requirements of good governance as set out in the guidance;

• Identify systems, processes and documentation that provide evidence of compliance; • Identify the individuals and committees responsible for monitoring the systems,

processes and documentation identified;

1 Entitled “Delivering Good Governance in Local Government Framework” as amended in 2012

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• Identify the issues that have not been addressed adequately by the Authority and consider how they should be addressed; and

• Identify the individuals who would be responsible for undertaking the actions required and plan accordingly.

3.2 The guidance advises that governance arrangements should be assessed against the following core principles:

• Focusing on the purposes of the Authority and on outcomes for the community and on creating and implementing a vision for the local area;

• Members and officers working together to achieve a common purpose with clearly defined functions and roles;

• Promoting values for the Authority and demonstrating the values of good governance through upholding high standards of conduct and behaviour;

• Taking informed and transparent decisions which are subject to effective scrutiny and managing risk;

• Developing the capacity and capability of Members and officers to be effective; and • Engaging with local people and other stakeholders to ensure robust public

accountability.

3.3 In respect of each core principle, the guidance offers more detailed advice concerning the requirements of good corporate governance and includes an example of how an annual governance statement may look.

3.4 The guidance further suggests that each local authority should consider adopting in due course its own Local Code of Corporate Governance. The Local Code of Corporate Governance was approved in June 2014 which sets out the Authority’s objectives in relation to each of the core principles of good governance, and how the Authority will seek to measure its performance against these criteria.

4. Annual Governance Statement 2014-15

4.1 The Monitoring Officer, Chief Finance Officer and Director of Corporate Services have liaised to prepare a draft Annual Governance Statement for 2014-15, in compliance with the guidance, and which records the ongoing work that has been undertaken to establish and review governance arrangements. The draft Annual Governance Statement is set out in Appendix 1 to this report.

4.2 No significant governance issues have been identified. The actions for further improvement in 2015-16 are listed in paragraph 5.2 of the draft Annual Governance Statement.

5. Updated Local Code of Corporate Governance

5.1 As part of the review of effectiveness of the Authority’s governance arrangements, officers identified amendments that needed to be made to the Local Code of Corporate Governance.

5.2 In exercise of the authority delegated to her by the Authority on 24 April 2014, the Director of Corporate Services, in consultation with the Chair of the Governance Committee, has made the necessary amendments to the Local Code of Corporate Governance. As required by the terms of the delegated authority, these amendments are now being reported to the Committee. The Local Code of Corporate Governance, is set out at Appendix 2 to this report.

6. Resources

6.1 The preparation of the Annual Governance Statement has been done within existing identified resources.

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7. Risk management

7.1 The carrying out of an annual review, together with the reporting of its outcome to the Governance Committee, provides assurance that arrangements are adequate and operating effectively in practice and, where gaps are identified, that action is planned to address this for the future.

8. Human Rights, Equalities, Health and Safety

8.1 There are no implications arising from this report.

9. Sustainability

9.1 The report adheres to the principle of Promoting Good Governance as set out in the Authority’s Sustainability Strategy.

10. External Consultees

10.1 None.

ROBIN PARR & LOUISE READ Governance and Support Services Manager & Monitoring Officer

Contact Officer: Robin Parr & Louise Read Tel: 01730 819207 email: Robin.parr@southdowns.gov.uk louise.read@hants.gov.uk Appendices 1 - Draft Annual Governance Statement

2 - Updated Local Code of Corporate Governance SDNPA Consultees Chief Executive Officer, Director of Corporate Services, Chief Finance

Officer, Deputy Chief Finance Officer and Head of Internal Audit. Background Documents None.

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South Downs National Park Authority Annual Governance Statement 2014-15 Version 0.03 Review Date June 2016 Responsibility Director of Corporate Services Last updated June 2015 Date approved July 2015 Approved by Governance Committee

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ANNUAL GOVERNANCE STATEMENT FOR SOUTH DOWNS NATIONAL PARK AUTHORITY 2014-2015

1. Scope of Responsibility

1.1 Through carrying out its general statutory duties and responsibilities in connection with the two national park purposes, the South Downs National Park Authority (the SDNPA) seeks to work for and with the local community to foster the social and economic wellbeing of communities within the National Park.

1.2 The SDNPA is responsible for ensuring that its business is conducted in accordance with the law and proper standards, and that public money is safeguarded, properly accounted for and used economically, efficiently and effectively.

1.3 The SDNPA also has a duty under the Local Government Act 1999 to make arrangements to secure continuous improvement in the way in which its functions are exercised, having regard to a combination of economy, efficiency and effectiveness.

1.4 In discharging this overall responsibility, the SDNPA is also responsible for putting in place proper arrangements for the governance of its affairs and facilitating the effective exercise of the Authority’s functions which includes arrangements for the management of risk.

1.5 The SDNPA has approved and adopted a Local Code of Corporate Governance which is consistent with the principles of the CIPFA/SOLACE guidance Delivering Good Governance in Local Government Framework. The Local Code of Corporate Governance sets out agreed criteria against which the effectiveness of the governance framework will be assessed. This statement explains how the Authority has complied with the Local Code and meets the requirements of Regulation 4(3) of the Accounts and Audit (England) Regulations 2011 for the Authority to prepare an annual governance statement.

2. The purpose of the governance framework

2.1 The governance framework comprises the systems and processes, and culture and values, by which the SDNPA is directed and controlled. The frameworks also includes the Authority’s activities through which it accounts to, engages with and leads the community. It enables the SDNPA to monitor the achievement of its strategic priorities and to consider whether these priorities have led to the delivery of appropriate, cost-effective services.

2.2 The system of internal control is a significant part of that framework and is designed to manage risk to a reasonable level. It cannot eliminate all risk of failure to achieve policies, aims and objectives and can therefore only provide reasonable and not absolute assurance of effectiveness.

2.3 The system of internal control is based on an ongoing process designed to identify and prioritise the risks to the achievement of the Authority’s aims, objectives and policies, to evaluate the likelihood and potential impact of those risks being realised and to manage them efficiently, effectively and economically.

2.4 The governance framework has been in place within the SDNPA for the year ended 31 March 2015 and up to the date of approval of the annual report and Statement of Accounts.

3. The Governance Framework

3.1 The key elements of the systems and processes that comprise the SDNPA’s governance arrangements are summarised below.

Vision and Leadership

3.2 The SDNPA’s purposes, vision and intended outcomes for residents, visitors and other service users are identified in a range of policy documents set out in our Local Code of Corporate Governance. The overarching vision for the management for the South Downs was agreed in July 2012 and is included in the Partnership Management Plan which was launched in 2014 (the 5 yearly review of the PMP may incorporate a review by partners of the shared vision as deemed necessary). The plan was developed with partners and delivery

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partnerships have been put in place to ensure the objectives are met. The Vision and emerging priorities will also be reflected in the Local Plan which is due to be completed in 2017.

3.3 The SDNPA’s Corporate Plan (which can be found on the website) underwent an annual review in 2015 with updates to the 2014-2017 plan being approved by the NPA in March 2015. This document sets out the high level objectives and priorities for the three year period (2014-2017) and sets out in some detail proposals for the forthcoming financial year. The Corporate Plan also sets out our values. The Corporate Plan feeds into the Operational Plan which details the priority activities and performance measures/targets for each year. The Partnership Management Plan drives the objectives and priorities for the organisation. The Corporate Plan 2014-2017, updated in March 2015, continues the process by linking directly to the objectives for the Partnership Management Plan.

Service Quality

3.4 Progress against the SDNPA’s objectives, and the National Park Authority performance indicators, is identified via quarterly and annual performance reporting. The Performance Management Framework has been revised to reflect the development of high level objectives for the Partnership Management Plan. Performance is monitored by the Governance Committee with policies and strategies in place to ensure that the SDNPA makes best use of resources. The approach to performance monitoring is set out in the Performance Management Framework.

3.5 The Aspireview Performance Management system is used to produce performance information for the Corporate and Operational Plans. Information about projects has been incorporated into the system and is used regularly to report on project progress to Members and others. The PMP indicators have been uploaded into the system. We will be encouraging the use of the system by partners for project and PMP indicator reporting. .

Decision Making

3.6 The SDNPA’s Standing Orders, Scheme of Delegation, Financial Regulations, Contract Standing Orders and other procedures prescribe how the Authority operates and how decisions are made to ensure that these are efficient, transparent and accountable to local people.

3.7 During 2014-2015 the Authority undertook a review of the implementation of the changes that had been previously introduced to its decision making arrangements. The key outcomes of this review included: • Changes to the scheme of delegation.

• Changes to the operation of the grant funding pots and the role of the Policy and Programme Committee in the grant funding process.

• Clarification of roles between committees, including the reporting of planning performance information.

• Refreshed and updated standing orders.

3.8 There is also a programme for reviewing and updating key documentation. We have a research and evidence strategy which ensures that comprehensive, good quality data is available to base our decisions on and allow us to monitor progress.

3.9 Each of the SDNPA’s three committees has distinct terms of reference. Meetings of the Authority and its committees are held in public (save for individual items of a sensitive nature properly considered in confidential session) with publicly available agendas and minutes published on the Authority’s website. Members of the public may ask questions and make representations on relevant matters at meetings in accordance with a defined protocol for public engagement, which enshrines the rights of the public to address meetings. The Authority will begin to webcast meetings of the Full Authority and Planning Committee during 2015.

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3.10 The roles and responsibilities of the Members and officers are further defined in Member/Officer job descriptions and there is a Local Protocol for Member and Officer Relations. The roles of Chief Executive, Monitoring Officer and Chief Finance Officer are filled. The SDNPA has a range of contracts for key support services. This includes the provision of the Chief Finance Officer and Monitoring Officer functions. In reaching this decision the SDNPA took into account the governance requirements of CIPFA’s Statement on the role of the Chief Finance Officer in Local Government (2010).

3.11 The contract for the provision of financial services and Chief Finance Officer support has operated during the year. The CFO function continues to be performed under this contract by the Deputy Director of Finance at Brighton and Hove City Council. There are agreed protocols for consultation with the CFO or Deputy CFO on key decisions and advice to the Authority and its Committees. The Deputy CFO is represented at fortnightly meetings of the SDNPA’s management team on the CFO’s behalf in order to ensure a sound understanding of the organisation’s key priorities and risks. Contracts for the provision of ICT and legal services have also operated during the year.

Risk management

3.12 The SNDPA has established a systematic strategy, framework and processes for managing risk. A risk register is maintained, and reviewed on a quarterly basis at meetings of the Governance Committee. This enables relevant risks to be identified and evaluated, with consideration given to appropriate mitigation strategies. Directorate level risk monitoring is in place and a consolidated risk register is maintained and reviewed regularly by SMT. Risk is also monitored at project level. There is an escalation process from project and directorate risk registers to the corporate risk register. The risk process has been reviewed in 2014 with a new risk register template and risk appetite statement being adopted by the Governance Committee.

Conduct and behaviour

3.13 There are Codes of Conduct for Members and officers in place and performance appraisal processes for both. Training is given to new Members on the Code of Conduct as part of the induction process and there is a Register of Members’ Interests. The Authority operates successor standards arrangements for the conduct of Members following the implementation of the Localism Act 2011. The Governance Committee is responsible for monitoring the ethical framework of the Authority and has undertaken a review, instigated by the Authority’s Independent Person, of the processes for managing complaints against Members of the Authority. The independent Person submits an annual report to the Governance Committee on Member Standards Issues and potential improvements in policy and practice.

3.14 An annual report on complaints received is considered by the Governance Committee, so that the Authority can seek service improvement. The SDNPA has a Whistleblowing Policy, with confidential reporting arrangements in place to enable internal and external whistle-blowing. This policy and the associated arrangements have been reviewed by internal audit during 2014/15 with a number of improvements agreed for 2015. There is an Anti-fraud and Corruption Policy in place.

3.15 Competencies have been incorporated into the performance and development review process for staff. These are now a key part of the performance appraisal process, with the 2015 cycle of PDRs being the first time staff are assessed against the competency framework.

Financial accountability

3.16 The SDNPA’s Financial Regulations and Procedures provide a framework for the management of the Authority’s financial affairs and were reviewed and updated in March 2015. The SDNPA has a Treasury Management Policy and Annual Investment Strategy which were both reviewed and updated at the meeting of the NPA in March 2015. Monitoring of the operational budget was conducted during the year and findings incorporated into the budget planning process for 2015-2016. Contract Standing Orders set out arrangements

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governing the award of contracts, to ensure that procurement processes are fair transparent and lawful, and that best value for money is being obtained. Payment of allowances to Members is made in accordance with the Local Authorities (Members’ Allowances) (England) Regulations 2003. An independent review of the scheme of allowances has been delivered in 2014 with a new scheme being agreed by the full Authority in March 2015.

3.17 Members have a key role in providing assurance that the Authority’s funds are used economically, efficiently and effectively in accordance with agreed policies. The financial strategy and budget is agreed by the Authority following scrutiny by the Policy and Programme Committee. The Governance Committee receive reports on budget monitoring. The Authority’s Governance Committee has a membership that includes two independent members and undertakes the core functions of an audit committee. The Authority has appointed an Independent Person as required to oversee complaints about the conduct of Members. This ensures the provision of appropriate skills and experience in the scrutiny of the Authority’s arrangements for financial control, risk management and standards of conduct, and enhances transparency.

3.18 The Authority’s accounts are subject to external audit on an annual basis and reported to the Governance Committee at a public meeting. An Internal Audit service is provided under a service level agreement by Brighton and Hove Council’s Internal Audit Services. A review of the system of internal audit to ensure compliance with the Public Sector Internal Audit Standards was carried out in May 2015. The Authority’s external auditors, Ernst and Young, review the appropriateness of internal audit arrangements and accordingly place reliance on the work done.

3.19 All contracts since June 2013 have been procured through e-sourcing using the In-tend system. During 2014-2016 it is intended to develop the use of the software for tender evaluation and supplier performance management.

Constructive working relationships between officers and Members

3.20 Compliance with relevant legal requirements and the SDNPA’s procedures is facilitated by a range of controls. Policies are in place to regulate how the Members and officers use the resources available to them. The Local Protocol for Member and Officer Relations was revised in December 2013.

3.21 The SDNPA receives legal advice and Monitoring Officer support as appropriate via separate contracts with West Sussex County Council and Hampshire County Council. This advice includes input into significant Committee/Authority papers. In 2014-2015 no formal reports by the Monitoring Officer, further to section 5 of the Local Government and Housing Act 1989, were necessary.

Skills and Learning for staff and Members

3.22 Member and Officer learning and development needs are identified and met through induction programmes, the Performance and Development Review process, the Learning and Development Policy for officers (with individual staff learning and development plans) and the Member Development Strategy. There are annual Member discussions about development needs between individual members and the Chair of the Authority. There have been a number of formal and informal training sessions for Members on various aspects of their responsibilities and to aid the development of policy, including Freedom of Information legislation, equalities and diversity and processes and procedures around the local plan.

3.23 Budget managers have access to one to one support for budget management and also briefings on Financial Procedures and administration, further budget management and closedown. All financial guidance and procedure notes are available on the Authority’s Intranet. Specific procurement training has been provided to Rangers on specification, evaluation and contract management. Key staff who will manage above threshold tenders have been trained in new EU Procurement Directive. Staff working on the LSTF Project have received procurement training and key staff involved in supplier selection are working to achieve CIPS pass in Ethical Procurement and Supply in 2015.

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3.24 Clear relationships with Partners and the public

3.25 A key element in the SDNPA’s guiding principles is working with partners and community groups. The SDNPA has therefore developed and maintained a range of relationships and arrangements with other agencies in the public, private and voluntary sectors, to ensure that they are able to engage with and contribute to the work of the Authority. The SDNPA has an Accord with Natural England and Memoranda of Understanding with the South Downs Network and South Downs Land Management Group. A Memorandum of Understanding with the Association of Local Councils within the South Downs has also been agreed. The Authority has continued Member appointments to a number of local partner organisations and groups including the South Downs Local Access Forum, East and West Sussex Rural Forums. There is a formal reporting back mechanism for those SDNPA Members appointed to outside bodies. The SDNPA has a communication and engagement strategy and a Statement of Community Involvement. In July 2014 the Policy and Programme Committee considered a study by Shared Intelligence in relation to the Authority’s relationship with the LEPS. The committee endorsed a range of recommendations made in that report to strengthen and develop these ongoing relationships.

3.26 The Authority is currently preparing a Local Plan for the National Park. When adopted the Local Plan will set out the planning policies for the South Downs National Park and all planning applications for development within the National Park will be judged against these policies. This will be the first time that the National Park will be planned for as a single entity.

3.27 During this consultation the Authority directly notified over 1300 stakeholders, including town, parish and district councils, local interest groups, national organisations and agencies, estates and other landowners and infrastructure and service providers.

3.28 The Authority has also continued to work closely with partners on the roll out of its shared identity and has engaged partners in its communications and engagement working group.

3.29 Members of the Authority formally meet with the South Downs Partnership and meetings are held with landowners, farmers and other key stakeholders at least annually.

4. Review of Effectiveness

4.1 The SDNPA has responsibility for conducting, at least annually, a review of the effectiveness of its governance framework including the system of internal control. The review of effectiveness is informed by the work of the Senior Management Team and other officers within the Authority who have responsibility for the development and maintenance of the governance environment, the Principal Audit Managers annual report, the work done to review the Local Code of Corporate Governance, and also by responding to comments and recommendations made by external auditors and others.

4.2 The annual review exercise, which incorporated a review of the Local Code of Corporate Governance, was initiated by the Director of Corporate Services and the Monitoring Officer and included consultations with the Strategic Management Team, the Chief Finance Officer, the Deputy Chief Finance Officer and the Head of Internal Audit.

4.3 The Internal Audit Annual Opinion is that substantial assurance can be provided that an effective system of internal control is in place at the SDNPA for the year ended 31 March 2015. There was just one Limited Assurance audit report in 2014/15 which was the audit of IT Governance.

4.4 The SDNPA’s Chief Finance Officer and Monitoring Officer have also provided assurance that there have been no significant control issues which have:

• Required the need for formal action in their respective roles,

• Required the need for significant additional funding not already provided for within the approved budget,

• Had a material impact on the accounts; or

• Resulted in significant public interest, damaging the reputation of the Authority.

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4.5 Although a review of the effectiveness of the Governance arrangements is reported once per year to the Authority, the process of gathering evidence and monitoring performance is continual and is managed through reports to the Authority and to the Governance, and the Policy and Programme Committees and through the improvement planning process. Management action required to maintain effective governance arrangements evident from reports and from other management reporting processes is taken throughout the year.

4.6 We have been advised on the implications of the result of the review of the effectiveness of the governance framework by the Governance Committee and that the arrangements continue to be regarded as fit for purpose in accordance with the governance framework. The areas already addressed and those to be specifically addressed with new actions planned are outlined below.

5. Governance issues

5.1 No significant governance issues have been identified. The following key areas of work have been conducted during 2014-2015:

• Evaluation of the implementation of the governance review • An internal audit of Corporate Governance and one of IT Governance • Review of delegations and review of Standing Orders (this is reviewed annually)

• Review of Officer code of conduct • Review of Members Allowances Scheme • Review of risk management practices including development of a new risk appetite

statement.

• Changes to decision making in relation to access land.

• Establishment of the Coast to Capital LEP joint Committee.

• Implementation of arrangements to comply with The Openness of Local Government Bodies Regulations 2014.

5.2 Actions for 2015-2016 include the following:

• Delivery of an induction programme for new members post May 2015 elections

• Introduction of webcasting to promote transparency and engagement • Improvements to the Authority’s intranet site to better share information

• Implementation of the recommendations contained within the Internal Audit report on IT Governance

We propose over the coming year to take steps to address the above matters to further enhance our governance arrangements. We are satisfied that these steps will address the need for improvements that were identified in our review of effectiveness and will monitor their implementation and operation as part of our next annual review. Signed: Chair

Signed: Chief Executive Officer

On behalf of the SDNPA Date:

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South Downs National Park Authority Local Code of Corporate Governance Version 1.01 Review Date

April 2016

Responsibility Director of Corporate Services Last updated April 2015 Date approved June 2015 Approved by Director of Corporate Services and Chair of Governance

Committee

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LOCAL CODE OF CORPORATE GOVERNANCE

1. Introduction

1.1 Corporate Governance has been defined2 as being:

“how local government bodies ensure that they are 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 cultures and values, by which local government bodies are directed and controlled and through which they account to, engage with and, where appropriate, lead their communities.”

1.2 A local code of governance explains how the organisation ensures compliance with statutory requirements and best practice guidance on corporate governance. The development of the local code of governance helps to ensure that proper governance arrangements are in place and serves as a means of increasing credibility, accountability and public confidence in the organisation.

1.3 The South Downs National Park Authority (SDNPA) has produced a local code of corporate governance which is based upon the guidance published jointly by CIPFA3 and SOLACE4 entitled ‘Delivering Good Governance in Local Government Framework’ which applies to National Park Authorities. The Guidance sets out six core principles of corporate governance, together with various supporting principles in respect of each core principle. The SDNPA’s Local Code of Corporate Governance, set out below, incorporates these principles and identifies the source documents, good practice and other means of demonstrating the SDNPA’s compliance with the principles of good governance.

The SDNPA’s Values

1.4 The SDNPA has agreed the following statement as an expression of the values that will govern the behaviour of its staff and Members:

Working for the National Park…. We will:

• Have a common goal determined by the National Park’s Purposes and Duty • Champion the National Park’s aspirations • Communicate clearly and listen well

• Be flexible, encourage innovation and welcome challenge

….working together We will: • Trust and respect people within and outside the SDNPA

• Work in an open way • Work as one organisation which is mutually supportive

• Be committed to working in partnership with others to develop shared priorities and gain mutual benefits

….to deliver results

We will:

• Ensure our approach and decisions are informed by evidence • Be positive and enthusiastic: take the initiative • Be seen to add value in all that we do.

2 ‘Delivering Good Governance in Local Government Framework’ published jointly by CIPFA/SOLACE. 3 The Chartered Institute of Public Finance and Accountancy. 4 The Society of Local Authority Chief Executives and Senior Managers.

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2. The Local Code of Corporate Governance

First Core Principle: Focusing on the purposes of the Authority and on outcomes for communities in the National Park and creating and implementing a vision for the National Park

We will: Evidenced by:

• Exercise strategic leadership by developing and clearly communicating the Authority’s purpose, vision and intended outcomes for residents, visitors and other service users

• Corporate Plan 2014-17 based on the shared vision for the SDNP agreed with partners

• Operational Plan • SDNP Vision published July 2012 following wide engagement with

stakeholders and partners providing the strategic steer for the South Downs Management Plan, the Local Plan and for the development of a shared brand and identity for the National Park

• Publication of the Partnership Management Plan (PMP) including the development of impact measures as a basis for monitoring progress towards the achievement of the Vision

• 5 yearly review of PMP may incorporate a review by partners of the shared vision as deemed necessary

• Communication and Engagement Strategy in place to support the objectives being defined in the Partnership Management Plan.

• South Downs Integrated Landscape Character Assessment • State of the Park Report published May 2012 • Local Plan (due 2017) • Statement of Community Involvement completed in March 2012 • Local Development Scheme • Neighbourhood Plans • Memoranda of Understanding with various partners and Natural

England Accord • Local Code of Corporate Governance reviewed annually. • Annual Review published in July. • Improvement plan which is regularly reviewed and includes key

points raised via feedback and from other sources • Financial statements • Reviewed and refreshed website • “Learning” section of website

• Ensure that users receive a high quality of service, whether directly, in partnership or otherwise

• Corporate objectives and success measures (in the Corporate Plan 2014-17)

• National Park Authority performance indicators • Performance Management Framework • Quarterly and annual performance reporting • Consultation on the development of the PMP, delivery framework

and Local Plan. • Planning Service Customer Survey 2014 • Visitor survey • Communication and Engagement Strategy • Complaints, Compliments and Comments Policy reported on

annually to the Governance Committee.

• Ensure that the Authority makes best use of

• Policy schedule incorporating a programme of review of all organisational policies

• Financial Regulations and procedures reviewed in 2015

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resources and provides excellent value for money

• Medium Term Financial Strategy • Operational Plan • Quarterly budget monitoring reports • Annual budget and monitoring reports • Annual Statement of Accounts • District Auditor’s value for money reviews • Internal value for money reviews • Use of an automated performance management system which will

support active contract management and will be used to monitor the delivery of the PMP

• Benchmarking • Approvals Process for Projects and project evaluation • Contract Standing Orders and Procurement Guide updated in 2014 • Anti-fraud and Corruption Policy • Sustainability Action Plan • Volunteer Ranger Service Action Plan

Second Core Principle: Members and officers working together to achieve a common purpose with clearly defined functions and roles We will: Evidenced by:

• Ensure effective leadership throughout the Authority with clear roles for Committees and Sub-committees

• Review of implementation of Governance review undertaken in 2014 to review role of Committees and streamline work

• Standing Orders reviewed annually • Scheme of Delegation updated in 2015 • Member role/staff job descriptions • Decision Records • Leadership and Management development and training in 2014

• Ensure that a constructive working relationship exists between Members and officers and that their respective responsibilities are carried out to a high standard

• Scheme of Delegation reviewed annually • Local Protocol for Member and Officer Relations reviewed in 2013

as result of the changes introduced by the Localism Act 2011 • Job descriptions and performance and development review process

for Members and officers, including the Chair of the SDNPA • Conditions of employment • Member Development Strategy • Contract management in respect of externally provided services • Complaints, Compliments and Comments Policy • Staff survey bi-annually • Monitoring Officer support contact in place • Chief Finance Officer support procured in 2012 and compliance with

both the CIPFA Statement on the Role of the Chief Finance Officer in Local Government and the CIPFA Statement on the Role of the Head of Internal Audit in Public Service Organisations

• Ensure relationships between the Authority, its partners and the public are clear so that each knows

• Memoranda of Understanding with various partners and Natural England Accord

• Statement of Community Involvement • Guidance to Members on outside bodies

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what to expect of the other

• Development of the National Park Partnership Management Plan including the development of impact measures as a basis for monitoring progress towards the achievement of the Vision

• National Park Authority performance indicators reported quarterly or annually as appropriate including corrective action as necessary

• Visitor survey • On-line South Downs Forum consultations • Publicly available information about who the Members are and what

they do, who the officers are and how the public can input and influence Authority decisions

• Officer code of conduct reviewed in 2014 • Member Allowance Scheme reviewed in 2015 • Information published in respect of expenditure over £500 • Public participation at SDNPA meetings • Local Protocol for Member and Officer Relations • Corporate Plan 2014-17 • Standing Orders • Communication and Engagement Strategy • Robust pay and conditions policies and practices for employees

including structured pay scales reflecting performance and competence

• Introduction of a formal mechanism for evaluation and learning from major pieces of work and important partnerships.

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Third Core Principle: Promoting values for the Authority and demonstrating the values of good governance through upholding high standards of conduct and behaviour

We will: Evidenced by:

• Ensure Members and officers behave in ways that exemplify high standards of conduct and effective governance

• Members’ Code of Conduct • Induction programme for new Members and staff which includes

standards of behaviour • Register of Interests for Members • Officer Code of Conduct • Standing Orders reviewed annually • Declaration of Gifts and Hospitality in place for Members and Senior

Officers • Annual Governance Statement • Anti-fraud and Corruption Policy • Whistleblowing Policy • SDNPA Values and Competencies • Local Protocol for Member and Officer Relations • Member/officer performance appraisal process • Governance Committee5 • Complaints, Compliments and Comments Policy • Arrangements for handling complaints against Members • Financial Regulations (revised March 2014) • SDNPA’s Guiding Principles • Procedures for dealing with conflicts of interest • Competency Framework introduced in 2014 • HR procedures for dealing with capability and disciplinary issues

• Ensure that organisational values are put into practice and are effective

• SDNPA’s Values communicated to staff, volunteers and Members and included in the Corporate Plan which is published on the internet.

• SDNPA’s Guiding Principles • Members’ and Officer Codes of Conduct • Member/officer performance appraisal process • Memoranda of Understanding with various partners including shared

values and Natural England Accord • Communication Strategy • Performance Development Review Scheme includes the assessment

of performance against competencies • Governance Committee which regularly reports to the full Authority

through its minutes • Whistleblowing Policy • Engagement and Communication Updates (monthly) • Equality and Diversity Policy approved in 2013. • Equality and Diversity Training delivered in 2015

5 This replaces the previous Standards and Audit Committee.

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Fourth Core Principle: Taking informed and transparent decisions which are subject to effective scrutiny and managing risk

We will: Evidenced by:

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

• Standing Orders • Scheme of Delegation • Financial Regulations (revised March 2015) • Contract Standing Orders and Procurement Guide • Members’ and Officer Codes of Conduct referring to a requirement

to declare interests • Governance Committee with terms of reference reviewed annually • Independent members on the Governance committee • Training for Governance Committee Members • Annual review of the effectiveness of the Governance Committee • Effective internal audit function resourced and maintained • Publication of reports and Decision Records with meeting minutes

showing declarations of interest made • Freedom of Information Publication Scheme • Statement of Community Involvement approved by the NPA in

January 2014 • Communication and Engagement Strategy • Complaints, Compliments and Comments Policy

• Have good-quality information, advice and support to ensure that services are delivered effectively and are what the residents/service users want/need

• Visitor survey • On-line South Downs Forum consultations • Members’ induction programme • Training for Committee Chairs • Regular meetings between SMT and Committee Chairs • Procedures for obtaining financial, personnel and legal advice where

necessary and recorded appropriately • Forward plan showing dates for submission, publication and

distributing of reports • Annual performance reporting • compliance with the CIPFA Statement on the Role of the Chief Finance

Officer in Local Government • Research Strategy in place

• Ensure that an effective risk management system is in place

• Risk Management Strategy reviewed in 2014 and new risk register template and risk appetite statement implemented

• Risk assessment as part of service planning • Strategic Risk Register reviewed every other month by the Senior

Management Team • Regular risk reporting to Governance Committee • Insurance policies • Whistleblowing Policy made available to staff • Anti-fraud and Corruption Policy • Health and Safety policies and procedures • ICT User Policy

• Use our legal powers to the full benefit of the communities

The SDNPA’s role is to: (1) conserve and enhance the natural beauty, wildlife and cultural heritage of the Park; and

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within the National Park and for the protection of the National Park itself

(2) promote opportunities for the understanding and enjoyment of the Park’s special qualities by the public. In pursuing these purposes, the Authority also has the duty to seek to foster the economic and social well-being of local communities within the Park. As the local planning authority, the SDNPA is responsible for: (i)spatial planning, (ii) minerals and waste planning, (iii) development management, (iv) planning enforcement and (v) other related regulatory functions within the Park. • SDNPA is the Access Authority • Rights of Way Accord • Legal issues are identified in reports • Advice is provided by the Monitoring Officer and other legal advisers

and recorded appropriately • Sustainable procurement strategy

Fifth Core Principle: Developing the capacity and capability of Members and officers to be effective We will: Evidenced by:

• Make sure that Members and officers have the skills, knowledge, experience and resources they need to perform well in their roles

• Appropriate job profiles used in recruitment • Member/officer induction and appraisal programmes • Learning and Development Policy for officers and individual staff

learning and development plans • Member Development Strategy and individual Member development

plans • Training events • Statement to bodies which appoint members as to what skills and

perspectives would be most helpful (including diversity issues)

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

• Learning and Development Plan • Performance and development review scheme • Line Management coaching

• Encourage new talent for membership of the Authority so that best use can be made of individuals’ skills and resources

• Communication and Engagement Strategy • South Downs National Park Partnership • Advertising Member vacancies • Statement to bodies which appoint members as to what skills and

perspectives would be most helpful (including diversity issues)

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

We will: Evidenced by:

• Exercise leadership through engaging with local people, stakeholders and partners and will develop constructive accountability relationships

• Communication and Engagement Strategy • Statement of Community Involvement • Engagement with key institutional stakeholders • Heads of Planning meetings • Engagement programme for National Park Management Plan • Memoranda of Understanding with various partners and Natural

England Accord • Rights of Way Accord • Local Access Forum • Joint meetings between Authority Members and South Downs

Partnership

• 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 otherwise)

• Communication and Engagement Strategy • Statement of Community Involvement • Visitor survey • On-line South Downs Forum consultations • Tracking spreadsheets used for key public consultations recording

changes as a result of consultation • Standing Orders • Decision Records • SDNPA Guiding Principles • SDNPA Values • Corporate Plan 2014-17 • Annual review • Financial statements • Annual performance reporting • Complaints, Compliments and Comments Policy • Publication Scheme • Access to information policy • SDNPA website

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

• SDNPA values and competencies • Recruitment Policy • Staff Survey • Learning and Development Policy • Performance and development review scheme • SDNPA terms and conditions

3. Monitoring and Review

3.1 All Members and officers of the Authority share responsibility for good governance. In particular, the Governance Committee is responsible for the oversight of ethical issues and for receiving the Annual Governance Report prepared by the External Auditor as well as the Annual Governance Statement prepared jointly by the Monitoring Officer and the Chief Finance Officer.

3.2 Delegated Authority is given to the Director of Corporate Services in consultation with the Chair of the Governance Committee to make any necessary amendments to the Local Code of Governance as a result of the annual review. Any significant changes shall be reported to the Governance Committee.

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