Local Code of Corporate Governance - Appendix A

Policies and processes

Key policies and processes in relation to the seven core
principles of the CIPFA and SOLACE framework (see paragraph 2.1)

Table 1
Policy or process
Integrity, ethical values and legislation
Openness and stakeholder engagement
Reconciling Policy, Performance and Resources Yes Yes
Council Plan Yes -
Council Monitoring - Yes
Procurement Standing Orders and Corporate Procurement
Strategy
Yes -
Risk Management Strategy - -
Corporate Complaints Policy Yes Yes
Constitution Yes Yes
Business Continuity Plan - -
Employment Policies Yes -
Pay Policy Yes Yes
Scheme of Delegation Yes -
Code on Officer and Member relations Yes -
Member Training and Development - -
Guidance to members on outside Yes -
Code of Conduct for Employees Yes -
Code of Conduct for Members Yes -
Anti Fraud and Corruption Strategy Yes -
Confidential Reporting (Whistle-blowing) Policy Yes Yes
Anti Money Laundering Policy Yes -
Financial Regulations and Standard Financial Procedures Yes -
Medium Term Financial Plan Yes -
Communication and engagement with residents and partners - Yes
Health & Safety Policies and Procedures Yes -
Information Security Policy (including Data in Transit) and Data Protection Policy Yes -
Freedom of Information Policy - Yes
Table 2
Policy or process Defining outcomes – economic, social and environmental benefits Determining interventions to maximise outcomes
Reconciling Policy, Performance and Resources Yes Yes
Council Plan Yes -
Council Monitoring - Yes
Procurement Standing Orders and Corporate Procurement
Strategy
Yes Yes
Risk Management Strategy Yes Yes
Corporate Complaints Policy - -
Constitution - Yes
Business Continuity Plan - -
Employment Policies - -
Pay Policy - -
Scheme of Delegation - -
Code on Officer and Member relations - Yes
Member Training and Development - -
Guidance to members on outside Yes -
Code of Conduct for Employees - -
Code of Conduct for Members - -
Anti Fraud and Corruption Strategy - -
Confidential Reporting (Whistle-blowing) Policy - -
Anti Money Laundering Policy - -
Financial Regulations and Standard Financial Procedures Yes Yes
Medium Term Financial Plan Yes Yes
Communication and engagement with residents and partners - -
Health & Safety Policies and Procedures - -
Information Security Policy (including Data in Transit) and Data Protection Policy - -
Freedom of Information Policy - -
Table 3
Policy or process Capacity, capability and leadership Performance and risk management
Reconciling Policy, Performance and Resources - Yes
Council Plan - Yes
Council Monitoring Yes Yes
Procurement Standing Orders and Corporate Procurement
Strategy
- Yes
Risk Management Strategy - Yes
Corporate Complaints Policy - Yes
Constitution - Yes
Business Continuity Plan - Yes
Employment Policies Yes -
Pay Policy Yes -
Scheme of Delegation Yes -
Code on Officer and Member relations - -
Member Training and Development Yes -
Guidance to members on outside - -
Code of Conduct for Employees - -
Code of Conduct for Members - -
Anti Fraud and Corruption Strategy - -
Confidential Reporting (Whistle-blowing) Policy - Yes
Anti Money Laundering Policy - -
Financial Regulations and Standard Financial Procedures - Yes
Medium Term Financial Plan - -
Communication and engagement with residents and partners - -
Health & Safety Policies and Procedures - -
Information Security Policy (including Data in Transit) and Data Protection Policy - -
Freedom of Information Policy - Yes
Table 4
Policy or process Practice in relation to transparency, reporting and audit to deliver effective accountability
Reconciling Policy, Performance and Resources Yes
Council Plan Yes
Council Monitoring Yes
Procurement Standing Orders and Corporate Procurement
Strategy
Yes
Risk Management Strategy -
Corporate Complaints Policy Yes
Constitution Yes
Business Continuity Plan -
Employment Policies -
Pay Policy Yes
Scheme of Delegation Yes
Code on Officer and Member relations -
Member Training and Development Yes
Guidance to members on outside -
Code of Conduct for Employees Yes
Code of Conduct for Members Yes
Anti Fraud and Corruption Strategy Yes
Confidential Reporting (Whistle-blowing) Policy Yes
Anti Money Laundering Policy Yes
Financial Regulations and Standard Financial Procedures Yes
Medium Term Financial Plan -
Communication and engagement with residents and partners Yes
Health & Safety Policies and Procedures -
Information Security Policy (including Data in Transit) and Data Protection Policy -
Freedom of Information Policy Yes