New Anglia Local Enterprise Partnership
Audit and Risk Committee
Monday 1st July 2019
8.00am to 10.00am
Room 3, Centrum, Norwich Research Park,
Norwich, NR4 7UG
Agenda
Committee Members
Nick Banks (Chair) Scrutton Bland
Andrew Proctor
Norfolk County Council
Nikos Savvas
West Suffolk College
Holly Field
Suffolk County Council
(Delegation of Authority for Accountable Body S151 Officer)
In Attendance
Doug Field
New Anglia LEP
Rosanne Wijnberg
New Anglia LEP
Keith Spanton
New Anglia LEP
Melanie Richardson
New Anglia LEP
Helen Wilton
New Anglia LEP (Minutes)
Aaron Widdows
Price Bailey
No.
Item
1.
Welcome & Introductions
2.
Apologies - Marie Finbow, Risk Manager
3.
Declarations of Interest
4.
Minutes from last meeting
Items for discussion
Review Draft Annual Financial Statements incl appendices -
5.
For Recommendation
confidential
6.
Corporate Risk - Risk Register - confidential
Update
7.
Local Assurance Framework
Update
8.
Meeting Schedule and Dates
Discussion
9.
Any Other Business
Date of next meetings:
11 February 2020 (Suffolk) & ?? July 2020 (Norfolk)
New Anglia Audit and Risk Panel Minutes (Unconfirmed)
13 February 2019
Present
Nick Banks (NB) (Chair)
Scrutton Bland
Andrew Proctor (AP)
Norfolk County Council
Nikos Savvas (NS)
West Suffolk College
Holly Field (HF)
Suffolk County Council (Deputising for Accountable Body
S151 Officer)
In Attendance:
Keith Spanton (KS)
New Anglia LEP
Marie Finbow (MF)
New Anglia LEP
Actions from the Meeting
• Committee to provide feedback on related parties list to the auditors.
• RW to provide a report for the LEP Board on behalf of the Audit and Risk Committee
with recommendations on improving transparency and that the minutes of this
meeting will be shared with the LEP Board in future.
• MF to review impact of Risk No 20 be reviewed as this was deemed higher than
currently estimated.
1.
Welcome and Introductions
Nick Banks welcomed attendees to the meeting.
2.
Apologies
Apologies were received from Rosanne Wijnberg.
3.
Declarations of Interest
There were no declarations of interest.
4.
Minutes from last meeting
The minutes were agreed as an accurate record of the meeting.
5.
Amendment to the Terms of Reference
KS explained the amendment to the Terms of Reference which was approved.
6.
Review of Audit Plan - presented by Price Bailey - Confidential Item
1
The following recommendation was agreed: KS to commission a report from Norfolk
County Council actuary in relation to these two pensions as this is an area of concern
raised by the Auditors and the committee needs to be in a position to address this
concern.
Action: Committee to provide feedback to the auditors on the related parties list.
The audit timetable was agreed with the caveat that the Audit and Risk Committee date in
July has yet to be agreed.
2
7.
Transparency of Decision Making - Confidential Item
3
Action: RW to provide a report for the LEP Board on behalf of the Audit and Risk
Committee with recommendations on improving transparency and that the minutes of this
meeting will be shared with the LEP Board in future.
8.
Review of Corporate Risk Register - Confidential Item
•
•
o
o
o
4
Action: MF to review impact of Risk No 20 be reviewed as this was deemed higher
than currently estimated.
9.
Meeting Schedule and Dates
The following meeting schedule was agreed:
•
1 July 2019, 8am in Centrum (with breakfast)
•
w/c 10 February 2020 (Suffolk)
10.
Any Other Business
None.
There being no further business, the meeting closed at 11.00 am.
5
New Anglia Local Enterprise Partnership
Audit & Risk Committee
Monday 1st July 2019
Agenda Item 5
Draft Accounts 2018/19
Author: Keith Spanton
Summary
This report provides committee members with the draft annual financial statements for the year
ended 31 March 2019 along with the management letter. The report includes confidential
appendices:
Appendix A - management letter
Appendix B - draft financial statements year ended 31 March 2019 (New Anglia LEP)
Appendix C - draft financial statements year ended 31 March 2019 (New Anglia Capital)
Draft financial statements year ended 31 March 2019
The accompanying LEP draft accounts have been prepared on a consolidated basis which
include New Anglia Capital. The LEP first consolidated its accounts year ended 31 March 2017.
This has no impact on the LEP’s operating activities. The cost to run New Anglia Capital is
included within the programme funding it receives from the LEP, which is approved by the LEP
board.
Recommendation
The committee is invited to consider the draft annual accounts and management letter. The
committee is also invited to recommend that the LEP Board approve the accounts, subject to any
adjustments agreed by the committee.
New Anglia Local Enterprise Partnership
Audit and Risk Committee
Monday 1st July 2019
Agenda Item 7
New Anglia LEP Governance:
Author: Rosanne Wijnberg
Summary
The LEP’s Assurance Framework, Scheme of Delegation and Accountable Body Agreement with
Suffolk County Council outline the way we work.
This paper outlines the process for monitoring our compliance with the mandatory requirements
and best practice guidelines. In addition, it addresses some specific queries raised at the last
Audit and Risk Committee meeting.
Recommendation
The Audit and Risk Committee is asked to note and endorse our approach to monitoring our
compliance with New Anglia LEP’s 2019 Local Assurance Framework.
Background
The National Local Growth Assurance Framework explains how LEPs should appraise, monitor
and evaluate schemes to achieve value for money. It provides Government, stakeholders and
the public the necessary assurances that LEPs have the policies and processes in place to
ensure the robust stewardship of public funds. It contains mandatory governance, accountability
and transparency requirements and non-mandatory best practice.
New Anglia LEP’s 2019 Local Assurance Framework follows the mandatory requirements and
additional best practice guidance set out in the Government’s National Local Growth Assurance
Framework, which seeks to provide a common framework of understanding of the assurance
required for local growth funding.
New Anglia LEP’s Scheme of Delegation sets out the main responsibilities and functions of the
organisation and the level to which they have been delegated. It is a requirement of the National
Local Growth Assurance Framework for the LEP to have a comprehensive Scheme of Delegation
which is reviewed and updated annually. Attached as Appendix A.
The Accountable Body Agreement is a key element of the LEP’s Governance arrangements,
alongside the Articles of Association, the Assurance Framework and Scheme of Delegation. It
sets out the respective roles of the LEP and Suffolk County Council as the Accountable Body.
1
Framework checklist (Appendix B) which provides page references to indicate where each
requirement is covered in the LEP Framework. The checklist also indicates where required
documents have been made available on the LEP website. The checklist has been attached as
Appendix B.
New Anglia LEP’s 2019 Local Assurance Framework was approved by the LEP Board in March
2019, and we received government signoff at the end of May 2019.
Key Considerations
Key considerations in response to specific queries raised at the last Audit and Risk Committee.
Transparency of decision making:
We have a Scheme of Delegation (Appendix A) which sets out the main responsibilities and
functions of the organisation and the level to which they have been delegated. The scheme of
delegation is part of a suite of LEP governance documents, as described above. Any decision
taken in contravention of the scheme is invalid.
All decisions are published in the Decisions Log, these are reported to the LEP Board and are
available on our website. Non-confidential minutes are currently available via our website.
Next Steps: Full minutes of Committee meetings are not routinely sent to all LEP Board members.
However, I am currently investigating the use of a secure SharePoint site with access via a secure
web portal. This could provide LEP Board members with access to all committee minutes should
they want to see them.
LEP Board, Sub-Board and Committee membership:
We have three categories of LEP Board director - private, public and education. Public sector
and education sector members are appointed as directors by virtue of their role. There is a formal
recruitment process for private sector directors.
We publish a Register of Interests for each LEP Board member - available on our website.
Declarations of interests are also recorded in the minutes of the monthly Board Meeting and are
managed in accordance with our Standards of Conduct Policy to which all employees and Board
Members adhere.
Membership of the respective committees is approved by the LEP Board. Membership, meeting
dates and Terms of Reference are all published on our website for each committee.
LEP Board directors are able to make recommendations to the LEP Board if they believe that a
committee requires additional expertise to make effective decisions.
Recent examples of this include:
-
the introduction of an Audit and Risk Committee, and the recruitment of an independent
Chair.
-
the appointment of an additional private sector member to join the Invest Appraisal
Committee.
-
County Council representation on the Investment Appraisal Committee.
2
Monitoring Compliance
Process
New Anglia LEP’s 2019 Local Assurance Framework was approved by the LEP Board in March
2019, and we received government signoff and at the end of May 2019.
The National Local Growth Assurance Framework checklist will provide the basis for our
compliance monitoring arrangements going forward.
We recognise that the development of a more formal compliance monitoring regime is an iterative
process. A membership of the leadership team has been assigned to each of the areas identified
in the checklist. They will take accountability for monitoring compliance for their area, and
management and oversight will be provided by the Business Performance and Compliance
Manager.
Compliance against the checklist will be reviewed on a quarterly basis and reported to Audit and
Risk Committee twice per year.
The LEP Chair and Chief Executive and the s151 Officer also provide an annual Governance
Assurance Statement as part of the Annual Performance Review confirming that the LEP is
compliant with its Assurance Framework.
People
Melanie Richardson has recently joined the LEP with specific responsibility for managing and
monitoring compliance. Melanie comes from a background of public sector external audit.
Melanie will meet with the Accountable Body on a monthly basis to ensure that they have
sufficient assurance to support their sign off.
Reporting
Compliance against the checklist will be reviewed on a quarterly basis and reported to the Audit
and Risk Committee twice a year.
Recommendation
The Audit and Risk Committee is asked to note and endorse our approach to monitoring our
compliance with New Anglia LEP’s 2019 Local Assurance Framework.
3
Appendix A
New Anglia LEP Scheme of Delegation
Context
The New Anglia Local Enterprise Partnership is company limited by guarantee, with 18
voluntary directors, supported by a full-time executive team.
This scheme of delegation sets out the main responsibilities and functions of the organisation
and the level to which they have been delegated.
The scheme of delegation is part of a suite of LEP governance documents including:
Local Assurance Framework, Articles of Association, terms of reference for sub-boards and
sub-committees, and agreement between Suffolk County Council (accountable body) and the
LEP.
The scheme of delegation is reviewed annually and changes require board approval. Any
decision taken in contravention of this scheme of delegation will be deemed invalid.
Key responsibilities of the LEP Board
The board is responsible for:
• Approving the strategic direction of the LEP
• Agreeing clear objectives to focus activity and drive ambition
• Ensuring the LEP runs efficiently and effectively with appropriate controls in place
covering performance, finance and risk
• Upholding the values, ethos and culture of the organisation
Key responsibilities of the Accountable Body
• The Section 151 Officer or their appointed deputy is a core member of the Audit and
Risk Committee.
• The Section 151 Officer is accountable for approving all Growth Deal grant agreements,
and delegates authority to a suitable team member for approval of grants awarded
under other LEP programmes.
5
Scheme of Delegation
Issue
Delegated To
Strategy
Vision, mission and values
Board
Development and approval of Economic strategy
Board
Implementation of Economic strategy
Economic Strategy Delivery
Coordination Board
recommendations to main Board
Changes to the overall operating structure of the LEP
Board
Approval of the Organisation brand
Board
Programmes
Design of capital and revenue funding programmes
Board (on recommendations from
Investment Appraisal Committee
and relevant sub-boards)
Awarding of capital or revenue funding to programmes
Board (on recommendations above
£500k
from IAC)
Awarding of capital or revenue funding to programmes
IAC
£500k or below
Awards from Growing Business Fund up to £500k
GBF panel (overseen by the IAC)
In programme funding changes above £100,000
Board
In programme funding changes up to £100,000
IAC
Change requests from programmes/projects with no
IAC
financial implications but major changes to outputs
or timeline
Change requests from programmes/projects with no
CEO - reported retrospectively to
financial implications but minor changes to outputs
the Board quarterly
or timeline
Governance
Responsibility for compliance with Government
Chair and CEO
National Assurance Framework
Board
Annual declaration of compliance to Government
Suffolk County Council 151 Officer
Maintenance of Register of Interests
Board and CEO
6
Timely publication of agendas, reports and minutes
Chair, CEO and COO
Committee and Delivery Board appointments
Board
Code of conduct, Complaints and Whistleblowing policies Board
Finance
Approval of financial budgets and forecasts
Board
Approval of annual accounts and financial statement
Board on recommendation
and audit letter of representation
from Audit and Risk Committee
Approval of bank account and mandate policy
Board on recommendation of Audit
and Risk Committee
Treasury policy
Board on recommendation of Audit
and Risk Committee
Bank investments execution
Audit and Risk committee
Prior authorised expenditure for day to day business, in
accordance with strategy budget and approved policies:
Over £150,000
Board
Between £50,000 and £150,000
Chair and CEO or COO
Up to £50,000
CEO and COO or financial
controller
Human Resources
Performance management and remuneration of CEO
Chair and Remuneration Committee
Remuneration of Chief Operating Officer
Chair and Remuneration Committee
Recruitment of board members
Board (with recommendations from
sub panel comprising board
members)
Recruitment of CEO
Board (with recommendations from
sub panel comprising board
members)
Operational procedures and policies for Leadership team COO in conjunction with CEO and
and below
Leadership team
Last Update: Approved by the LEP Board March 2019
7
Appendix B
Local Assurance Framework Checklist
Requirement
Further
Page
New Anglia LEP Checklist
Page in New
Owner
guidance
How this checklist will be used.
Anglia
can be
Framework
found in
We have already provided the detail in the LAF. We will use
(last revised
section
this checklist to monitor our compliance on a quarterly basis.
31/05/19)
Bulleted points show proposed checks i.e. what each owner
will be doing / checking against each quarter.
Alignment with the Accounting Officer System Statement
MCAs & LEPs should outline in their Local Assurance Framework:
1
A clear description of the
19.a
11
Roles and responsibilities of Board, sub-Boards, sector and
All
CS
roles and responsibilities.
working groups, staff and Programme teams covered clearly
throughout.
• Confirmed correct
2
Arrangements for taking
19.b
11
All sections have a clear description of decision-making
All
RW
and accounting for all
processes and ways of working.
decisions and ways of
• Scheme of Delegation
working.
• Decisions Log
3
Responsibilities of the
19.c
11
Accountable Body section, supported by the Accountable
9
KS
Accountable Body.
Body Agreement
• Accountable Body Agreement
4
The arrangements to
19.d
11
Programmes sections
21-43
CD
ensure value for money.
• Review outputs achieved against delivery profile - if
under profile assess cost per output to determine
whether VFM remains within scope
5
Publish their Local
20.a
11
Done
HM / LvD
Assurance Framework on
their website.
• Local Assurance Framework published on website
Appendix B
London /Combined Authorities section omitted
Part B: Local Enterprise Partnerships
Corporate Structure for LEPs
14
LEPs must have a legal
62 - 64
20
• Company Limited by Guarantee
5
RW
personality.
Local Assurance Framework & Website
The Local Assurance Framework must:
15
Provide information on how
65.b
20
Programmes section
21-43
CD
the LEP manages its
• Confirm continued use of programme management
programmes, funding
techniques including Green Book appraisal
streams and any associated
methodology to identify projects and MSP
contracts, including Local
management tools to support programme delivery in
Growth Fund, City Deals
conjunction with applicants.
and Enterprise Zones
• Maintain active relationship to achieve delivery
(where applicable).
objectives including spend, outputs and delivery
milestones.
16
Provide information on the
65.c (also
20
Programmes section
21-43
CD
LEPs’ arrangements for
see Part
• Review outputs achieved against delivery profile - if
ensuring value for money.
C)
under profile assess cost per output to determine
whether VFM remains within scope. Ensure new
offers meet cost per output guidelines, eg. GBF @ 1
job per £20k award
17
Set out the LEPs’ approach
65.d
20
LEP sub-Boards and Committees and Project and
11 and 23
CD
to risk.
176
48
Programme Delivery
• Risks identified at a strategic and operational level -
risk registers updated on a regular basis
18
Set out how calls for bids or
65.e
21
Programmes section and Transparency of Decision-Making
21-43
CD
projects are advertised
section.
openly and that selection
• Criteria agreed by LEP Board
criteria and selection
• Calls advertised
processes are transparent.
• External assessment and scoring
• Recommendation to Investment Appraisal Committee
Appendix B
• Recommendations to LEP Board
19
Ensure the transparent
65.g
21
21-22
CD
publication of financial
107-109
29
information.
• All decisions to be published on website - from April
2019 this will include the Decision Log and a
comprehensive list of project approvals - check to
ensure lists are being published accordingly
• Annual financial statements published on website
KS
20
Ensure appropriate
65.i
21
Board section includes reference to:
7-8
RW
succession planning and
• Categories of board members
arrangements for
• Succession planning/rotation for each category
resignation of Board
Members.
21
Implement an induction
65.j
21
Board Induction
7 and 10
CS
process.
81-82
24-25
• Information pack provided
• Meeting scheduled between Chief Executive and
newly appointed board members
Staff Induction
• Information pack provided
• Induction checklist completed for each new staff
RW
member
22
Set out the processes the
65.m
21
Project and Programme delivery
23-25
CD
LEP has put in place in
102
28
• Check to ensure GDPR guidelines are adhered to in
regard to the handling on
terms of the storing of data and records are managed
data.
accordingly, eg CRM system.
23
Provide information on LEP
65.o
21
LEP decision making section
10
RW
scrutiny arrangements.
• External financial audit
• Independent scrutiny provided by Suffolk and Norfolk
County Councils
• Annual review
• Mid year review
Appendix B
Websites
24
Have a dedicated website.
67 - 71
21-22
Yes
LvD
Local Engagement
25
Set out how the LEP will
65.f
21
Engagement sections and Board and Committees sections
6, 11-19
CS
conduct ongoing local
engagement.
26
Set out how the LEP will
72-74
22-23
Meeting paperwork of all the above groups and associated
6, 11-19
CS
evidence effective
media coverage.
engagement.
Appointment Process for Board Members and Chairs
27
Set out how the LEP
65.h
21
Board and Decision Making sections
6 and 10
CS
ensures open recruitment
processes.
28
Set out the appointment
75-77
23
Board
6-8
CS
process for Board members
• External appointments advertised
(Public and Private sector),
• Private sector - formal recruitment process
Chairs and Deputy Chairs.
• Public sector - by virtue of elected role
• Education - 3 year rotation
Diversity Statements
29
Set out the LEPs
65.l
21
• Diversity champion
7
RW
commitment to diversity,
78-79
23-24
• Diversity statement
including a diversity
statement.
Board renumeration and LEP Officer salaries
30
Set out the expenditure
80
24
Board section. Website explains that Chair and Board
6-7
RW
and/or renumeration policy
members are not remunerated -
for Chairs and Board
Members clear on their
websites.
Code of Conduct
31
Have a code of conduct
55-57
18-19
Board and staff sections
6 and 10
RW
which all Board Members
83 - 85
24-25
and LEP Officials sign up
to.
Appendix B
Conflicts of Interest
32
Set out how the LEP
65.k
21
Transparency of Decision Making section and
21-22
RW
manages conflict of interest,
86 - 92
25-26
including having a conflict of
interest policy.
• Conflict of interest policy
• Register of interests - (6 monthly update)
Complaints for Third Parties and the Public
35
Set out the LEPs
65.n
21
Transparency of Decision Making section and
21-22
CS
overarching approach to
97-101
26-28
dealing with complaints and
whistleblowing.
36
Have a Complaints Policy.
93-96
26-27
Transparency of Decision Making section and
21-22
CS
37
Set out the confidential
94
26
Transparency of Decision Making section gives an overview.
21-22
CS
reporting arrangements.
The full policy is available at
Whistleblowing Policy
38
Have a Whistleblowing
97-101
27-28
Transparency of Decision Making section gives an overview.
21-22
RW
Policy.
The full policy is available at
Publication of meeting and agenda items
39
Commit to the publication of
103-104
28
Transparency of decision making section and
21
LvD / HM
meeting agendas, papers
and minutes.
• All agenda papers and minutes published on website
Handling confidential and exempt information
40
Set out the process for
105-106
28-29
Programme Management section
23-25
CD
handling information which
• Confidential markings used/papers anonymised as
is not to be placed in the
appropriate - assume information is published unless
public domain.
commercially or personally sensitive - review papers
to determine
Appendix B
Management of Contracts
41
Set out how the LEP or its
114
30
Programmes section
23-43
CD
nominated party, will
• Monthly Programme Performance Review on cycle
manage contracts related to
agreed by LEP Board
the delivery of its
• Contracts subject to annual review and value for
programmes and how the
money assessment.
LEP Board will be kept
informed of progress.
Government Branding
42
The LEP should commit to
115
30
Transparency of decision making section
21
HM/ LvD
meeting the Government
• Internal commitment to ensure compliance
CD
branding guidelines for
• Grant agreements include requirements for
projects.
applicants to comply with branding guidelines
Accountability and decision making
43
Set out the LEP’s structure,
65.a, 117
20, 31
• Scheme of Delegation
6-11, 21-43
CS
and decision making
• Board, decision making, transparency of decision
processes.
making and programme management sections
44
Confirm the accountable
116a.
31
Accountable Body section
9
KS
body arrangements for
funding received.
45
Confirm that public
116.b
31
Section 151 officer scrutiny and sign off
9
KS
resources are managed
appropriately.
46
Confirm where applicable,
116.c
31
Transparency of Decision-Making section
21-22
RW
investment decisions will be
• Calls to be promoted openly on website
made for all funding with
• Declarations of interest review periods
reference to statutory
• Publish all approved projects within prescribed
requirements, conditions of
timetables
funding, local transport
objectives and through
formal MCA or CA
involvement where
required.
Appendix B
47
Describe the arrangements
116.d
31
Engagement sections
18-19
LR
for enabling effective
meaningful engagement of
• Check that details of engagement session on
local partners and the public
strategy development have been publicised on
to inform key decision and
website and through social media.
future strategy
development.
• Check that AGM has been publicised and minutes
HM/ LvD
are on the website.
49
Roles and responsibilities of
118
31
Board section
6-11
RW
the Chair, LEP Board, Sub-
boards, Accountable Body
and Section 151 Officer.
50
Membership requirements
119
31
Board section
6-8
RW
of the Board and sub-
boards.
51
Clear scheme of delegation.
119
31
LEP decision making and
10
RW
52
LEPs in MCA areas agree
120
31
N/A
N/A
N/A
and publish a joint
statement which sets out
their respective roles and
responsibilities.
53
Specify that a decision
121
32
LEP decision making and
10
RW
which is made in
contravention of the
process will be invalid.
54
Openly advertise funding
123
32
Programmes section
23-43
CD
opportunities, assess
• Open call for majority of programmes - check status
applications make the
• Scheduled calls - confirm open & public promotion
award through a formal
• Check/confirm legal agreement for all awards
agreement, monitor
• Monitoring information, record management data
progress for the lifetime of
stored - check stored information, maintain electronic
the project, and maintain a
data trail
Appendix B
robust audit trail to
demonstrate compliance.
The LEP Board
55
The LEP Board consists of
125
32
Board section
6
RW
at least two-thirds private
• Private (10)
sector.
• Education (2, classed as private)
• Public (6)
56
A LEP Board member
127
33
• SME representative confirmed
6
RW
designated as a Small and
Medium Enterprise, which is
published on the website.
57
The LEP Board should have
128
33
LEP Board membership
6
RW
a maximum of 20 people,
• Confirm compliant at 18
with the option to co-opt an
additional five Board
Members.
Chair and Deputy Chair
58
The LEP Chair must come
132
34
Board section
6
RW
from the private sector.
• Confirm Chair is from Private sector (Doug Field)
59
The LEP must have a
133
34
• Confirm Deputy Chair in post (Lindsey Rix)
6
RW
Deputy Chair.
60
The LEP Chair and Deputy
133
34
• Term defined as per Articles of Association
6
RW
Chair have a defined term
limit of three years with an
optional extension of three
years.
LEP Staff and Independent Secretariat
61
Outline how the
134-135
34
LEP Decision making section
10
CS
independent secretariat will
• Separation of duties
function.
LEP Network: cooperation, collaboration and partnership with other LEPs
62
Commit to working with the
136
35
Cross-LEP working section
20
CS
LEP Network.
Appendix B
63
The LEP should outline the
136-137
35
Cross-LEP working section
20
CS
dependencies or
relationships with other
LEPs as appropriate.
The Accountable Body and Section 151 Officer
64
The LEP has a single
139
35
Accountable Body section
9
KS
Accountable Body.
• Suffolk County Council
65
Outline the agreement
141
36
Accountable Body section
9
KS
between the Accountable
• Accountable Body agreement in place and signed
Body and the LEP.
Section 151 Officer Role
66
The S151 officer should
145
37
Accountable Body section
8
KS
provide a letter by the 28
February each year.
Decisions relating to LEPs awarding public funds
67
Describe the decision
147
38
Programmes sections
21-43
CD
making process.
• Check grant decisions made in accordance with
established decision-making process and delegated
authority levels - decision log will confirm award sizes
68
A commitment from all LEP
147.a
38
LEP decision making section
10
CD
board and sub group
• Ensure appropriate information is supplied to the
members to making
board and sub-boards to allow suitable decisions to
decisions on merit having
be made.
taken into account all of the
• Supported by external review
relevant information
available at the time.
69
Clear lines of accountability
147.b
38
Programmes section and LEP decision making/ Accountable
9-11, 21-43
CD
to the LEP Board and,
Body section
where applicable, the
• Scheme of Delegation
Accountable Body.
70
Describe the process for
147.c
38
Accountable Body section
9
CD
recording decisions and
• Authorisation to sign and seal via Suffolk County
communicating these to the
Council
Accountable Body, CA or
MCA.
Appendix B
71
Information on the LEP’s
147.d
38
LEP decision making section
10
CD
decision making
• Scheme of Delegation
procedures, including the
• Terms of Reference for each Committee (showing
arrangements for ensuring
quorate numbers)
decisions are taken at
• Meetings formally minuted
meetings which are
quorate.
72
A link to the current
147.e
38
10
CD
schemes of delegation.
faqs/. LEP decision making
73
The person (or name of the
147.f
38
10, 21-43
CD
position) responsible for
faqs/. LEP decision making. Also Programmes sections.
providing the final sign off
for funding decisions.
74
Describe the process by
147.g
38
Accountable Body section
9
CD / KS
which the Accountable
Body confirms receipt of the
information and can report
back when the direction is
completed.
75
The process allowing
147.h
38
LEP decision making
10
CD
decisions, by exception, to
be made by the LEP Board
in the absence of a formal
meeting.
76
A system for promptly
147.i
38
Transparency of Decision Making section and
21
CS
considering complaints.
77
A system showing how
147.j
38
Programmes section and LEP decision making section
10, 21-43
CD
investment decisions must
• Sample individual project approvals to confirm
be subject to a
availability of required supporting information and
proportionate business case
processes carried out.
and evaluation and how
decisions must be subject
to scrutiny arrangements in
Appendix B
line with the LEP
processes.
78
A statement setting out the
148
38-39
LEP decision making section
10
CD
documents which shall be
• Process includes all required documents
made available to the LEP
• Check/sample project approvals to ensure
board in advance of making
compliance, eg GBF process. NB Board and sub-
decisions which should
committees review information from appraisal level
include:
upwards. Information supplied is sufficient for an
• The application made for
informed decision to be made.
funding
• An appraisal of the
application
• A view by a legal expert
• A recommendation as to
whether to fund the
proposal
• A recommendation
about conditions which
should be attached to
the proposal.
79
Set out the LEPs role in
149
39
Project and Programme Delivery
23-25
CD
recovering funding where
• Identify and check for individual projects across
there has been non-
programme suite where clawback may have been
compliance, mis
activated or required.
representation or
• Confirm that all funds have been recovered as
underperformance, this
expected.
should include, the LEP
Board or delegated sub-
group receiving reports
providing information on
projects which have
received funding, including:
• A description of projects
where concerns have
been identified
Appendix B
• Relevant details
including the amount of
funding awarded and the
sum at risk due to the
concerns
• Where recovery of funds
is considered, a legal
opinion which sets out
the legal basis for
recovery and likelihood
of success.
80
Set out the arrangements to
150
39
Project and Programme Delivery
23-25
CD
recover non-compliant
• Check for incidences of clawback/recovery -
funding.
review/report individual events
Scrutiny and Audit arrangements
81
Describe the agreed
154
40
LEP decision making section
9-10
CD
scrutiny and audit
• External financial audit
arrangements.
• Independent scrutiny provided by Suffolk and Norfolk
County Councils
• Annual review
• Mid year review
• Audit of programmes being delivered by funders
Appendix B
In addition to the information that must be contained in the Local Assurance Framework, the website must contain the following:
Requirement
Section
Page
Check
1
The Local Assurance Framework
70.a
22
2
An annual financial statement.
70.b
22
3
The LEP annual report and delivery plan.
70.c
22
4
A statement on the publication of meeting
70.d
22
papers, minutes and agenda items.
How is the LEP run section
5
Copies of the LEP Board meeting
70.e
22
agendas, papers and minutes.
6
The Annual Assurance statement from
70.f
22
the leadership of the LEP.
7
The LEP’s Code of Conduct.
70.g
22
How is the LEP run section
8
Board Member’s registers of interest and
70.h
22
the register of the Chief Executive Officer.
9
The LEP hospitality and expenses
70.i
22
register.
10
Complaints Policy
70.j
22
11
Whistleblowing Policy
70.k
22
12
A rolling schedule of projects, outlining a
70.l
22
brief description of the project, names of
key recipients of funds/contracts and
amounts of funds designated by year.
13
Key LEP Strategies
70.m
22
14
Information on the process for applying
113
30
for funding
15
SME Champion
127
33
section for local businesses on how the LEP represents their
views
16
The LEP should ensure that it uses the correct Government branding on any relevant website page. Additional guidance is provided to LEPs.
