Local Assurance Framework Checklist
Requirement
Further
Page
New Anglia LEP update
Page in
guidance
New Anglia
can be
Framework
found in
section
Alignment with the Accounting Officer System Statement
MCAs & LEPs should outline in their Local Assurance Framework:
1
A clear description of the roles and
19.a
11
Roles and responsibilities of Board, sub-Boards,
All
responsibilities.
sector and working groups, staff and Programme
teams covered clearly throughout.
2
Arrangements for taking and accounting for
19.b
11
All sections have a clear description of decision
All
all decisions and ways of working.
making processes and ways of working.
3
Responsibilities of the Accountable Body.
19.c
11
Accountable Body section, supported by the
8
Accountable Body Agreement
4
The arrangements to ensure value for
19.d
11
Programmes sections
20-42
money.
5
Publish their Local Assurance Framework on
20.a
11
Done
their website.
London /Combined Authorities section omitted
Part B: Local Enterprise Partnerships
Corporate Structure for LEPs
14
LEPs must have a legal personality.
62 - 64
20
Company Limited by Guarantee
5
Local Assurance Framework & Website
The Local Assurance Framework must:
15
Provide information on how the LEP
65.b
20
Programmes section
20-42
manages its programmes, funding streams
and any associated contracts, including
Local Growth Fund, City Deals and
Enterprise Zones (where applicable).
16
Provide information on the LEPs’
65.c (also
20
Programmes section
20-42
arrangements for ensuring value for money.
see Part
C)
17
Set out the LEPs’ approach to risk.
65.d
20
LEP sub-Boards and Committees and Project and
10 and 22
176
48
Programme Delivery
18
Set out how calls for bids or projects are
65.e
21
Programmes section and Transparency of Decision
20-42
advertised openly and that selection criteria
Making section.
and selection processes are transparent.
19
Ensure the transparent publication of
65.g
21
20-1
financial information.
107-109
29
20
Ensure appropriate succession planning and
65.i
21
Board section
6
arrangements for resignation of Board
Members.
21
Implement an induction process.
65.j
21
Board p6 and staff p9.
6 and 9
81-82
24-25
22
Set out the processes the LEP has put in
65.m
21
Project and Programme delivery
22-25
place in regard to the handling on data.
102
28
23
Provide information on LEP scrutiny
65.o
21
LEP decision making section
9
arrangements.
Websites
24
Have a dedicated website.
67 - 71
21-22
Yes
Local Engagement
25
Set out how the LEP will conduct ongoing
65.f
21
Engagement sections and Board and Committees
6, 10-20
local engagement.
sections
26
Set out how the LEP will evidence effective
72-74
22-23
Meeting paperwork of all the above groups and
6, 10-20
engagement.
associated media coverage.
Appointment Process for Board Members and Chairs
27
Set out how the LEP ensures open
65.h
21
Board and Decision Making sections
6 and 9
recruitment processes.
28
Set out the appointment process for Board
75-77
23
Board
6
members (Public and Private sector), Chairs
and Deputy Chairs.
Diversity Statements
29
Set out the LEPs commitment to diversity,
65.l
21
Board
6
including a diversity statement.
78-79
23-24
Board renumeration and LEP Officer salaries
30
Set out the expenditure and/or renumeration
80
24
Board section. Website explains that Board
6
policy for Chairs and Board Members clear
members are not remunerated -
on their websites.
Code of Conduct
31
Have a code of conduct which all Board
55-57
18-19 24-
Board and staff sections
7 and 9
Members and LEP Officials sign up to.
83 - 85
25
Conflicts of Interest
32
Set out how the LEP manages conflict of
65.k
21
Transparency of Decision Making section and
20
interest, including having a conflict of
86 - 92
25-26
interest policy.
Complaints for Third Parties and the Public
35
Set out the LEPs overarching approach to
65.n
21
Transparency of Decision Making section and
20
dealing with complaints and whistleblowing.
97-101
26-28
36
Have a Complaints Policy.
93-96
26-27
Transparency of Decision Making section and
20
37
Set out the confidential reporting
94
26
Transparency of Decision Making section gives an
20
arrangements.
overview. The full policy is available at
Whistleblowing Policy
38
Have a Whistleblowing Policy.
97-101
27-28
Transparency of Decision Making section gives an
20
overview. The full policy is available at
Publication of meeting and agenda items
39
Commit to the publication of meeting
103-104
28
Transparency of decision making section and
20
agendas, papers and minutes.
Handling confidential and exempt information
40
Set out the process for handling information
105-106
28-29
Programme Management section
22-4
which is not to be placed in the public
domain.
Management of Contracts
41
Set out how the LEP or its nominated party,
114
30
Programmes section
20-42
will manage contracts related to the delivery
of its programmes and how the LEP Board
will be kept informed of progress.
Government Branding
42
The LEP should commit to meeting the
115
30
Transparency of decision making section
20
Government branding guidelines for projects.
Accountability and decision making
43
Set out the LEP’s structure, and decision
65.a, 117
20, 31
Board, decision making, transparency of decision
6-10, 20-42
making processes.
making and programme management sections
44
Confirm the accountable body arrangements
116a.
31
Accountable Body section
8
for funding received.
45
Confirm that public resources are managed
116.b
31
Section 151 officer scrutiny and sign off
8
appropriately.
46
Confirm where applicable, investment
116.c
31
Transparency of Decision Making section
20-21
decisions will be made for all funding with
reference to statutory requirements,
conditions of funding, local transport
objectives and through formal MCA or CA
involvement where required.
47
Describe the arrangements for enabling
116.d
31
Engagement sections
11-19
effective meaningful engagement of local
partners and the public to inform key decision
and future strategy development.
49
Roles and responsibilities of the Chair, LEP
118
31
6-10
Board, Sub-boards, Accountable Body and
Section 151 Officer.
50
Membership requirements of the Board and
119
31
Board section
6-8
sub-boards.
51
Clear scheme of delegation.
119
31
LEP decision making and
9
52
LEPs in MCA areas agree and publish a joint
120
31
N/A
N/A
statement which sets out their respective
roles and responsibilities.
53
Specify that a decision which is made in
121
32
LEP decision making and
9
contravention of the process will be invalid.
54
Openly advertise funding opportunities,
123
32
Programmes section
20-42
assess applications make the award through
a formal agreement, monitor progress for the
lifetime of the project, and maintain a robust
audit trail to demonstrate compliance.
The LEP Board
55
The LEP Board consists of at least two-thirds
125
32
Board section
6
private sector.
56
A LEP Board member designated as a Small
127
33
6
and Medium Enterprise, which is published
on the website.
57
The LEP Board should have a maximum of
128
33
6
20 people, with the option to co-opt an
additional five Board Members.
Chair and Deputy Chair
58
The LEP Chair must come from the private
132
34
Board section
6
sector.
59
The LEP must have a Deputy Chair.
133
34
6
60
The LEP Chair and Deputy Chair have a
133
34
6
defined term limit of three years with an
optional extension of three years.
LEP Staff and Independent Secretariat
61
Outline how the independent secretariat will
134-135
34
LEP Decision making section
9
function.
LEP Network: cooperation, collaboration and partnership with other LEPs
62
Commit to working with the LEP Network.
136
35
Cross-LEP working section
19
63
The LEP should outline the dependencies or
136-137
35
Cross-LEP working section
19
relationships with other LEPs as appropriate.
The Accountable Body and Section 151 Officer
64
The LEP has a single Accountable Body.
139
35
Accountable Body section
8
65
Outline the agreement between the
141
36
Accountable Body section
8
Accountable Body and the LEP.
Section 151 Officer Role
66
The S151 officer should provide a letter by
145
37
Accountable Body section
8
the 28 February each year.
Decisions relating to LEPs awarding public funds
67
Describe the decision making process.
147
38
Programmes sections
20-42
68
A commitment from all LEP board and sub
147.a
38
LEP decision making section
9
group members to making decisions on merit
having taken into account all of the relevant
information available at the time.
69
Clear lines of accountability to the LEP Board
147.b
38
Programmes section and LEP decision making/
8-10, 20-42
and, where applicable, the Accountable
Accountable Body section
Body.
70
Describe the process for recording decisions
147.c
38
Accountable Body section
8
and communicating these to the Accountable
Body, CA or MCA.
71
Information on the LEP’s decision making
147.d
38
LEP decision making section
9
procedures, including the arrangements for
ensuring decisions are taken at meetings
which are quorate.
72
A link to the current schemes of delegation.
147.e
38
9
making-and-faqs/. LEP decision making
73
The person (or name of the position)
147.f
38
9, 20-42
responsible for providing the final sign off for
making-and-faqs/. LEP decision making. Also
funding decisions.
Programmes sections.
74
Describe the process by which the
147.g
38
Accountable Body section
8
Accountable Body confirms receipt of the
information and can report back when the
direction is completed.
75
The process allowing decisions, by
147.h
38
LEP decision making
9
exception, to be made by the LEP Board in
the absence of a formal meeting.
76
A system for promptly considering
147.i
38
Transparency of Decision Making section and
20
complaints.
77
A system showing how investment decisions
147.j
38
Programmes section and LEP decision making
9, 20-42
must be subject to a proportionate business
section
case and evaluation and how decisions must
be subject to scrutiny arrangements in line
with the LEP processes.
78
A statement setting out the documents which
148
38-39
LEP decision making section
9
shall be made available to the LEP board in
advance of making decisions which should
include:
• The application made for 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 recovering funding
149
39
Project and Programme Delivery
22-25
where there has been non-compliance, mis
representation or underperformance, this
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
• 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 recover non-
150
39
Project and Programme Delivery
22-5
compliant funding.
Scrutiny and Audit arrangements
81
Describe the agreed scrutiny and audit
154
40
8-9
arrangements.
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
Delivery Plan to follow once published.
4
A statement on the publication of meeting
70.d
22
papers, minutes and agenda items.
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.
