New Anglia Local Enterprise Partnership
Audit and Risk Committee
Tuesday 23rd June 2020
1.00pm to 3pm
Via Teams Meeting
Agenda
Committee Members
Nick Banks (Chair) Scrutton Bland
Sam Chapman-Allen Breckland District Council
Corrienne Peasgood City College Norwich
Holly Field
Suffolk County Council
(Delegation of Authority for Accountable Body S151 Officer)
In Attendance
Rosanne Wijnberg New Anglia LEP
Melanie Richardson New Anglia LEP
Aaron Widdows
Price Bailey
No.
Item
1.
Welcome & Introductions
2.
Apologies
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: xx February 2021 (Suffolk) & xx July 2021 (Norfolk)
1
New Anglia Audit and Risk Committee Minutes (Unconfirmed)
13th February 2020
Present:
Nick Banks (NB)
Independent Chair
Corrienne Peasgood (CP)
Norwich City College
Holly Field (HF)
Suffolk County Council (Deputising for Accountable Body
S151 Officer)
In Attendance:
Rosanne Wijnberg (RW)
New Anglia LEP
Keith Spanton (KS)
New Anglia LEP
Melanie Richardson (MR)
New Anglia LEP
Lisa Roll (LR)
New Anglia LEP
Stephan Schmitt (SS)
Price Bailey - For item 6
Apologies:
Sam Chapman-Allen (SC-A)
Breckland District Council
Actions from the Meeting
MR to circulate the updated risk register to include risks 21 and 22 which had dropped off in the pdfing
process
1
Welcome and Introductions
Nick Banks (NB) welcomed everyone to the meeting including Corrienne Peasgood (CP) who was
appointed to the Audit and Risk Committee on 1st January 2020.
It was proposed that item 6, Review of Audit Plan be addressed first. This was agreed by the meeting.
2
Apologies
SC-A gave his apologies.
3
Declarations of Interest
CP declared an interest re Norwich City College.
4
Minutes from last meeting
The minutes were reviewed and agreed.
The action on dual controls on the Lloyds bank account was noted.
Annual review and approval of Terms of Reference, Scheme of Delegation and
5
Accountable Body Agreement
The Terms of Reference, Scheme of Delegation and Accountable Body Agreement were reviewed and
agreed.
6
Review of Audit Plan - presented by Price Bailey - Confidential Item
1
7
Review of corporate risk register - Confidential Item
MR provided an update of the key changes to the risk register since the last meeting.
8
Local Assurance Framework monitoring
MR explained that the LEP’s Assurance Framework outlines the way we work and the National Local
Growth Assurance Framework Annex E checklist provides the basis for our compliance monitoring
arrangements. MR explained that Annex A summarised the key areas of the checklist and set out the
results of the quarterly monitoring undertaken. The quarterly reviews were largely based on website
checks and there was improvement between the first review in September and the follow up in
December. Minor issues remained re old website links but it was noted that our new website
development will mitigate the risk of outdated links.
RW also noted that no compliance issues were raised as part of our Annual Performance Review
process.
9
Meeting Schedule and Dates
It was agreed that the next meeting would be at 1pm on Tuesday 23rd June (The Cornhill, Diss).
10
Any Other Business
It was noted that this would be Keith Spanton’s last Audit and Risk Committee before leaving the LEP.
The Committee thanked KS for his work at the LEP and wished him well for the future.
2
New Anglia Local Enterprise Partnership
Virtual Audit and Risk Committee
Tuesday 23 June 2020
Agenda Item 7
New Anglia LEP Governance - Local Assurance Framework monitoring
Author: Melanie Richardson
Summary
The LEP’s Assurance Framework outlines the way we work. This paper presents the results of
our quarterly monitoring of compliance with mandatory requirements and best practice
guidelines.
Recommendation
The Audit and Risk Committee is asked to note the results of monitoring our compliance with
New Anglia LEP’s 2020 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 with 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 2020 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. The 2020 Local Assurance Framework can be viewed here,
2020 Assurance Framework.
New Anglia LEP’s 2020 Local Assurance Framework was approved by the LEP Board in March
2020.
1
103
Key issues
Monitoring Compliance
The National Local Growth Assurance Framework Annex E checklist provides the basis for our
compliance monitoring arrangements. A member of the leadership team has been assigned to
each of the areas identified in the checklist and they take accountability for monitoring compliance
for their area, with the Finance and Governance Manager undertaking spot checks as required.
Compliance against the checklist is reviewed on a quarterly basis and reported to Audit and Risk
Committee twice per year. Annex A attached sets out the results of our March and June quarterly
reviews.
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. We are required to publish our Governance Assurance
Statement on our website, this can be viewed here, Governance Assurance Statement.
Recommendation
The Audit and Risk Committee is asked to note the results of monitoring our compliance with
New Anglia LEP’s 2020 Local Assurance Framework.
2
104
Annex A
Quarterly Review of the Local Assurance Framework (LAF)
LAF requirement not met
Minor updates required
LAF requirement met
Annex E
Mar 20
June 20
Local Assurance Framework
Compliance issue
Checklist
review
review
requirement
ref
Alignment with the Accounting Officer System
1-5
Statement
Corporate structure for LEPs
14
Local Assurance Framework & website
15-23
Websites
24
Local Engagement
25-26
Appointment Process for Board Members and Chairs
27-28
Diversity Statements
29
Board renumeration and LEP Officer salaries
30
Code of Conduct
31
Conflicts of Interest
32
Register of interests require a six monthly update. A small
number of Board Member declarations were outstanding.
Complaints for Third Parties and the Public
35-37
Whistleblowing Policy
38
Publication of meeting and agenda items
39
Handling confidential and exempt information
40
Management of Contracts
41
Government Branding
42
Accountability and decision making
43-54
The LEP Board
55-57
Chair and Deputy Chair
58-60
LEP Staff and Independent Secretariat
61
105
Annex A
LEP Network: cooperation, collaboration and
62-63
partnership with other LEPs
The Accountable Body and Section 151 Officer
64-65
Section 151 Officer Role
66
Decisions relating to LEPs awarding public funds
67-80
Scrutiny and Audit arrangements
81
Website requirements
Our new LEP website launched in April 2020. The link to the
latest Governance Assurance Statement and hospitality log
appeared to have been lost. Both website links have been
updated.
106
