Self Assessment

Key Elements Of Governance	Assess-Ment	Comments
Developing codes of conduct which define standards of behaviour for members and staff, and policies dealing with whistleblowing and conflicts of interests and that these codes and policies are communicated effectively.	Good	Set of values agreed by the Authority - STRIVE Constitutional standing orders reviewed Member and employee codes of conduct Register of interests, and on-going declaration of these Register of gifts and hospitality Appropriately qualified Clerk to the Authority Anti-bribery and whistle-blowing policies in place Register of complaints and compliments Complaints against Members considered as a standing CFA item Minimal number of complaints No substantiated complaints against the service
Ensuring compliance with relevant laws and regulations, internal policies and procedures, and that expenditure is lawful.	Good	All Committee and Authority reports contain section on financial implications. Legal implications are contained within the body of every report as appropriate. The Treasurer/Director of Corporate Services and Monitoring Officer examine all reports to the Authority and its committees to enable legal and financial implications to be considered and provision included where appropriate. The Monitoring Officer and Treasurer/Director of Corporate Services attend Authority/Committee to provide advice as required.
Documenting a commitment to openness and acting in the public interest, and compliance with the principles of Data Transparency.	Good	Compliance with Transparency code Publication scheme on the website Compliance with FOI requirements Pay Policy Statement approved by the full Authority and published on the service website Annual Report Annual Assurance Statement Public meetings Publication of information on website, including Committee agenda and minutes Information Management Strategy updated
Establishing clear channels of communication with all sections of the community and other stakeholders, ensuring accountability and encouraging open consultation.	Good	Comprehensive communication and consultations strategies in place Positive evidence of proposals being amended following outcomes of consultation Annual report Key documents published on internet Constructive dialogue with representative bodies Register of complaints and compliments, no substantiated complaints against the service Annual Assurance Statement available on the website The External Auditors Annual Audit Letter did not identify any issues Internal Audit provided substantial assurance regarding the adequacy of design and effectiveness in operation of the organisation's frameworks of governance, risk management and control Recommendations from audit reviews implemented HMICFRS Inspection rated the Service as Good in all categories, other than Outstanding in Culture. No major areas for improvement identified HMICFRS undertook a C-19 Thematic inspection which concluded that “the service adapted and responded to the pandemic effectively”
Developing and communicating a vision which specifies intended outcomes for citizens and service users and is used as a basis for planning. Translating the vision into objectives for the authority and its partnerships.	Good	New Community Risk Management Plan agreed covering 2022/27 Annual Service Plan, setting out Vision, Activities, Priorities and Values KPIs identified for each of our priorities Suite of strategies/policies etc. regularly reviewed. Consultation and Communication Strategy setting out how we will consult with public and service users Assessment of compliance with National Framework Effective Corporate Programme Board arrangements, split into 5 areas:- - Business Process Improvement Programme - Service Delivery Change Programme - Capital Projects Programme. - People Strategy - Risk Management All major projects and reviews follow similar format and report to the Corporate Programme Board Terms of reference for all Programme Board items agreed at outset and delivery against these monitored on a quarterly basis
Reviewing the effectiveness of the decision-making framework, including delegation arrangements, decision making in partnerships, information provided to decision makers and robustness of data quality.	Good	Appropriate governance arrangements in place, CFA plus 5 Committees Committee terms of reference agreed, supported by Standing Orders, and Scheme of Delegation and Financial Regulations Business Continuity Plan arrangements in place in respect of systems and information, including regular backing up and storage of data ICT Disaster Recovery Plan in place
Measuring the performance of services and related projects and ensuring that they are delivered in accordance with defined outcomes and that they represent the best use of resources and value for money.	Good	Comprehensive performance management information presented to SMT/Performance Committee on a regular basis. A replacement Performance Management System is required KPIs agreed with monitoring arrangements in place Annual Report HMICFRS Inspection regime Operational Assurance Audit Team to review:- · operational preparedness · operational response · operational learning The quarterly publication - Safety Health and Environment and Operational Assurance Performance Summary identifies learning from incidents etc. External Audit review Comprehensive financial information reporting framework. An upgraded Finance System was implemented, this will further improve governance arrangements. Medium Term Financial Plan and balanced budget in place Service reviews identified to deliver savings Resources redirected into priority areas Consistently exceeded efficiency targets
Defining and documenting the roles and responsibilities of the executive, non-executive, scrutiny and officer functions, with clear delegation arrangements and protocols for effective communication in respect of the authority and partnership arrangements.	Good	Committee terms of reference agreed, supported by Standing Orders, and Scheme of Delegation and Financial Regulations Strategy Group meetings inform members of developments in a less formal manner Member/Officer protocol in place setting out respective roles and relationships etc. Member champions covering:- · Equality, Diversity and Inclusion · Community Safety · Road Safety · Health and Wellbeing Job descriptions for all staff Regular briefing sessions before Committees and as and when required Induction/training provided to all members
Ensuring the authority’s financial management arrangements conform with the governance requirements of CIPFAs FM Code and the CIPFA Statement on the Role of the Chief financial Officer in Local Government and, where they do not, explain why and how they deliver the same impact.	Good	Self-assessment against the CIPFA FM Code undertaken and reported to Audit Committee Self-assessment of the role of the Treasurer is compliant with the governance requirements set out in CIPFAs Statement on the Role of the Chief Financial Officer in Local Government Qualified Treasurer, sits on Exec Board and reports directly to Chief Fire Officer Regular appraisal, with updated process implemented Contract standing orders, financial regulations, budget holder instructions in place and regularly reviewed Comprehensive budget setting/monitoring arrangement in place, linked to corporate objectives and priorities. Budget is delegated appropriately and aligned with operational responsibility
Ensuring effective arrangements are in place for the discharge of the monitoring officer function.	Good	Clerk to the Authority is the monitoring officer Appropriately qualified/experienced Regular appraisal Procedural standing orders reviewed Scheme of delegation updated and agreed by Audit Committee
Ensuring effective arrangements are in place for the discharge of the head of paid service function.	Good	CFO is the head of paid service Regular appraisal with Chairman
Providing induction and identifying the development needs of members and senior officers in relation to their strategic roles, supported by appropriate training.	Good	Member Training and Development Committee All Members subject to a one to one to identify training and development needs. Specific Member training budget to address outcomes of this Senior Officers subject to appraisal system, including identification of training and development needs
Reviewing the effectiveness of the framework for identifying and managing risks and demonstrating clear accountability.	Good	Comprehensive Risk Mgt Strategy Corporate Risk Register Corporate Programme Board items include an assessment of risk Strategic Business Continuity Plan (BCP) in place and tested on a regular basis. Departmental Business Impact Assessments and Recovery Plans in place. Specific BCP training provided to Heads of Dept HMICFRS undertook a C-19 Thematic inspection which concluded that “the service adapted and responded to the pandemic effectively” Additional resilience built into ICT network Appropriate insurance arrangements
Ensuring effective counter-fraud and anti-corruption arrangements are developed and maintained.	Good	Anti-fraud policy Upto date Fraud risk assessment in place Full compliance with National Fraud Initiative
Ensuring the assurance arrangements conform with the governance requirements of the CIPFA Statement on the Role of the Head of Internal Audit and, where they do not, explain why and how they deliver the same impact.	Good	Internal Audit is outsourced to Lancashire County Council Internal Audit Charter in place Internal Audit Service Quality Assurance and Improvement Programme process agreed Lancashire County Council Internal Audit comply with CIPFA statement Head of Internal Audit has direct access to Audit Committee, Treasurer, Clerk and Chief Fire Officer as well as Members of the Authority
Undertaking the core functions of an audit committee, as identified in CIPFA’s Audit Committees:  Practical Guidance for Local Authorities.	Good	Audit Committee established and terms of reference agreed, covering core functions of an Audit Committee Audit Committee have access to both Internal and external auditors, and are provided with an opportunity to discuss issues without Officers being present
Ensuring that the authority provides timely support, information and responses to external auditors and properly considers audit findings and recommendations	Good	Audit Committee established All core functions of an Audit Committee are covered by the existing terms of reference Head of Internal Audit has direct access to Audit Committee, Treasurer, Clerk and Chief Fire Officer as well as Members of the Authority Audit Committee have access to both Internal and external auditors, and are provided with an opportunity to discuss issues without Officers being present One significant issue identified by External Auditor and subsequently address in setting the Budget and Medium Term Financial Strategy for 2024/25, see Auditor’s Annual Report including management comments: Auditors Annual Report template - Fire and rescue - 21-22 (lancsfirerescue.org.uk).
Incorporating good governance arrangements in respect of partnerships and other joint working and ensuring that they are reflected across the authority’s overall governance structures.	Good	Statement of Intent signed with Lancashire Constabulary and NWAS Collaboration Group established, with regular reports to members
Staff resources are adequate in numbers and skills to deliver the service objectives.  The roles and responsibilities of staff and members have been clearly defined and are understood, and appropriate guidance and training are in place	Good	Workforce Development Strategy agreed Agreed establishment in line with approved budget. Agreed process for revising establishment. Job descriptions in place Appropriate recruitment checks undertaken Staff induction process in place, incorporating LearnPro module Code of conduct in place and provided to all staff as part of induction. Appropriate performance management arrangements Appraisal system in place, including identification of training and development needs Use of:- · Coaching and Mentoring · Leadership Conferences Operational Assurance Audit Team to review:- · operational preparedness · operational response · operational learning Regular staff surveys undertaken, the outcome of this was published and, where relevant, acted upon Regular and programmed station staff visits by the Executive Team to meet and receive feedback from all staff ‘Star’ awards in place where staff nominate ‘star’ colleagues who live our values, and based on a judging panel awards are given to staff (and publicised throughout the organisation) Updated Intranet incorporates social networking to connect staff across the service
There are adequate contingency procedures to ensure that services can be resumed in case of emergency. Contingency procedures are well communicated.	Good	Strategic BCP in place and tested on a regular basis. Departmental Business Impact Assessments and Recovery Plans in place. Specific BCP training provided to Heads of Dept. BCP is considered as a standing item on SMT BCP plan tested on a regular basis, and amended as required Active member of Lancashire Resilience Forum Appropriate BCP arrangements in place in respect of systems and information, HMICFRS undertook a C-19 Thematic inspection which concluded that “the service adapted and responded to the pandemic effectively….. In line with good governance, the service had business continuity plans in place. The service relied on the county LRF pandemic flu plan as it didn’t have its own. These plans were activated.”
Processes have been established to ensure that corporate and local service policies and procedures are implemented effectively and are periodically reviewed.	Good	System of internal control established Policies and service orders are regularly reviewed, in line with an agreed timetable Internal audits over the year gave a Limited Assurance opinion on one audit, District Planning, and identified two high priority recommendations as part of this audit External audit reviews have identified one significant weaknesses, see previous comments regarding audit findings