Regional Code of Corporate
Governance
Introduction
Corporate governance is the system and processes, culture and values by which regional
working is directed and controlled, and through which it accounts to, engages with and
offers support to school leaders, governors and teachers. Governance is about how local
government bodies ensure that they are doing the right things, in the right way, for the right
people in a timely, inclusive, open, honest and accountable manner.
This Code sets out standards of good practice and is supported by appropriate policies,
systems and procedures which are designed to achieve sound corporate governance. It
supports the Region’s vision ‘for a consistently high performing school network across the
region with every school a good school offering high standards of teaching with all learners
achieving their maximum potential’. This Code outlines the Region’s approach to corporate
governance, supports its vision and demonstrates the commitment to uphold the highest
standards of integrity, openness and accountability.
Core principle 1: Focusing on the purpose of the Region and on the outcomes for the
learning community and creating and implementing a vision for the region
To achieve this we will:
 develop and promote ERW’s purpose and vision
 review on a regular basis ERW’s vision for the region and its implications for the
Region’s governance arrangements
 ensure that partnerships are underpinned by a common vision of their work that is
understood and agreed by all partners
 publish annual accounts on a timely basis to communicate the Region’s activities and
achievements, its financial position and performance
 decide how the quality of service for users is to be measured and make sure that the
information needed to review service quality effectively and regularly is available
 put in place effective arrangements to identify and deal with failure in service
delivery
 decide how value for money is to be measured and make sure that the Region or
partnership has the information needed to review value for money and performance
effectively
 ensure that the Region maintains a prudential financial framework and that timely,
accurate and impartial financial advice is provided to assist decision making and
meeting objectives.
Core principle 2: Members and Officers working together to achieve a common purpose
with clearly defined functions and roles
To achieve this we will:
 set out a clear statement of the respective roles and responsibilities of the Joint
Committee and Executive Board collectively and individually; regional senior staff
and partner organisations
 set out in the Region’s constitution the responsibility for functions between the
Joint Committee and Executive Board and including details of the delegations to
Officers, and ensure that it is monitored and updated when required
 make the Managing Director responsible and accountable to the Joint Committee for
all aspects of operational management
 make the nominated Chief Finance Officer responsible to the Joint Committee for
ensuring that appropriate advice is given on all financial matters, that appropriate
management accounting systems, functions and controls are in place and for
keeping proper financial records and accounts, and for maintaining an effective
system of internal financial control
 ensure governance arrangements allow the CFO and Monitoring Officer direct access
to the Managing Director
 make a Senior Officer (usually the Monitoring Officer or Head of Legal Services)
responsible to the Joint Committee for ensuring that agreed procedures are followed
and that all applicable statutes, orders and regulations are complied with
 develop protocols to ensure effective communication between Elected Members,
Staff and Stakeholders in their respective roles
 ensure an effective and appropriate structure for managing the setting of terms and
conditions for Staff
 ensure that effective mechanisms exist to monitor service delivery and performance
 ensure that the Region’s vision, strategic plans, priorities and targets are developed
through robust mechanisms, and in consultation with key stakeholders, and that
they are clearly articulated and disseminated
 continue to develop a medium term business and financial planning process to
deliver strategic objectives, which is subject to regular review
 when working in partnership:
- ensure that staff are clear about their roles and responsibilities both
individually and collectively in relation to the partnership and to the Region
- ensure that there is clarity about the legal status of partnership
- ensure that representatives or organisations both understand and make
clear to all other partners the extent of their authority to bind their
organisation to partner decisions.
Core principle 3: promoting values for the Region and demonstrating the values of good
governance through upholding high standards of conduct and behaviour
To achieve this we will:
 ensure that the Region’s leadership sets a tone for the organisation by creating a
climate of openness, support and respect
 ensure that standards of conduct and personal behaviour expected of staff and
stakeholders, of work between elected members, staff and stakeholders and the
Region, its partners and the community are defined and communicated through
codes of conduct and protocols
 put in place arrangements to ensure that Staff and Stakeholders of the Region are
not influenced by prejudice, bias or conflicts of interest in dealing with different
stakeholders and put in place appropriate processes to ensure that they continue to
operate in practice
 develop and maintain shared values including leadership values both for the
organisation and employees reflecting public expectations and communicate these
with staff, partners and stakeholders
 put in place arrangements to ensure that procedures and operations, including
systems and processes for financial administration and financial control, are
designed in conformity with appropriate regulations and ethical standards, and
monitor their continuing effectiveness in practice
 use the organisation’s shared values to act as a guide for decision making and as a
basis for developing positive and trusting relationships with the Region
 in pursuing the vision of regional working, agree a set of values against which
decision making and actions can be judged. Such values must be demonstrated by
partners’ behaviour both individually and collectively.
Core principle 4: Taking informed and transparent decisions which are subject to effective
scrutiny and managing risk.
To achieve this we will:
 develop and maintain an effective scrutiny function which encourages constructive
challenge and enhances the Region’s performance overall and ensure an effective
internal audit function is resourced and maintained
 develop and maintain open, appropriate and effective mechanisms for documenting
the basis for making decisions
 put in place arrangements to safeguard against conflicts of interest on behalf of all
staff and put in place appropriate processes to ensure that they continue to operate
in practice
 put in place effective transparent and accessible arrangements for dealing with
complaints
 ensure that those making decisions whether for the Region or for partnership are
provided with information that is fit for purpose – relevant, accurate, timely and
gives clear explanations of technical and financial issues and their implications
including budgetary and financial information
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ensure that proper professional advice on matters that have legal or financial
implications is available and recorded well in advance of decision making and used
appropriately
ensure that risk management is embedded in to the culture of the Region, with staff
and stakeholders at all levels recognising that risk management is part of their job
and that arrangements for financial and internal control and managing risk are
addressed in governance reports
ensure that the Region puts in place effective internal financial controls covering
codified guidance, budgetary systems, supervision, management review and
monitoring, physical safeguards, segregation of duties, accounting procedures,
information systems and authorisation and approval processes
ensure that effective arrangements for whistle blowing are in place to which
employees and all those contracting with or appointed by the Region have access
actively recognise the limits of lawful activity placed on them by, for example the
ultra vires doctrine but also strive to use their powers to the full benefit of the
educational community
recognise the limits of lawful action and observe both the specific requirements of
legislation and the general responsibilities placed on the Region by public law
observe all specific legislative requirements placed upon the Region, as well as the
requirements of general law, and in particular to integrate the key principles of good
administrative law – rationality, legality and natural justice into their procedures and
decision making processes
Core principle 5: Developing the capacity and capability of Staff and Stakeholders to be
effective
To achieve this we will:
 provide induction programmes tailored to individual needs and opportunities for
Members and Officers to update their knowledge on a regular basis
 ensure that the Region’s key role holders have the skills, resources and support
necessary to perform effectively in their roles and that these roles are properly
understood and applied throughout the Region
 develop skills on a continuing basis to enable roles to be carried out effectively, and
to improve performance, including the ability to scrutinise and challenge and to
recognise when outside expert advice is needed
 ensure that effective arrangements are in place designed to encourage individuals
from all sections of the community to engage with, contribute to and to participate
as appropriate in the work of the Region
 ensure that career structures are in place to encourage individual and collective
development
Core principle 6: Engaging with local people and other stakeholders to ensure robust
public accountability
To achieve this we will:
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make clear to ourselves, all staff and stakeholders, who is accountable for what
consider those institutional stakeholders to whom they are accountable and assess
the effectiveness of the relationships and any changes required
produce regularly reviewed work programmes to support the activity of the formal
scrutiny function
ensure clear channels of communication are in place with all staff and stakeholders
including monitoring arrangements and ensure that they operate effectively
ensure that arrangements are in place to enable the Region to engage with all
stakeholders effectively recognising that different stakeholders may have different
priorities
establish a clear policy on the types of issues they will meaningfully consult on or
engage with service users including a feedback mechanism for those consultees to
demonstrate what has changed as a result
on an annual basis, publish an appropriate performance plan giving information on
the Region’s vision, strategy, plans and financial statements as well as information
about its outcomes, achievements and the satisfaction of service users in the
previous period
ensure that the Region as a whole is open and accessible to service users,
stakeholders and staff and ensure that it has made a commitment to openness and
transparency in all its dealings, including partnerships subject only to the need to
preserve confidentiality in those specific circumstances where it is proper and
appropriate to do so
develop and maintain a clear policy on how staff and their representatives are
consulted and involved in decision making
Monitoring, Review and Reporting
The Region will undertake regular reviews of its governance arrangements to ensure
compliance with the Code and the delivery of good governance through appropriate best
practice frameworks. The purpose of the reviews will be to provide assurance that
governance arrangements are adequate, compliant and operating effectively in practice and
to identify gaps and any action required to ensure effective governance for the future.
There will be an annual review the outcome of which will take the form of an Annual
Governance Statement (AGS) incorporating statements on the system of internal control. It
will be submitted to the Joint Committee for agreement. Thereafter it will be published with
the Statement of Accounts.
It is accepted that approval and ownership of the Governance Statement should be at
corporate level and should be confirmed by the Managing Director and lead person from
each of the Region’s Local Authorities jointly signing the statement on behalf of the Region.
The Joint Committee is the vehicle through which the statement will be endorsed on behalf
of the six local authorities.
The Region will strive to establish a governance framework, embedded into its business
processes, that links strategic objectives to risks, controls and assurances.
The principles set out in this Code are expected to be upheld by the Region’s stakeholders,
partners and staff. There should thus be effective communication of this Code and the range
of policies, systems and processes that form the governance framework.
February 2015