1 OFFICE OF THE NORTHAMPTONSHIRE POLICE, FIRE AND CRIME COMMISSIONER & NORTHAMPTONSHIRE POLICE & NORTHAMPTONSHIRE COMMISSIONER FIRE AND RESCUE AUTHORITY JOINT INDEPENDENT AUDIT COMMITTEE 10th March 2021 at 10.00am to 12.30pm Microsoft Teams virtual meeting (the Teams meeting room will open from just after 09.30am) If you should have any queries in respect of this agenda, or would like to join the meeting please contact Kate Osborne 03000 111 222 [email protected] Members of the public, with the permission of the Chair of the Committee, may ask questions of members of the Committee, or may address the Committee, on an item on the public part of the agenda. Further details regarding the process for asking questions or making an address to the Committee are set out at the end of this agenda notice Page 1 of 4 2 * * * * * Public Meeting of the Joint Independent Audit Committee Time Public meeting of the Joint Audit Committee 1 Welcome and Apologies for non- attendance 10.00 2 Declarations of Interests 10.00 3 Meetings and Action log 16th December 2020 HK/KO Report 10.05 Treasury Management Strategy 2020/21 10.10 4a PFCC & CC HK/Vaughan Report 4b NCFRA HK/Nick A HMIC Reviews update 10.20 5.a CC Simon Report Nickless 5b. NCFRA Rob Porter Risk Policy and Processes – Annual Review 10.30 6a. PFCC Paul Fell Report 6b. CC Richard Baldwin 6c. NCFRA Rob Porter Internal Audit plan 2021/22 7a. PFCC & CC Mazars Report 10.45 7b. NCFRA LGSS Internal audit progress report 10.55 8a. PFCC & CC Mazars Report 8b. NCFRA (Tabled together with Agenda Item 7b) LGSS Internal audit – implementation of recommendations 11.05 9a PFCC & CC Richard Report Baldwin 9b NCFRA Julie Oliver 10. Update from Professional Standards Department Natalee Report 11.15 Wignall External audit update Verbal/ 11.25 11a PFCC & CC (including 18/19 Annual Audit Letter AAL) Neil Harris – Report EY (AAL) 11b NCFRA (including 18/19 Annual Audit Letter AAL) 12 Agenda Plan Helen Report 11.35 13 AOB Chair Verbal 11.40 14 Confidential items – any Chair Verbal 11.50 15 Resolution to exclude the public Chair Verbal 11.50 Items for which the public be excluded from the meeting: In respect of the following items the Chair may move the resolution set out below on the grounds that if the public were present it would be likely that exempt information (information regarded as private for the purposes of the Local Government Act 1972) would be disclosed to them: Page 2 of 4 3 “That under Section 100A (4) of the Local Government Act 1972, the public be excluded from the meeting for the following items of business on the grounds that if the public were present it would be likely that exempt information under Part 1 of Schedule 12A of the Act of the descriptions against each item would be disclosed to them”. Update on Business Continuity and disaster recovery 11.55 16a PFCC Paul Fell Report Richard 16b CC Baldwin 16c NCFRA Rob Porter 17 Update on: MFSS, LGSS, new systems arrangement Paul Bullen Report 12.10 18 PFCC Risk Register Paul Fell Report 12.15 19 Force Strategic Risk Register Simon Report 12.20 Nickless 20 Future Meetings held in public: 12.25 - 29th July 2021 - 6th October 2021 - 15th December 2021 Future Workshops not held in public: • 24th February 2021 – Fire ICT • June 2021 – Statement of Accounts, Date TBC • November 2021 – Date and Content TBC Further details regarding the process for asking questions or making an address to the Committee i. General Members of the public, with the permission of the Chair of the Committee, may ask questions of members of the Committee, or may address the Committee, on an item on the public part of the agenda. ii. Notice of questions and addresses A question may only be asked or an address given if notice has been given by delivering it in writing or by electronic mail to the Monitoring Officer no later than noon two working days before the meeting. Notice of questions or an address to the Committee should be sent to: Kate Osborne Office of the Police, Fire and Crime Commissioner East House Police HQ Wootton Hall NORTHAMPTON NN4 0JQ or by email to: [email protected] Page 3 of 4 4 Each notice of a question must give the name and address of the questioner and must name the person to whom it is to be put, and the nature of the question to be asked. Each notice of an address must give the name and address of the persons who will address the meeting and the purpose of the address. iii. Scope of questions and addresses The Chair of the Committee may reject a question or address if it: • Is not about a matter for which the Committee has a responsibility or which affects Northamptonshire; • is defamatory, frivolous, offensive or vexatious; • is substantially the same as a question which has been put or an address made by some other person at the same meeting of the Committee or at another meeting of the Committee in the past six months; or • requires the disclosure of confidential or exempt information. iv. Asking the question or making the address at the meeting The Chair of the Committee will invite the questioner to put the question to the person named in the notice. Alternatively, the Chair of the Committee will invite an address to the Committee for a period not exceeding three minutes. Every question must be put and answered without discussion but the person to whom the question has been put may decline to answer it or deal with it by a written answer. Every address must be made without discussion. v. The Chair and Members of the Committee are: Mr J Beckerleg (Chair of the Committee) Mrs A Battom Mr J Holman Ms G Scoular Mrs E Watson * * * * * Page 4 of 4 5 Agenda Item : 3 Joint Independent Audit Committee (JIAC) ACTION LOG –16 December 2020 Attendees: Members: John Beckerleg (JB), John Holman (JH), Gill Scoular (GS), Ann Battoms (AB) Helen King (HK), Neil Harris, EY (NH), Mark Lunn (ML), Kate Osborne (KO), Vaughan Ashcroft (VA), Julie Oliver NCFRA Officer (JO), Nick Alexander (NA), Jacinta Fru (JF), Emily Evans – Complaints manager (EE), Barry Mullen (BM), Richard Baldwin (RB), Simon Nickless (SN) Responsi Agenda Issue Action Comments ble 1 Welcome and apologies Chair • Nicci Marzec (NM), Rob Porter (RP), Duncan Wilkinson (DW), Paul Bullen (PB) • Edith Watson (EW), 2 Declarations of Interests Chair • 3 Meeting Log and Actions Chair • Agreed okay – 7th October 2020 Update on Corruption • VA – report presented in a structed way that helps committee see and Fraud Control and different aspects of process and procedures. Focus on self awareness 4a. i processes and empowering individual police officers and staff and what is expected SN/VA of them particularly in relation to integrity. Code of ethics – campaign to 4a. ii raise awareness of it. Included in training and on internal and external PFCC and CC websites. Action VA 4b CC Ethics Process • Action VA – can send appendices if members wanted to view • RP Legitimacy in HMICFRS inspection – was positive view in regards to NCFRA Northamptonshire Police behaviour • AB – gave thanks for report. Question about Suppliers and procurement team – how we ensure they’re are ethical etc. – VA MINT procurement team to ensure ethically sources items. And majority of suppliers are from national frameworks. New suppliers due to COVID background checks occurred to ensure suppliers are not fraudulent. Those companies found to be sub-par were not used. Page 1 of 9 6 • JH – asked for clarity around what is a gift and what crosses the line and appropriate use of vehicles – VA – gifts and gratuity policy does lay out value and appropriate gifts etc. all gifts accepted are logged. Use of vehicles – evidence is required and details of claim are scrutinised. Work provided vehicles being used for personalised use. VA – centralised booking process to ensure vehicles are booked for the right purposes and vehicles are not permitted to be taken home. Policies in place for Chief officer vehicles. • JB – good series of frameworks to promote honesty and integrity. How many examples of fraud have there been? VA – very few legitimate fraud claims. Most things are error or honest mistakes or low-level inappropriate claim or breaches the subsistence claim. Every issue found is challenged and corrected. NA – all are referred to PSD for examination. • SN – Ethics – fundamental for everything we do. Code of ethics and Nolan Principles. 9 policing principles derived from Nolan and adopted for policing and describes the standard of behaviour. Also operate within values of organisation. • NDM – adopted and embedded within operational policing • ACPO principles – balanced decisions • When it goes wrong – this is where we move into complaints or conduct regulations – Chief Constable delegates to SN who works with professional standard lead to decide if it was justified or if an investigation needs to take place. • How this is embedded – external and internal ethics committees. – preventative measures discussed and practical decisions • Transparency – these are published on the internet. Internal newsletter – The Standard shared within organisation. • JB – content of external committee – SN – generated internally. There is a national ethics committee – advice sought from these. • HK – gave thanks for report • SN – PSD can provide report for type of complaints can be reported to audit committee. Action - JB to consider if required • JH – flexibility to respond to changes in environment are the standard and values broad enough to respond flexible to changing demands – SN Action JB – yes, which is strengthened by national codes of ethics (college of policing).