Version 2, Jan 2015
HFA –ASSURANCE MAP
Assurance Categories / Assurance Areas / Key Officer(s) / Source of Assurance / Issues/Notes /Independent / Second Line / Management /
Governance / Monitoring Officer
Authority and Committee operating arrangements / Code of Corporate Governance
Committee terms of reference, appointments/tenure etc
Committee effectiveness/member development plans
Reputation management/policies/communication strategies etc
Compliance with National Requirements (National Framework, legislation, nation reviews etc) / Executive Director Service Support / External Audit review of Governance statement
Internal audit review of governance arrangements/ Head of Internal Audit Opinion
(HW 13/14 review of governance structures) / GAS – monitor effective development of corporate governance in HFA
GAS oversight of AGS
HFA approval of AGS
HFA review and Chair sign off of Statement of Assurance
Monitoring Officer advice / Compliance with Constitution/Codes /Policy framework
Production of AGS
Production of Statement of Assurance covering Finance, Governance and Operations
CMT – oversight of internal control framework
Ethical Health / Member and Officer Codes of Conduct
Fraud and Corruption/Whistleblowing policies
Bribery Act
Declarations of Interest
Gifts and Hospitality
Equality & Diversity / Executive Director Service Support / Related Party Transactions review as part of annual accounts audit/opinion
Internal Audit commentary arising from relevant activity
NFI process / Compliance reviewed Boards/Committees (including third party assurance)
GAS overview of annual fraud self assessment return / Development, review and implementation of policy framework (Anti-Fraud and Corruption Policy, Whistleblowing Policy, code of conduct etc)
NFI matches review / Gaps in independent assurance
Check when latest bribery act assessment undertaken.
Risk 9
Strategic Business Planning / Strategic Plan
IRMP
Linkage/alignment with key enabling strategies / Chief Fire Officer / Financial Health Assessment
External Audit
Peer Review / Approval of Strategic Plan and IRMP by HFA / Strategic and financial planning framework
Civil Contingency Planning / National Resilience, Emergency Response, CCA
Business Continuity plans / Deputy Chief Fire Officer/Director of Finance / National Resilience Assurance Team (NRAT) review 2013 / GAS Committee review of arrangements
Reports to HFA / Business continuity plans; testing of plans, lessons learned
Local Resilience Forum
Information Governance & Communications / Data sharing and use
Data protection
Security Management / Director of Service Support / ULTIMA assessment (3 years ago)
Police assurance review on data sharing / Partnership protocols
Management of social media
Web management
Compliance with Government Protective ICT framework
CMT overview / Aiming for ISO27001
Risk Management
Risk Management Framework / Risk strategy; risk identification and management process; reporting arrangements.
Insurance arrangements
Equipment inspections / Paul Hayden / Internal Audit Review (yr 2)
Insurable risk profile
Equipment inspections / Risk and Opportunity Management quarterly performance reports to HFA and GAS.
Risk Management Arrangements overseen by GAS Committee and Authority. / Risk Management Annual Report
Programme & Risk Manager
Health & Safety / Incident reporting & management
Training / Director of Operations (South) / External scrutiny – major accidents (SYFR)
RoSPA Audit / Health and Safety quarterly performance report to HFA & GAS.
H&S Consultative Committee / Health & Safety Manager
Financial Management
Financial Regularity / Use of funds; investments;
Compliance with Financial Regulations, Treasury Management Policy
Accounts and Audit Regulations
Financial Accounts / Executive Director of Service Support/S.151 Officer / External Audit - Regularity Audit;
(HW review of treasury management)
Hull City Council third party assurance – treasury management / Authority approval of Financial Regulations;
Oversight of TM compliance by GAS and HFA / Financial Regulations; Financial Procedures; Compliance with CIPFA Code for TM.
Finance Manager
Financial Planning / Financial Forecast; Annual budget, Capital Programme / Executive Director of Service Support/S.151 Officer / External/internal audit / HFA financial monitoring
HFA budget setting and approval / MTFP
Budget monitoring / Risks 6
Financial Control / Budget Monitoring
Prudential Code
Contract Procedure Rules
Financial Procedure Rules / Executive Director of Service Support/S.151 Officer / Internal Audit review – combined financial systems
(HW 13/14 station review – financial management)
(HW 13/14 pensions, payroll, creditor payments, budgetary control, general ledger) / GAS - Consideration and comment on IA reports / Monthly management accounts
Prudential indicators.
Finance Manager
Procurement / Compliance with regulations
Achievement of VFM / Executive Director of Service Support/S.151 Officer / Internal Audit reviews
NFI Creditor matches / GAS – Consideration and comment on IA reports / Financial Procedures and Regulations.
Finance Manager
Procurement Hub
Information Technology
IT Utilisation / Benefits realisation
Business Efficiencies / Director of Service Support / Internal Audit VFM review of Mobile Computing
Internal Audit Review of Benefits Realisation process for Wide Area Network / GAS - Consideration and comment on IA reports / CMT – benefits realisation reviews.
ICT Manager
IT Strategy/Operation / National directives/systems
Partnership/collaboration / Director of Service Support / Internal Audit / GAS – Consideration and comment on IA reports / ICT Manager
ICT Strategy
IT Security / Network security
Anti-virus
Data storage and security
Password and access controls
Environmental controls (HVAC) of server rooms / Director of Service Support / Internal Audit / GAS – Consideration and comment on IA reports / ICT Manager / Risk 1
IT Applications / Incident Command software
Resource Management
Financial management
Mobile applications
Telecoms/radios/airwaves
Change management / Director of Service Support / Internal Audit / GAS – Consideration and comment on IA reports / ICT Manager
ICT Strategy / Risks 37, 49
Business Continuity/Disaster Recovery / Plan production
Testing
Contingency planning
Mobilisation of plans / Director of Service Support / (HW 13/14 ICT back up and recovery) / CMT / Business continuity plans in key areas
Civil Protection Manage
Business Interruption Mgt Team / Risk 30
Risk 14
Service Delivery
Operations Management / Control room
Fire stations
Security Management / Deputy Chief Fire Officer / Three yearly Peer Audit (March 2013) / Performance Management Reports to GAS & HFA
Peer Review / Operations Strategy
Operational Self Assessment
Operational Assurance Return
Business Safety / Business intelligence
Risk assessment / Director of Operations (South) / Internal Audit review of business safety / Performance Management Reports to GAS & HFA / Risks 12, 42, 43
Community Safety / Business intelligence
Risk assessment
Outcome review/impact assessments
Internal/external Communications
Partnership working (inter-agency)
Lessons learned / Director of Operations (North) / Performance Management Reports to GAS & HFA / Community Safety and Inclusion Strategy / Risks 16
Operational Competence / Training completion and effectiveness
PDRs
CPD
Clinical governance / Director of Commercial Services / Training Needs Analysis
Operational Training Manager / PDR Pro
Service Support
HR Management / Workforce planning and control
HR policy framework
Succession planning/business continuity
Training/CPD/Mandatory
PDR/Performance/Capability
Compliance with legislation
Equality/Diversity
Employment law
Conditions of Service
Occupational Health / Director of Service Support / Internal Audit - payroll controls / People Strategy
ORMT
Single Equality Scheme
Joint Consultative Committee / Review of HR delivery in progress.
Risks 9, 11, 30
Partnership working / Partnership Policy/protocol
Specific partnerships
Partnership feasibility/effectiveness / Director of Operations (North) / (HW 13/14 review Collaboration and Commissioning) / Annual performance report to GAS/HFA
Reports on major partnerships to GAS/HFA / Partnership Forum
Fleet & Equipment Management / Logistics/Utilisation
Cost and loss control (incl fuel/insurance)
Replacement Plans/Financing
Maintenance/Repairs
Vehicle strategy / Director of Service Support / GAS - Consideration and comment on IA reports / Tranman and Trackme Systems
Joint Venture Workshop/Fleet
Fleet/ Equipment Replacement Programme
Care packages (BA and PPE) / Risk 45
Asset Management / Asset recording & accounting
Additions and disposals
Estate & Asset Management
Estate & Asset Strategy
Estate & Asset Utilisation / Director of Service Support / Internal Audit / HFA Annual Estate & Asset Management Plan / Asset & Estate Manager
Asset Management Plans
I / Risks 46, 47, 48
Environmental Management / National and local targets
Sustainability agenda/strategy / Director of Service Support / ISO14001 Accreditation / Asset & Estate Manager
H&S Manager
Consultation/Engagement / Public consultation
Staff consultation
Communication Strategy / Laura Andrew / Annual CSE Audit
(HW 13/14 efficiency programme recs re consultation) / GAS receipt of CSE report
Authority receipt of CSE Report.
Annual complaints report to HFA / Bespoke consultation and engagement strategies developed by Corporate Communications. / Risk 16, 17
Performance Management
Performance Management Framework / Data quality
Quality of management information/decision making
Links to finance/risk/strategic planning management
PIs
Benchmarking / Paul Hayden / Internal Audit review of performance management – validation of SPIs and review of outcome based approach / Performance and risk report to HFA and GAS
HFA approval of PIs for year ahead / Annual Performance Report
Quarterly Performance and Risk Reports / Data quality audits?
Projects
Efficiency Programmes / VFM
Savings programmes / Paul Hayden / External Audit VFM conclusion
Internal Audit Savings Plan Review
(HW 13/14 Operational Efficiency Review) / GAS - Consideration and comment on IA reports / Service Redesign Programme Team / OEP being implemented
Project Management / Project/programme management control/approach
Specific project review
PIR/Lessons learned
Business cases / Paul Hayden / Internal Audit Review – WAN PIR / GAS – monitor effective development of project management in HFA / Project Register
Programme and project management PGNs
Programme & Risk Manager
HFR Solutions
Commercial/business strategy
Risk and opportunity management
Marketing and development / Director of Commercial Services / External Audit of accounts and key controls
CIC Return feedback / Quarterly report to HFA
2 elected members on Board
GAS review area / CIC Return
CIC Board