VVeehhiiccllee OOppeerraattoorr SSeerrvviicceess AAggeenncc - PDF document

1 28 VVeehhiiccllee && OOppeerraatto
28 VVeehhiiccllee && OOppeerraattoorr SSeerrvviicceess AAggeennccyy ((VVOOSSAA)) CCoorrppoorraattee GGoovveerrnnaannccee FFrraammeewwoorrkk DDeecceemmbbeerr 22001122 28 28 ................................................................4 ........................................................................................... ............................................................. ................................................. .....................

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.........16..................................................................17.........................................................................................17................................................................................................17 28 corporate governance framework sets out the roles, responsibilities and accountabilities of howVOSA ettertoVOSA AccountingOfficer(AO)fromtheDepartmentforTransport(DfT)delegatingDfT CorporateGroup . T S T C O C T T G Th

4 eSecretaryofStaterequiresVOSA und
eSecretaryofStaterequiresVOSA und 12 28 maintainers are fully compliant with reglations.VOSA five VOSA approachtocomplianceisthroughariskandevidence- professional expertise in the work we do VOSA dsOSA (via the Motoring Services Board), toParliamentforVOSA itybyDfTtomanageVOSA resourcestosupporttheDfT visionof: 28 T F F R A VOSA AE P EAD ithsigningVOSA OSA tatements)andtheDirectors StewardshipCertificates,allofwhicharescrutinised a

5 nd endorsedbyVOSA Audit&RiskCommitteeahe
nd endorsedbyVOSA Audit&RiskCommitteeaheadofsubmission.CollectivelythesesupporttheachievementofVOSA that the oardsetsVOSA etsVOSA valuesandstandardsandensuresitsother stakeholders are understood and m TheDirectingBoardiscomprisedofVOSA ExecutiveDirectorsandtwoNon- M 28 ApprovalofVOSA long- ApprovalofVOSA long- elightofVOSA strategy, ExtensionofVOSA activitiesintonewbusinessor OSA business. continuity policy and procedures. MajorchangestoVOSA corporatestructure. ChangestoVOSA managementan

6 dcontrolstructure. governance statemen
dcontrolstructure. governance statement and remuneration report]. fVOSA riskandcA ApproveVOSA feesandcharges the Investment Board and within the budget approved by - 28 -or programme costs where the Change Board as required). DeterminingVOSA remunerationpolicyinlinewith irectingBoard own ReviewofVOSA overallgovernancearrangements. headcount. BP P toVOSA 28 guidance on the recruitment, appointment and deve. Operating Principles and Code of Conduct e VOSA OSA organisa

7 tionalstructure.EachDirectingBoardmember
tionalstructure.EachDirectingBoardmemberisgiventheopportunitytosuitable form of training related to their new responsibilities. OperatingprinciplesforallVOSA boardsandcommitteesareappendedin rialtoVOSA business.Anyrelevantinterestofspousesorpartnersshouldalsobedeclared.Directors with D OMEpossibly seeking to do business with of 28 AtthebeginningofeachmeetingthehairsofVOSA DirectingBoard,sub-boardsandcommitteescallforanydeclarationsofinterestfrommembersinrelationtoanyoftheitemsontheagenda.Anydeclarati

8 ons shallberecordedintheminutesandndivid
ons shallberecordedintheminutesandndividualconcernedshallwithdrawfromthemeetingandplaynopartintherelevant of the VOSA Staff Handbook ofVOSA activities. AIembers T A Aard performanceandthat A 10. TheAOisdelegatedauthoritybyDfTfortheuseofVOSA hisdelegationannuallyinwriting.ThisletterdefinestheAO leveloffinancialand ontractualauthorityrelatestotheabilitytoenterintocontractsonVOSA behalf. Investment & Change Board endorsement & 11. DiagramAbelowillustratestheoverallgovernancestructurewithinVOSAincludi

9 ngVOSA Corporate Governance Structure
ngVOSA Corporate Governance Structure of 28 ermanentSecretary(PrincipalAccountingOfficer) crutinyofCorporate&Operationalperformance crutinyofmanagement&Schemeaccounts overnanceofPillarSteeringGroups pprovesProjectInitiationDocumentsandproject onitoringofprogrammedashboards/projectportfolio racksBenefitsRealisationofprogrammes/projects aintainsoverviewofchangeportfolioandbudgetedspendagainstcapitalplan ommissionsdevelopment,approvesandprioritisesallchangeproposals ontractapprovals�£ 11.2 ssurances

10 inplacetomeettheDirectingBoard needsandr
inplacetomeettheDirectingBoard needsandreviewsthereliabilityand 3 ecommendationstotheDirectingBoardontheAgency widercontingentrewardpolicy. structure and communication, re 6 providing assurance to the Directing Boinvestment of public funds. evelopmentofchangeproposalstodeliverVOSA Blueprintandbusinessplans. IC of 28 7 Board(BPB):TheBusinessBoardhasbeendelegatedauthoritybytheDirectingBoardtoensureVOSA operational,schemeand rojectandprogrammeactivity, deliverVOSA businessplanand DiagramB:VOSA ProjectApprov

11 alandMonitoringFramework Case or Exce
alandMonitoringFramework Case or Exception Report must be presented to the ICB for approv 500korendorsesandrecommends onitorsprojectbenefits(asperBusinessCase)untilcompletio 12. VOSA strategicplanningprocessisencompassedinthedevelopmentofits5ye lueprint whichisalignedwiththe5pillars: VOSA keyperformanceframeworkDfT v ityoflifeinourcommunities OSA 13. of 28 oardbelievesallstaffshouldbefamiliarwithVOSA corporatestrategy,competition for recruitment of external candidates. OSA staffshould irector

12 or employee is aware. stepstoensurethat
or employee is aware. stepstoensurethatitsmembers,andVOSA staff, thatVOSA rulesfortherecruitmentandmanagementof 14. VOSA headcountwithinthefinancialyearis ockeddown withinVOSA approvedannual ExecutiveDirectors decisionatCatchUp 15. .1VOSAhasadoptedprocurementpolicieswhicharecompliantwithanypoliciesorguidanceissuedbytheCabinetOffice,DfT procurementpolicies,EUprocurementdirectives,theDfTCorporateGroupGovernanceFramework,DfTgovernancerequirementsandtoachieve of 28.2AllDirectingBoardmembersandemployee

13 swhoareincontactwithsuppliersandcontract
swhoareincontactwithsuppliersandcontractors,andinparticularthosewhoareauthorisedtoapprovepurchaseorders,orplacecontractsforgoods,materialsorservices,areexpectedtoadheretoprofessionalssetoutinsectionA2.3oftheDfTprocurementmanual.Theyshouldmakesureactionsarewithintheirdelegatedauthorityandthatappropriateauthorisationisgainedwhereitisnecessary.Directorsandselectedstaffdeclarethistobethecaseintheirannual .3FairandopencompetitionbetweenprospectivecontractorsorsuppliersforVOSA contractsisarequirementofprocurementpolic

14 yandofEUdirectivesonpublicpurchasingans
yandofEUdirectivesonpublicpurchasingans that: Noprivate,publicorvoluntaryorganisationorcompanywhichmaybidforVOSAequirements.Thisappliestoallpotentialcontractors,whetherornotthereisarelationshipbetweenthemandVOSA,suchasalong-runningseriesofprevious Eachnewcontractshouldbeawardedsolelyonmerit,takingintoaccounttherequirementsofVOSA includingvalueformoneyandtheabilityofthecontractorstof .4TheDirectingBoardshouldensurethatnospecialfavourisshowntocurrentorformeremployeesortheircloserelativesorassociatesinawardingcont

15 ractstoprivateorotherbusinessesrunbythem
ractstoprivateorotherbusinessesrunbythemoremployingtheminaseniororrelevantmanagerialcapacity.Contractsmaybeawardedtosuchbusinesseswheretheyarewoninfaircompetitionagainstothertenders,butscrupulouscaremustbetakentoensurethattheselection .5VOSAtakesstepstoensurethatallinvitationstopotentialcontractorstotenderforVOSAbusinessincludeanoticewarningtenderersoftheconsequencesofengaginginanycorrupt 16. VOSA riskappetitestatementisasfollows: heVOSADirectingBoardappreciatesthatsettingaRiskAppetitecontributestotheAgency

16 related risk policies. DfT has stated t
related risk policies. DfT has stated that the resources available for managing risk are finite and so its aim is to achieve optimum response to risk, prioritis HavingconsideredVOSA capabilities,theBoardhassetguidancefortheAgencyonriskappetite of 28 consider all options and choose the one that is most likely to result in successful delivery while also gency primarypurposeis,however,thedeliveryofenforcement,testeducational services. The Board has set a TheDirectorsrecognisethatinnovationandopportuniti

17 estoimproveVOSA serviceswillrequire VOS
estoimproveVOSA serviceswillrequire VOSA systemofinternalcontrolisdesignedtomanagerisktoareasonablelevelrather AOSA policies, E embedded a risk management system which is reviewed during the year by the Audit and Risk Committee while the Directing Board considers the Key Business Risk Register at each managementtheDirectingBoardmaycallfora iskspotlight reportinrelationtoasbeenbuiltintotheAgency planningsystemsandisembeddedinallntisanintegralpartofVOSA qualityprocesseswithin and reports the top key business risk

18 s to DfT on a monthly basis. Government
s to DfT on a monthly basis. Government Internal Audit Standards and the working practices as described under the DfT nit functionsareestablishedbychievingVOSA .1VOSA OSA p of 28 18. VOSA DirectingBoardcontributestoVOSA commitmenttothetransparencyagendabypublishing,onVOSA website,thisCorporateGovernanceFrameworkdocument: andtheDirectingBoard agendas,minutesandanypaperswithunprotectedmarkings of 28 19. epartmentforTransport,isa and customers and values complaints, suggestions and compl

19 iments as a means to improve business pr
iments as a means to improve business practices and omplaintspolicyandprocedurescanbefoundonVOSA websiteat: 21. b S holders of public office should make choices on merits. Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate leadership and example. of 28 TochampionVOSA values: We accept responsibility and accountability for what we do. We take T 2 Takeresponsibilityfortheboardorcommittee compos

20 itionanddevelopment. EP mmittee work. EE
itionanddevelopment. EP mmittee work. EEngagethemembersinassessingandimprovingtheboardorcommittee performance OS A3 A.4 ing on of 28 of 28 and managed and allowing the AO to effectively discharge his role. EnsuringVOSA obligationstocustomersandotherstakeholdersareEnsuringVOSA financialstrategycontainsavalueformoneyplanandthatrebalancing of funds, setting of the budget, setting fees a SettingoutthekeyprioritiesforfutureyearstoinformdevelopmentofVOSA A fully embedded within VOSA through regu

21 lar reviews of high level risk, includin
lar reviews of high level risk, including setting the risk appetite.ApprovingVOSA annualbusinessplanandAnnualReportandaccounts. of 28 ssurancesinplacetomeettheDirectingBoard needsandreviewsthe VOSA twoNon- finalisation of the accounts and the Governance Statement, summarising its Statement.heHeadofInternalAudit dequacyandeffectivenessoftheorganisation riskmanagement,controlandTheplannedactivityandresultsofbothinternalandexternalauditandtheadequacyofmanagementresponsetoissuesidentifiedb

22 yauditactivity,includingexternalaudit ma
yauditactivity,includingexternalaudit managementletter. ongoingmanagementassurance,eg.MYMAS,EYMAS, andstewardshipstatements,tosupportmidandyearendaccountability,reportingand thelevelofconfidencerequiredinassurances,includingtheextenttowhichtherangeofassuranceproviderscanbereliedonbyInternalAuditinaccordanceWhereappropriate,proposalsfortenderingforeitherInternalorExternalAuditTheaccountingpolicies,theaccounts,andtheinternalreportoftheorganisation,including theprocessforreviewoftheaccountspriortosubmissionforaudi

23 t,levelsoferroridentified,andmanagement
t,levelsoferroridentified,andmanagement letterofrepresentationtotheexternalTheintegrityofthefinancialstatementsreviewingsignificantfinancialreportingEngageswithExternalAudittoconsidertherelevantauditreports,management of 28lettersandotheroutputs,considerthe plannedapproachandcooperationwithInternalAudittomaximiseauditefficiency,captureopportunitiestoderiveagreaterReviewsanyplansbyExternalAudittocarryoutvalueformoneyauditsintConstructivelychallengesassuranceprovidersastowhetherthescopeoftheiractivitymeetstheDi

24 rectingBoard needsandtheactualassurances
rectingBoard needsandtheactualassurancestotestthattheyarefoundedinsufficientreliableevidenceandthattheconclusionsareDrawsattentiontostrengthsandweaknessesincontrolandmakesuggestionstoProvidesassurancethatriskisappropriatelymanagedordrawattentiontoareasofConsidersmattersrelatingtothecontrolenvironmentincludingethicalbehaviour,fraudpolicies,whistle-blowingprocessesandarrangementsforspecialConsidersreportsofallegedimproprietyandotherseriousbreachesofrulesandProvidesassurancethatVOSA InternalAuditmeetsthestandardsof

25 theMaintainsawarenessofAuditandRiskbestp
theMaintainsawarenessofAuditandRiskbestpractice.VOSAwillsupportthetrainingTheChairofthisCommitteealsocontributestoensuringcrossDepartmentalassurancesystemsareworkingeffectivelythroughmembershipoftheDfTGroup confidential access to the chair of the ARC. Chair of the DfT Group Audit Committee. meetings, as deemed necessary. The Directing Board or the AO may also ask the Aommittee advice. 3 Executive Directors from DfT Executive Agencies. of 28 VOSA H

26 ealthandSafetyManager Ensuring
ealthandSafetyManager EnsuringH&SpolicyisreflectedinVOSA plans,prioritiesandtargets. ScrutinisingH&SdatatoensuretheAgency H&Spolicyandguidanceisbeing optadditionalmembersfromVOSA staff,(withtheagreementoftherelevant Committee to convene further meetings to discuss particular issues on which they mittee advice. of 28 of 28 (excluding SCS grades), particularly bonus levels. This Committee may also rdontheAgency widercontingent ConsiderationoftheannualperformanceofL10Director

27 sandotherstaffwhereapplicable,ensuringac
sandotherstaffwhereapplicable,ensuringacomprehensiveassessmentofalloutcomesandareviewof ResponsiblefordecisionsinrelationtothepaymentofL10Director bonusesgivingconsiderationtoanyrelevantweightingfactorsthatreflectrelationshipsas DeterminingthepayofnewL10DirectorsandmakerecommendationsonrtisedsalariesforexternalrecruitmentandstartingsalariesonpromotiontoL10. ConsideringwhetherL10Directorsareeligibleforbenefitsunderanylong- Shoulditberequired,theCommitteeisresponsibleforappointingany Providingrecommendationstothe

28 DirectingBoardontheAgency wider Ensuring
DirectingBoardontheAgency wider EnsuringtheAgency remunerationforL10DirectorsfollowscurrentCabinet of 28 oardtogovernthedevelopmentofchangeproposalstodeliverVOSA IC . across VOSA or in response to changes in the wider government agenda. of 28 of 28 oardtoensureVOSA rogrammeactivityisdeliveringVOSA businessplanandthatperformance MonitoringandsupervisingVOSA performanceagainstobjectives,targetsand the resources deployed. ProvidingscrutinyofthedeliveryofVOSA allprojectsan