Local code of corporate governance

Local code of corporate governance 2025/2026

Introduction 

Governance is about how the Council ensures it is doing the right things, in the right way, for the right people in a timely, inclusive, open, honest and accountable manner. It comprises systems, processes, cultures and values by which the Council is directed and controlled and through which it accounts to, engages with and, where appropriate, leads the community. The Leader of the Council and Chief Executive have a special relationship role as custodians of the Council’s governance arrangement, but good governance is also the responsibility of all Councillors and Officers.

The Chartered Institute of Public Finance and Accountancy, (CIPFA) and the Society of Local Authority Chief Executives (SOLACE) have published a framework document for Corporate Governance in Local Government, April 2016. The Royal Borough of Windsor and Maidenhead is committed to the principles of good corporate governance through the adoption and maintenance of a Local Code of Corporate Governance, as recommended by the CIPFA/SOLACE Framework. 

This Local Code of Corporate Governance therefore sets out and describes the Royal Borough of Windsor and Maidenhead’s commitment to corporate governance and identifies arrangements that will ensure its effective implementation and application in all aspects of the Council’s work. This Local Code of Corporate Governance will be reviewed by the Statutory Officers Group at least annually.

Policy Statement 

In conducting its business, the Royal Borough of Windsor and Maidenhead is fully committed to upholding the highest possible standards of good corporate governance, believing that good governance leads to high standards of management, strong performance, effective use of resources, increased public involvement and wider trust in the council.

Good governance flows from a framework of shared values, culture and behaviour and from systems and structures. This code of corporate governance is a public statement that sets out the framework through which the council meets its commitment to good corporate governance. It is underpinned by the CIPFA/SOLACE seven core principles of good governance.

The Core Principles of Good Governance 

The seven core principles of good governance as recognised by the CIPFA/SOLACE framework that will be adopted by the Council are as follows: - 

Core Principles of Good Governance

1. Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law.

2. Ensuring openness and comprehensive stakeholder engagement.

3. Defining outcomes in terms of sustainable economic, social, and environmental benefits.

4. Determining the interventions necessary to optimise the achievement of the intended outcomes.

5. Developing the entity’s capacity, including the capability of its leadership and the individuals within it.

6. Managing risks and performance through robust internal control and strong public financial management.

7. Implementing good practices in transparency, reporting, and audit to deliver effective accountability.

Applying the Principles of Good Governance

To achieve good governance, the Council will seek to apply each of the seven core principles, along with their supporting principles, through various different methods. 

Review the Council’s Corporate Governance Arrangements

The Council takes its Corporate Governance arrangements seriously and, as a result, has put in place a rigorous process of reviewing the arrangements on a regular basis. The process of review is set out below:

Council

Council has a responsibility to act upon the recommendations made by the Audit & Governance Committee via the Cabinet, in relation to the Council’s Local Code of Corporate Governance (LCCG).

This will be subject to any such recommendations being made by Cabinet.

Cabinet

Council has a responsibility to act upon the recommendations made by the Corporate Overview and Scrutiny Panel, (COSP) via the Cabinet, in relation to the Council’s Local Code of Corporate Governance (LCCG). This will be subject to any such recommendations being made by Cabinet.

Audit and Governance Committee

The Audit and Governance Committee will review on an annual basis the effectiveness of the Council’s corporate governance arrangements and will, where necessary, make recommendations to the Council and Cabinet on any issues arising. The Committee has the responsibility to:

• review the annual report on corporate governance through the AGS and recommend to the Leader of the Council and the Chief Executive for approval and publication with the Annual Statement of Accounts,
• oversee a comprehensive, inclusive and risk management approach to the AGS process,
• monitor the effective development and operation of Corporate Governance in the Council,
• support the assurance in the AGS and;
• oversee the governance process to ensure that strategic risks are being reviewed at Corporate Leadership Team (CLT) and across each Directorate.

Corporate Overview and Scrutiny Panel

The COSP will review the council’s Quarterly Assurance reports and Budget Monitoring Reports on a regular basis, to ensure that the appropriate scrutiny of decisions is being made. Additionally, COSP will be able to review council performance at a directorate level and make recommendations to the Cabinet on any issues arising.

Monitoring Officer

The Monitoring Officer will ensure compliance with established policies, procedures, laws and regulations. After consulting with the Head of Paid Service (Chief Executive) and the Executive Director of Resources/S151 Officer (The Chief Financial Officer), the Monitoring Officer is empowered under s5 Local Government and Housing Act 1989 to report to Council any proposal, decision or omission that would give rise to unlawfulness or mal-administration.

Constitution Working Group 

The Constitution Working Group (CWG) meets on a quarterly basis and reviews the Constitution based on recommendations by residents, Councillors and officers from all levels. This includes how efficiencies can be made or if new processes should be introduced, to provide clarity or to further strengthen governance processes.

Executive Leadership Team

The Executive Leadership Team (ELT) comprising of the Chief Executive, Executive Directors (including the Executive Director of Resources who is the Council’s s151 Officer), the Director of Public Health, the Monitoring Officer, Assistant Director of HR Corporate Projects and IT and the Assistant Director of Strategy Communications and Engagement meet weekly. Governance issues are raised at ELT and ELT receive regular progress reports relating to the Quarterly Assurance Reports and delivery of the Council’s Financial Recovery Plan and Transformation Plan.

Chief Financial Officer (Executive Director of Resources and s.151 Officer)

CIPFA has issued its Statement on the Role of the Chief Financial Officer in Local Government (2016). The Statement draws heavily on the Statement on the Role of the CFO in Public Service Organisations and applies the principles and roles set out in that document to local government. It sets out five principles that define the core activities and behaviours that belong specifically to the role of the CFO and the governance requirements needed to support them. The CFO within the authority is the Executive Director of Resources and s.151 Officer.

Directorate Management Teams (DMTs), Service Meetings and 121 Meetings

All Officers meet regularly and review governance arrangements within their directorates, services and individually, including business and service planning, financial management, performance management and risk management. Executive Directors and Assistant Directors are required to report any issues raised at such meetings to the Statutory Officers Group and any office may raise a governance concern through a range of measures, if they wish to.
 

The Annual Governance Statement (AGS) 

The preparation and publication of an integrated AGS is undertaken in accordance with the CIPFA/SOLACE Framework, and the statutory requirement set out in Regulation 6(1)(b) of the Accounts and Audit Regulations 2015.

The AGS, a formal document setting out how the Council will comply with governance arrangements, is signed by the Leader of the Council and the Chief Executive.

The A&GC will review and approve the AGS for signature during May/June of each year and the Statement will be published with the Council’s Annual Statement of Accounts. 

Applying the Principles of Good Governance 

To achieve and maintain good governance, the Council will seek to apply each of the six core principles above, along with their supporting principles, in the following way, representing recommended best practice: 

Principle A Behaving with integrity, demonstrating strong commitment to ethical values and respecting the law 

• The Council’s values are embedded in the Council Plan.
• There are Member and Officer Codes of Conduct which can be found in the Council’s Constitution.
• Councillors are also bound to declare certain interests, as well as any gifts and hospitality. These can be found on the Council’s website.
• The Council operates a Whistleblowing regime.

Principle B: Ensuring openness and comprehensive stakeholder engagement

• Subject to certain statutory exemptions, the Council conducts all meetings in public, with Minutes of those meetings published on the Council’s website.
• The Council publishes information under its publication scheme.
• E-Petitions can be found on the Council’s website.
• The Council regularly consults with its stakeholders. Details of current consultations can be found on the Council’s website.
• The Council complies with its obligations under the Freedom of Information Act 2000, details of which can be found on the Council’s website.

Principle C: Defining outcomes in terms of sustainable economic, social and environmental benefits

• The Council’s vision is described in the Council Plan.
• The Medium Term Financial Plan details the medium viability of the Council.
• The ‘Value for Money Statement’ can be seen here.

Principle D: Determining the interventions necessary to optimise the achievement of the intended outcomes

• The Council Plan and its annual review, details actions required to deliver the Council’s vision and aims.

• The Council Plan metrics are monitored and reported to Principal Officers and Members through the Quarterly Assurance Reporting (QAR)’s which incorporates outputs against Key Performance Indicators and risk. QARs are subject to extensive scrutiny to include the Performance Review Board, Member led Corporate Overview, Scrutiny Committee and Cabinet. 

• The Council has a statutory duty to publish certain performance plans, the purpose of which is to explain overall priorities and objectives, current performance and proposals for further development. These are reviewed quarterly by both Cabinet and COSP.

• Resourcing of the Council Plan is monitored and controlled through monthly budget reporting. 

• Projects arising out of the council’s transformation agenda are monitored and reported to officer led Directorate Transformation Boards, with collective oversight undertaken at the Corporate Transformation Board.

• The Performance & Resources Board meets monthly as part of a wider council approach to strengthening governance and oversight through greater scrutiny of finances, performance (including project delivery), risk and audit recommendations.

Principle E: Developing the entity’s capacity, including the capability of its leadership and the individuals within it

• Quarterly Assurance Reporting incorporates monitoring and reporting of key workforce metrics at a Directorate level to include sickness, turnover and vacancies

• All Councillors and Officers are subject to an Induction programme when joining the Council.

• Councillors are provided with mandatory training before sitting on certain regulatory Panels and/or Committees. These include both Licensing and Development Management. 

• The Executive Directors are obliged to monitor officer activity to ensure training is provided.

• All Officers are given mandatory routine training on health and safety, data protection, mental health awareness and equality and diversity which is monitored as part of the Council’s 121 policy.

Principle F: Managing risks and performance through robust internal control and strong public financial management

• The Council has a clear risk management policy in place. 

• An annual report is conducted which monitors the effective development and operation of risk management and corporate governance in the Council.

• The Council’s Corporate Risk Register is included in the Audit Plan and reviewed on a rolling basis by the A&GC.

• The Council details its Financial Regulations and Procurement and Contract rules and Procedures in Part 8C of the Council’s Constitution. 

• New spending commitments over £500 are sanctioned through a weekly Spending Control Panel. 

• The Financial Improvement and Sustainability Board (FISB) was established to provide external scrutiny and support to the council’s improvement and meets monthly. The FISB provides independent external advice, constructive critical challenge, and sector-wide expertise in driving forward the council’s financial recovery, including the further evolution and delivery of the Financial Improvement and Sustainability Plan and the ‘Future Shape RBWM’ transformation programme.

• A super tracker was established to track progress and report against delivery of all external recommendations in one place.

Principle G: Implementing good practices in transparency, reporting, and audit to deliver accountability

• Transparency data and the Council’s publication scheme give information about how the Council operates.
• The responsibility for services is detailed for Cabinet Members, and Officers.
• The Complaints process and policy can be found on the Council’s website.
• The Council’s Overview and Scrutiny Panels holds Cabinet decisions to account. This includes undertaking policy development and review performance monitoring, and external Scrutiny.
• Audit & Governance Committee reviews the work of management, internal and external audit.
• The Officer Audit Board was established to provide stronger governance at officer level.

https://rbwm.moderngov.co.uk/documents/b30558/Local%20Code%20of%20Corporate%20Governance%20Report%20Monday%2023-Jun-2025%2019.00%20Audit%20and%20Governance%20Committee.pdf?T=9