Devon and Torbay Combined County Authority Assurance framework

Contents

1. Preamble

This Assurance Framework was endorsed by the Shadow Devon and Torbay Combined
Authority at its meeting on 31 January 2025.

The key elements of the DTCCA’s governance framework (including its constitution) will
be considered and formally ratified at its inaugural meeting being held on 19 March
2025.

2. Background

This Framework describes the checks and balances that will ensure the DTCCA uses
public money responsibly, openly and transparently, and accountably, to achieve best
value for money for the area.

The DTCCA is committed to ensuring accountability for its activities and spending, both
to HM Government as well as businesses and residents.

The Assurance Framework is a reference document for use by all members, o􀆯icers,
local authority partners, businesses and residents. It sets out the local systems and
arrangements, employed by the DTCCA, for ensuring public money is allocated in an
appropriate manner, in accordance with legal, fiscal and best value requirements.

The Framework describes the arrangements for managing the Investment Programme
and the systems to ensure that resources are spent with regularity, propriety, and value
for money, whilst at the same time achieving intended outcomes. The Framework
applies to all decisions, approvals, and funding bids, regimes, and projects.

The Framework sits alongside other documents:

  • The Devon and Torbay Devolution Deal agreed in January 2024.
  • The final proposal for the DTCCA that was submitted by Devon County Council and Torbay Council to Government in May 2024.
  • The Devon and Torbay Combined County Authority Regulations 2024.
  • The DTCCA Constitution

The DTCCA is committed to ensuring the highest standards of governance,
accountability and transparency across all aspects of its activities and will review this
Assurance Framework on a regular basis.

The DTCCA has established Advisory Groups which form part of its operation but have
no formal decision-making powers. They are:

  • Business Advisory Group – to provide advice and support to the DTCCA on business and economy matters.
  • Skills and Employment Advisory Group – to provide advice and support to the DTCCA on skills and employment matters.
  • Housing Advisory Group – to build on the previous Devon Housing Task Force and its partnerships, working jointly with Homes England and housing authorities across Devon and Torbay.
  • Climate Change and Net Zero Advisory Group – building on the work and structure of the Devon Climate Change and Emergency Response partnerships and groups.
  • Transport Advisory Group – the voice of the transport industry to advise, guide, and inform the DTCCA in supporting it to fulfil its local transport authority function.
  • Investment Advisory Group – to bring together representatives from each of the other Advisory Groups to provide advice and guidance to the DTCCA on funding and investment.

3. Constitution of the Devon and Torbay Combined
County Authority

The Constitution of the Devon and Torbay Combined County Authority will be formally agreed by the Board at its inaugural meeting being held on 19 March 2025 after which it will be published on CCA website.

The DTCCA’s constitution describes the CCA’s membership, namely:

  • Six constituent members appointed by the two Constituent Councils. Each Council has appointed one Lead Member (the Leader of the Council) and two further elected members.
  • Four non-constituent members, of which two are members nominated by the Devon District Forum to act as district representatives. The Devon, Cornwall and Isles of Scilly Police and Crime Commissioner (PCC) is also a non-constituent member. There is a vacancy for the one remaining non-constituent member.
  • Two associate members being the Chair of the Business Advisory Group and the Chair of the Skills and Employment Advisory Group. Associate members are to be non-voting members, in accordance with the Levelling Up and Regeneration Act 2003.
  • The constitution sets out the voting arrangements of the CCA, including matters which can only be agreed or determined by the Constituent members (Reserved Matters). All other matters are general matters and the constitution sets out the voting requirements for each function and power.

Matters reserved for the Constituent Councils include:

Strategy and Policy

The adoption of, and any amendment to or withdrawal of any major strategy or policy of
the DTCCA.

Frameworks

The adoption, amendment, or withdrawal of the following framework documents:

  • Assurance Framework;
  • Monitoring & Evaluation Framework;
  • Performance Management Framework; and,
  • Risk Management Framework.

Financial matters

  • Approving the DTCCA budget.
  • Approving the estimates of income and expenditure and the setting of a transport levy pursuant to the Transport Levying Bodies Regulations 1992.
  • Approving the borrowing limits of the DTCCA, including determining the borrowing limits of the DTCCA in relation to transport matters pursuant to section 3 of the Local Government Act 2003.
  • Approving the Treasury Management Strategy and the Investment Strategy of the DTCCA.
  • Approving the capital programme of the DTCCA and approving new transport schemes.
  • The preparation of a local economic assessment under section 69 of the Local Democracy, Economic Development and Construction Act 2009.

People

  • Approving the appointment of the Head of Paid Service, Monitoring Officer, Chief Finance Officer (S73 Officer).
  • Making decisions in relation to the establishment and remuneration of posts whose remuneration is, or is proposed to be, £100,000 and above (or pro rata thereto).
  • Making decisions in relation to settlements and severance packages on termination of appointment in excess of £100,000.
  • The determination of collective terms and conditions of staff.

Governance

Decisions related to:

  • Membership and governance (including voting rights);
  • The election of the Chair and Vice-Chair;
  • Adoption and amendment of the Constitution (other than changes delegated to the monitoring Officer) in line with the provisions of section 14 of the 2023 Act;
  • Adopt the Member Code of Conduct and arrangements therein;
  • Establishment and membership of Committees and Sub-Committees;
  • Establishment and membership of Joint Committees and Commissions;
  • Approve the nomination of Lead Member responsibilities and membership and chairs of committees and sub-committees;
  • Approval of any allowance schemes;
  • Appointment of an Independent Person of the Audit and Governance Committee;
  • Delegation of functions to third parties;
  • Establishment of Trading Companies;
  • Any other matters reserved to the Group.

The DTCCA shall exercise the general power of competence in relation to any of its functions after having due regard to the advice of the Monitoring Officer and S73 Officer.

The DTCCA’s Constitution includes sections relating to:

  • Officer Code of Conduct
  • The Local Government Association’s “Model Councillor Code of Conduct”
  • Arrangements for Appointment, Disqualification and Dismissal of Non-Constituent and Associate Members
  • Member and O􀆯icer Protocol
  • Complaints Procedure
  • Consents Protocol (City, Districts and National Parks)
  • Anti-fraud and Corruption Policy
  • Officer Employment Procedure Rules
  • Whistleblowing Policy
  • Recruitment and Selection Policy
  • Gifts and Hospitality Policy
  • Contract Procedure Rules (to include procurement)
  • Financial Regulations
  • Protocol for acquisition and disposal of land and property

The DTCCA will also adopt the following policies, procedures and schemes to underpin good governance, and high standards of integrity and transparency:

  • Freedom of Information
  • Information Governance and Data Protection
  • Members’ Remuneration and Allowances
  • Anti-Money Laundering

The DTCCA will maintain a register of forthcoming decisions (“the forward plan”) in accordance with the requirements of the Local Authorities (Executive Arrangements)(Meetings and Access to Information) (England) Regulations 2012. It includes a description of the item to be considered; who the decision maker will be; when the decision will be taken; details of any planned consultation; and contact details for further information (including reports and background papers).

4. Overview and Scrutiny Committee

The DTCCA has appointed an Overview and Scrutiny Committee to monitor the decision
making of the DTCCA and ensure that the decision making is appropriately focussed on
community needs, and that high quality delivery is taking place for the benefit of the
area.

The members of the Overview and Scrutiny Committee are di􀆯erent individuals from
those who are members of the DTCCA Board. The political balance of the Overview and
Scrutiny Committee reflects the political make-up of the constituent councils. It
includes at least two members nominated from each constituent council as well as
representatives from the district councils.

The DTCCA will consider how to best ensure wider relevant partners (such as from the
business, education, skills community, voluntary and social enterprise sectors) are
represented electively on the Committee, though they will have no voting rights.

The Chair of the Overview and Scrutiny Committee will be an Independent Person as
required by The Devon and Torbay Combined County Authority Regulations 2025.

5. Audit and Governance Committee

The DTCCA has appointed an Audit and Governance Committee to support and monitor
the authority in the areas of governance, risk management, external audit, internal
audit, financial reporting, and other related areas to ensure that the financial and
governance decision making is sound.

At least two members of the Audit and Governance Committee are nominated from
each constituent council of the DTCCA. At least one member is nominated by the
district councils.

The Audit and Governance Committee is politically balanced to reflect the political
make-up of the Constituent Councils. Members of the Audit and Governance
Committee are not the same individuals as those representatives who are members of
the DTCCA. The DTCCA will ensure that the Audit and Governance Committee has the
appropriate membership (including an Independent Person) to ensure effective
oversight CCA’s overall assurance arrangements.

6. Internal Audit

Internal audit evaluates the effectiveness of an organisation’s risk management, control
and governance frameworks, taking into account public sector internal auditing
standards or guidance. The role of internal audit is to:

  • understand the key risks;
  • examine and evaluate the adequacy and effectiveness of the system of risk
  • management and the entire control environment as operated throughout the
  • organisation; and
  • contribute to the proper, economic, efficient and effective use of resources.


The Devon Assurance Partnership is a shared service arrangement between Devon
County Council, Torbay Council, Plymouth City Council, Mid Devon District Council,
Torridge District Council, North Devon District Council, and the Devon and Somerset
Fire and Rescue Authority. It was constituted under Section 101 of the 1975 Local
Government Act and later under Section 20 of the Local Government Act 2000. The
Partnership delivers internal audit and assurance services, including fraud and risk
management, to its partners as well as external clients.

At its meeting on 14 November 2024, the Devon Audit Partnership Committee agreed
that the DTCCA would join the DAP as a non-voting partner. Some of the Devon
Assurance Partnership’s internal auditing of Devon County Council’s and Torbay
Council’s underpinning systems will be valuable to the DTCCA. During 2025/26, the
Devon Assurance Partnership will audit the CCA’s governance arrangements and risk
register. This will inform the work it undertakes in subsequent years.

This will ensure that the DTCCA is subject to independent, objective assurance and
consulting activities that add value and improve its operations. It will help the CCA
accomplish its objectives by bringing a systematic, disciplined approach to evaluating
and improving the e􀆯ectiveness of risk management, control, and governance
processes.

7. External Auditor

The DTCCA will have independently audited accounts to plan, make informed
decisions, and manage services.

For audits of accounts from 1 April 2018, Public Sector Audit Appointments Limited
(PSAA) is responsible for appointing an auditor to principal local government and police
bodies that have chosen to opt into its national auditor appointment arrangements. The
Appointing Person scheme operated by PSAA is covered by the following legislation:

Local Audit and Accountability Act 2014 – (LAAA 2014)
The Local Audit (Appointing Person) Regulations 2015 – (LA(AP) Regs 2015)

Under LAAA 2014, a newly established body can either appoint its own auditor or opt-in
to PSAA’s national scheme. As a newly established body, DTCCA is eligible to become
an opted-in authority and following its inaugural meeting is expected to make the
necessary arrangements to do so.

The auditor will produce an annual report confirming its opinion on the DTCCA’s
financial statements and any significant matters in relation to the CCA arrangements for
securing economy, efficiency, and effectiveness in its use of resources. The auditor will
undertake its reviews under three main criteria:

Best Value: It will examine the strengths and weaknesses of the CCA’s approach to improving economy, efficiency, and effectiveness.

Financial Sustainability: it will confirm whether the CCA’s financial statements

give a true and fair view of the financial position at the end of each financial year.

Governance: It will report its judgement on whether the CCA has proper arrangements in place regarding financial sustainability and governance

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