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Evidencing policies and good governance
1. Wales Charity Law and Governance
Conference 2014
Breakout Group 1-
Evidencing policies and good governance
Presented by:-
Carol Green Director SCVS
Chris Watson SCVS Trustee and Company
Secretary
2. Introduction
• Context of Governance regulation in
Wales
• Scrutiny of Governance
• Principles of good governance
• Exercise/Quiz
• Evidencing Good Practice for Audit
3. Context of Governance Regulation in Wales
• Guidance on Governance from Charity
Commission
• Guidance from Intermediary Bodies
(CVCs/WCVA)
• October 2012 Awema Report –
highlighted deficits in governance
• Plas Madoc Community 1st Partnership
4. Closer Scrutiny
• Early 2013 BIG Lottery Board established
a group to consider implications of
AWEMA and response of major funders
in Wales
• November 2013 Welsh Government set
up Good Governance Group as part of its
Grants Management Project.
5. Welsh Government Good
Governance Group
• Membership
– All lottery boards
– Welsh Government Audit Commission
– Health Boards
– WLGA
– WCVA
– Wales Association of CVCs
• Aims and purpose of group
– Sharing information and concerns
– Developing guidelines/sharing good practice
– Raising awareness of governance issues
– Consideration of ‘early warning’ signs giving cause for concern
– Consider notification on a case by case basis
6. Principles of Good Governance
An effective Board will provide good governance and
leadership by:-
• Understanding their role
• Ensuring delivery of organisational purpose
• Working effectively both as individuals and as a team
• Exercising effective control
• Behaving with integrity and
• Being open and accountable
Source: The Code of Good Governance – putting the code
into practice – www.governancecode.org
8. Evidencing for Audit – A folder of
policies is not enough
An organisation needs to prove that the
Board:-
• Has systems for regular review
• Annual meeting with Audit (without staff)
• Trustees are aware of processes
• Trustees are aware of legal & financial compliance
• Processes for control and evidence for decisions taken
particularly (where these may not conform to norm)
• Trustees can demonstrate probity and integrity by:-
– Complaints procedure
– Codes of conduct
– Conflict of interest policy and register (also standing declaration at
each Board meeting
9. What constitutes proof? – Some
examples
• Policies (use footer that shows review dates)
• Board and sub-group Minutes (signed)
• Clear minutes that show decisions taken with action to be
followed up
• Agendas
• Completed EO forms, conflict of interest forms (signed/dated)
• Staff supervision notes (signed/dated)
• Notes of regular review meetings, with list of attendees
• Roles and remits
• Trustee induction programme and note of attendance
• Trustee letter of appointment showing the
documents/information given to them and a signed acceptance
receipt.