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
Introduction
• Context of Governance regulation in Wales
• Scrutiny of Governance• Principles of good governance• Exercise/Quiz• Evidencing Good Practice for Audit
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
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.
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
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 accountableSource: The Code of Good Governance – putting the code
into practice – www.governancecode.org
Exercise/Quiz
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
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.
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