Wales Charity Law and Governance
Conference 2014
Breakout Group 1-
Evidencing policies and good governance
Presented by:-
...
Introduction
• Context of Governance regulation in
Wales
• Scrutiny of Governance
• Principles of good governance
• Exerci...
Context of Governance Regulation in Wales
• Guidance on Governance from Charity
Commission
• Guidance from Intermediary Bo...
Closer Scrutiny
• Early 2013 BIG Lottery Board established
a group to consider implications of
AWEMA and response of major...
Welsh Government Good
Governance Group
• Membership
– All lottery boards
– Welsh Government Audit Commission
– Health Boar...
Principles of Good Governance
An effective Board will provide good governance and
leadership by:-
• Understanding their ro...
Exercise/Quiz
Evidencing for Audit – A folder of
policies is not enough
An organisation needs to prove that the
Board:-
• Has systems fo...
What constitutes proof? – Some
examples
• Policies (use footer that shows review dates)
• Board and sub-group Minutes (sig...
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Evidencing policies and good governance

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Evidencing policies and good governance

  1. 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. 2. Introduction • Context of Governance regulation in Wales • Scrutiny of Governance • Principles of good governance • Exercise/Quiz • Evidencing Good Practice for Audit
  3. 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. 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. 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. 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
  7. 7. Exercise/Quiz
  8. 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. 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.
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