Department of Health

Website of the Department of Health

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Governance

Detailed guide to Governance including Risk Management and Assurance.  Statement on Internal Control and other statutory governance/assurance/audit details are also included.

Integrated Governance Handbook 2006

Published: 16/02/2006

Gateway reference 5947. We are pleased to announce the launch of the Integrated Governance Handbook as a further platform by which the patient-led NHS agenda can be enhanced. You will recall in Nigel Crisp's Chief Executive Bulletin on 17th November 2004 (Gateway reference 4161) that he mentioned this particular piece of work would be important to facilitate and move towards better governance across the NHS linked closely to the Department's Standards for Better Health and Monitor's document on FT governance arrangements. The Department of Health commissioned Michael Deighan and John Bullivant of the NHS Clinical Governance Support Team to produce this handbook. This handbook should be used by all members of NHS boards, especially NEDs and Chairs, and by governance leads, for the continued development towards good governance principles. Should you have any specific questions on this document, please contact the commissioned authors (Professor Michael Deighan and Dr John Bullivant) through Richard Douglas's office - richard.douglas@dh.gsi.gov.uk - and they will be happy to respond to your questions. The current version of the handbook is aimed primarily at NHS Trusts, although PCTs may also find it useful. Separate guidance on governance will be issued for PCTs.

Corporate Governance - Strategic Health Authorities, NHS Trusts and Primary Care trusts

Corporate Governance - Strategic Health Authorities

Gateway 6184 This document contains NHS Model Standing Orders, NHS Model Standing Financial Instructions and Model Schemes of Reservation and Delegation to NHS Boards for Strategic Health Authorities. This document was updated and issued at 23rd March 2006.

Corporate Governance - NHS Trusts

This document contains NHS Model Standing Orders, NHS Model Standing Financial Instructions and Model Schemes of Reservation and Delegation to NHS Boards for NHS Trusts. This document was updated and issued at 23rd March 2006.

Corporate Governance - Primary Care Trusts

This document contains NHS Model Standing Orders, NHS Model Standing Financial Instructions and Model Schemes of Reservation and Delegation to NHS Boards for Primary Care Trusts. This document was updated and issued at 23rd March 2006.

Governance

Martin Foulds is NHS Financial Controller, Department of Health with responsibility for NHS Governance.

Useful links

Governance useful links

Internal Audit in the NHS

Professional support to the NHS Internal Audit function is provided by the Internal Audit Practitioners Group (IAPG). The IAPG comprises representatives from Regional Audit Groups and links to the Department of Health (DH). It is representative of all internal audit providers to the NHS and informs the DH at a national level of professional issues. It provides a capacity to provide guidance to the profession as a result of policy decisions.

Prospective NHS FTs - useful links

All NHS Trusts should have the opportunity to apply for Foundation Trust status. The following link may be useful as part of this process.

Circulars and Guidance

Guidance: funds held on trust

Published: 03/01/2006

Published: 3 January 2005. This guidance gives a brief introduction to the general principles determining trustees responsibilities and how to apply to create a separate body of trustees. It provides information on the acceptance of donations and the transfer of charity funds held on trust between NHS bodies. It also includes a list of contacts.

The NHS Audit Committee Handbook 2005

Published 27 October 2005. Gateway reference 5706. The NHS Audit Committee Handbook is a joint publication between the Department of Health and the Healthcare Financial Management Association. HfMA will be publishing the Handbook and distributing hard copies. Further details about HfMA can be found at www.hfma.org.uk

Head of Internal Audit Opinion on the effectiveness of the system of internal control for the year ended 31 March 2006 - Gateway Reference: 6150

Statement on Internal Control and Controls Assurance Standards 2002/03

Guidance on the Audit of Financial Shared Services (Gateway 3420)

This high level guidance is aimed at NHS internal auditors who have responsibility for the audit of the user or provider organisation of a financial shared service.

Joint Protocol for Internal Audit and Clinical Audit

Internal Audit AF Guidance

National Heads of Audit Conference slides

Published: 01/11/2002

PFI Control Evaluation Framework

Published: 01/11/2001

Guide to the corporate governance and internal audit of major NHS PFI schemes

Guide to the Corporate Governance and Internal Audit of major NHS PFI schemes

Guidance written by the London City Audit Consortium

IAPG professional briefing note: Risk Based Audit IAPG Work Programme: Group 3 Paper

IAPG Work Programme: Group 3 Paper October 2002

Internal audit standards for the NHS

The NHS Internal Audit Standards effective from 1/4/02 have now been issued.

Board Paper on Assurance

Building An Assurance Framework: A Practical Guide for NHS Boards

Published: 01/03/2003

The Assurance Framework provides organisations with a simple but comprehensive method for the effective and focused management of the principal risks to meeting their objectives. It also provides a structure for the evidence to support the Statement on Internal Control. This simplifies Board reporting and the prioritisation of action plans, which, in turn, allow for more effective performance management.

Introduction and index to projects

Free Audit Software (Aardvark Automated IA Database)

A new piece of Audit Software has now been made available for NHS Internal Audit Teams. Please read the attached document for further information

Internal Audit in the Modernised NHS (Vision Document)

A letter from Colin L Reeves, Director of Finance, comcerning the development of a vision paper for the future of internal audit in the NHS.

Interface between Internal Audit and the Local Counter Fraud Specialists (LCFS)

A letter from Colin L Reeves, Director of Finance, and Jim Gee, Director of Service Counter Fraud Service, concerning the interface between Internal Audit and the Local Counter Fraud Specialists (LCFS)

Organisational Controls Assurance 2000/01 - Audit Opinion

Letter to CEs of HAs, NHS Trusts and PCTs.

Internal Audit and NHSLA Assessors - a protocol for co-operation

Published: 01/12/2000

Letter from T Crowley, chairman of the Internal Audit Practitioners Group about the development of the Protocol for Co-operation between Internal Audit and NHSLA Assessors.

Principles for Best Practice in Clinical Audit

Link to NICE publication 'Principles for Best Practice'

Head of Internal Audit opinion and cover note (gateway 4483)

Providing assurance on clinical governance: A practical guide for internal auditors

Published: 14/03/2005

This guidance sets out to provide an outline approach for internal auditors to follow when carrying out reviews of clinical governance frameworks and systems of internal control within clinical departments and in areas of clinical activity.

Statement on Internal Control and year-end guidance

Changes made to the Statement on Internal Control 2003/04

Published: 15/09/2003

Key changes include a requirement for documented evidence, disclosure of significant internal control issues and a move away from a standard template; achievement of full statements will be performance managed by Strategic Health Authorities; and mapping of criteria to Governance and Risk Management (Controls Assurance) Standards is underway and will be released early October.

Performance management arrangements 2003/04 NHS Trust and PCT statements on internal control

Published: 10/06/2003

This letter provides guidance to assist in performance managing NHS Trusts' and PCTs' achievement of full statements on Internal Control for 2003/4.

The development and implementation of integrated governance

This document from Professor Michael Deighan, Strategic Board Development Advisor, outlines the work currently being undertaken for integrating governance systems NHS wide

NHS Internal Audit Standards

Published: 28/06/2002

A letter from Richard Douglas concerning the new NHS Internal Audit Standards and the new Definition of Internal Audit.

Corporate governance framework manual for primary care trusts: Version 6

NHS Model Standing Orders, NHS Model Standing Financial Instructions and Model Schemes of Reservation and Delegation to NHS Boards have been updated on this web page at 23rd March 2006 Gateway reference 6184. There are separate versions available for Strategic Health Authorities, NHS Trusts and Primary Care Trusts and you should refer to these latest models. This document is being retained for reference purposes.

Links between assurance frameworks, performance reports and risk registers

Gateway reference 5117.

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