HFMA NHS corporate governance map February 2021 NHS corporate governance map A tool that maps key NHS corporate governance guidance Updated February 2021 Contents Introduction 3 Quality 15-16 Strategic framework 4 Workforce 16 NHS constitution 5 Conflicts of interest 16 Officer responsibilities 5-6 Procuring goods and services 17 Strategic planning 6-7 Corporate services 17 System governance 7-8 Fraud 17 Enabling good governance Whistleblowing 18 Codes of conduct 10 Information governance 18 Codes of governance 10-11 Cyber security 19 Standing orders, standing financial instructions 11 Mergers, acquisitions and subsidiaries 19 and scheme of delegation Financial reporting and annual governance 19-20 Audit committees 11-12 reports Ethical standards 12 Devolved nations 21 Specific areas of assurance Northern Ireland 22 Board assurance frameworks 14 Scotland 23 Risk management 15 Wales 24 Assessment 15 HFMA NHS corporate governance map 2 The accountable officer of each NHS Whatever your level of expertise in this organisation has the responsibility for area, the map is a helpful tool with links maintaining a sound system of internal to key documents all in one place. control and governance that supports the Introduction The map is split into four sections: achievement of the organisation’s policies, aims and objectives, while safeguarding • Strategic framework The HFMA has produced an NHS quality standards and public funds. Robust • Enabling good governance corporate governance map. The governance policies and procedures must • Specific areas of assurance map brings together the key be in place, and regularly evaluated, to • Devolved nations. guidance and models to support support this assurance. It signposts the model documents and effective corporate governance In an ever-changing environment, with new guidance available, and when they within the NHS and will be regularly risks emerging and systems and controls were last updated. The map is not changing, procedures and policies must be intended to be exhaustive but provides updated. regularly reviewed and updated to ensure links to key references. that they remain fit for purpose. Much of the guidance will be of interest In order to support our members in across the United Kingdom. However, developing and reviewing appropriate guidance and tools specific to the corporate governance frameworks, the devolved nations are included HFMA has created a map of key corporate separately in section four. governance guidance. The HFMA’s Covid- 19 guidance map supplements this map, The map will be updated periodically as providing links to specific guidance available new guidance is produced. as a result of the pandemic. Aimed at NHS boards, governing bodies, audit committees and those NHS staff with an interest in governance, the purpose of the NHS corporate governance map is to highlight the published resources that support the development and maintenance of effective governance arrangements. Strategic framework The first section of the map focuses on the It is clear that the national approach now strategic framework within which NHS reflects a move from competition to organisations operate. It includes reference to collaboration. As system working material to help organisations and officers increases, existing governance understand the overall principles, frameworks and tools remain applicable. responsibilities and vision for the NHS. However, specific guidance to support This context is important in establishing and the changing ways of working are maintaining good organisational governance available. This section includes tools to arrangements that comply with the NHS help organisations develop their constitution and national policies. framework within existing structures that also support partnership working across Operating within a climate of change and the system. challenge, this section also covers the current national expectations for strategic planning and the guidance available. HFMA NHS corporate governance map 4 Strategic framework Area Links to tools and guidance Last updated Department of Health and Social Care: The NHS constitution Establishes the principles and January 2021 NHS constitution values of the NHS in England Department of Health and Social Care and Public Health England: Handbook to the NHS January 2021 Constitution for England Sets out current guidance on the rights, pledges, duties and responsibilities established by the constitution Department of Health and Social Care: Report on the effect of the NHS Constitution: 2019 January 2019 Provides an indication of current levels of public and staff understanding, awareness, support and use of the constitution NHS England: NHS clinical commissioning group constitution Template to set out the arrangements made by the clinical commissioning group to meet its responsibilities for December 2018 commissioning care for the people for whom it is responsible HFMA: Tools for decision making Webinar on making better decisions at difficult times May 2020 Officer responsibilities CIPFA: The role of the head of internal audit in public sector organisations Sets out the role of April 2019 the head of internal audit in public service organisations to help organisations engage with and support the role HFMA/CIPFA: Guidance for chief finance officers working across health and local February 2019 government Considers the implications for a CFO working in a dual arrangement HM Treasury: Managing public money Sets out the main principles for dealing with resources in March 2018 UK public sector organisations Care Quality Commission (CQC): Regulation 5: fit and proper persons: directors Guidance for providers/CQC inspectors on directors’ fit and proper persons requirement January 2018 HFMA: The role of the NHS chief finance officer Focuses on the skills, values and core activities of NHS chief finance officers November 2017 HM Treasury: Accounting officer assessments: guidance Designed to help accounting officers and officials who are advising accounting officers faced with challenging decisions on policy and September 2017 spending initiatives and projects HFMA NHS corporate governance map 5 Officer responsibilities (continued) HM Treasury: The accounting officer’s survival guide Intended to help accounting officers December 2015 understand their responsibilities and resolve problems arising Monitor: NHS foundation trusts: accounting officer’s responsibilities Sets out the role and August 2015 responsibilities of an NHS foundation trust accounting officer Strategic planning Department of Health and Social Care: Working together to improve health and social February 2021 care for all White paper setting out legislative proposals for a health and care bill The King’s Fund: Brexit and the end of the transition period: what does it mean for the January 2021 health and care system? Considers what the new deal means for health and care NHS England and NHS Improvement: Operational priorities for winter and 2021/22 Letter December 2020 providing information of the operational priorities for winter and beyond Department of Health and Social Care: The government’s 2020-2021 mandate to NHS March 2020 England and NHS Improvement Sets out their objectives and budgets for 2020 to 2021 HFMA: Covid-19 financial governance considerations Issues for organisations to consider March 2020 NHS England and NHS Improvement: NHS premises assurance model Model to support February 2020 boards, directors of finance and estates and clinical leaders with estates decision -making. NAO: NHS financial management and sustainability Examines the financial performance of NHS organisations and service transformation and sustainability February 2020 NAO: Departmental overview: Department of Health and Social Care 2019 Focius on responsibilities, how it spends its money, key developments and findings from our recent reports October 2019 Department of Health and Social Care: Health infrastructure plan: a new strategic approach October 2019 to improving our hospitals and health infrastructure The plan sets out a five-year programme of investment in health infrastructure August 2019 NHS: The NHS long-term plan Provides a framework for local systems to develop plans, based on principles of collaboration and co-design NHS: Long-term plan implementation framework Further detail on how the commitments in the June 2019 NHS long-term plan will be delivered HFMA NHS corporate governance map 6 Strategic planning NHS: Designing integrated care systems (ICSs) in England Sets out the different levels of June 2019 (continued) management that make up an integrated care system, describing their core functions, the rationale behind them and how they will work together HFMA: A summary of the NHS long-term plan Summarises the key points in the NHS long-term January 2019 plan NHS England and NHS Improvement: Long-term financial model (LTFM) and system modelling tools Tools to help forecast the finances, activity and workforce in both the trust and October 2018 system NHS England and NHS Improvement: Next steps on the NHS five-year forward view Explores March 2017 the main NHS improvement priorities for 2017/18 and 2018/19 Monitor: Strategy development: a toolkit for NHS providers A toolkit to support all NHS August 2015 providers in developing clear and well thought out strategies Monitor: Strategy development: a guide for NHS foundation trust boards Explains the role of NHS foundation trust board members in developing clear strategies October 2014 System governance DHSC and MCLG: Better