4.3.8 - All premises in which advice is provided Health and Safety register must meet all relevant legislation and current health and safety standards 4.3.9 - Premises should be kept in good Detail any maintenance contracts/Landlord decorative order and adequately heated responsibilities 4.3.10 - Clients and staff should have access Detail of toilet facilities and maintenance to clean and safe toilet facilities 4.4.1 - Accounts prepared and externally Evidence of annual audited accounts audited (or prepared as appropriate) within 6 Details of external accountant auditors months of year end 4.4.2 - Internal financial records of appropriate Financial policies and procedures standard Financial Reports annual, quarterly, monthly – 4.4.3 - Financial updates for Board/committee Evidence of financial reports for Board at least quarterly Board Agenda 4.4 - Financial Financial policies and procedures controls Financial forecasting 4.4.4 - Financial systems, checks and balances Financial restructuring that can ensure accountability, probity and Annual profit and loss accounts minimal exposure to financial risk Annual balance sheet Fraud policy and procedure 4.4.5 - Ideally have financial reserves Reserves policy and procedure equivalent to 6 months running costs Financial policies and procedures Risk policy and strategy 4.5.1 - Risk Policy and Strategy in place Conflict of Interest 4.5.2 - Risk Register up to date and reviewed Risk register at least 6 monthly 4.5.3 - Major risks being actively reviewed by Board agenda Board/Committee and managed by senior staff Evidence of risk reports for Board 4.5.4 - Board/committee members covered by Insurance policies 4.5 - Risk Directors and Officers liability insurance Management 4.5.5 - appropriately recorded and Risk policy and procedure managed 4.5.6 - Adviser supervision and case checking Case management policy and procedure at appropriate level to reflect risk and track Case File Reviews record Quality of Advice Audit 4.5.7 - All premises, staff and clients to be Insurance policies covered by appropriate insurance
4.3.8 - All premises in which advice is provided must meet all relevant legislation and current health and safety standards Health and Safety register 4.3.9 - Premises should be kept in good decorative order and adequately heated Detail any maintenance contracts/Landlord responsibilities 4.3.10 - Clients and staff should have access to clean and safe toilet facilities Detail of toilet facilities and maintenance 4.4 - Financial controls 4.4.1 - Accounts prepared and externally audited (or prepared as appropriate) within 6 months of year end Evidence of annual audited accounts Details of external accountant auditors 4.4.2 - Internal financial records of appropriate standard Financial policies and procedures Financial Reports – annual, quarterly, monthly 4.4.3 - Financial updates for Board/committee at least quarterly Evidence of financial reports for Board Board Agenda 4.4.4 - Financial systems, checks and balances that can ensure accountability, probity and minimal exposure to financial risk Financial policies and procedures Financial forecasting Financial restructuring Annual profit and loss accounts Annual balance sheet Fraud policy and procedure 4.4.5 - Ideally have financial reserves equivalent to 6 months running costs Reserves policy and procedure Financial policies and procedures 4.5 - Risk Management 4.5.1 - Risk Policy and Strategy in place Risk policy and strategy Conflict of Interest 4.5.2 - Risk Register up to date and reviewed at least 6 monthly Risk register 4.5.3 - Major risks being actively reviewed by Board/Committee and managed by senior staff Board agenda Evidence of risk reports for Board 4.5.4 - Board/committee members covered by Directors and Officers liability insurance Insurance policies 4.5.5 - appropriately recorded and managed Risk policy and procedure 4.5.6 - Adviser supervision and case checking at appropriate level to reflect risk and track record Case management policy and procedure Case File Reviews Quality of Advice Audit 4.5.7 - All premises, staff and clients to be covered by appropriate insurance Insurance policies
niaqs_example_evidence_for_gap_analysis.docx