this to specific eligible costs/activities incurred/delivered? College actions taken Has the college complied with the funding requirements around managing subcontracting provision? Propriety follow Nolan principles and the specific corporate governance codes adopted by the corporation (the Financial Reporting Council’s UK – Corporate Governance Code 2010 or the English Colleges’ Foundation Code of Governance and its Audit and Accountability Annex code) avoiding personal benefit Area Source ref. Questions College response Supporting evidence (suggested in brackets) Clear protocols to Bribery Act Does the college have a policy for personal Gifts and hospitality policy mitigate against 2010 gifts and/or hospitality? corruption (in addition to Proceeds of Does the college have a register of personal Register of interests register of interests) for Crime Act 2002 interests which extends to staff in relevant example policies on position of trust (for example, procurement Basic charitable acceptance of gifts Minutes officer, partnership contract managers and principle: and/or hospitality so on)? Act in good Is the procurement process clearly Financial regulations and procedures faith for the documented in college financial regulations benefit of the or financial procedures? college Essential ‘The Trustee’ Conflicts of interest and PAC guidance Does the clerk maintain a register of Register of interests and access related parties. Clear personal interests in accordance with the arrangements/requests framework and instrument of government, and is this monitoring of such register available to any person wishing to transactions must extend inspect it? Staff structure with names of key staff in to all staff in significant Does it cover all governors and key staff with a position of authority procurement positions significant financial and decision making (for example, liaison with responsibility? partners, partner / Summary of potential conflicts and associate operatives and actions taken to mitigate project heads) Clear whistleblowing Has the corporation approved a procedure Whistleblowing policy. procedures for handling whistleblowing that enables concerns to be raised confidentially inside, and, if necessary, outside, the college?
this to specific eligible costs/activities incurred/delivered? Has the college complied with the funding requirements around managing subcontracting provision? College actions taken Propriety – follow Nolan principles and the specific corporate governance codes adopted by the corporation (the Financial Reporting Council’s UK Corporate Governance Code 2010 or the English Colleges’ Foundation Code of Governance and its Audit and Accountability Annex code) avoiding personal benefit Area Source ref. Questions College response Supporting evidence (suggested in brackets) Clear protocols to mitigate against corruption (in addition to register of interests) for example policies on acceptance of gifts and/or hospitality Bribery Act 2010 Proceeds of Crime Act 2002 Basic charitable principle: Act in good faith for the benefit of the college ‘The Essential Trustee’ Does the college have a policy for personal gifts and/or hospitality? Does the college have a register of personal interests which extends to staff in relevant position of trust (for example, procurement officer, partnership contract managers and so on)? Is the procurement process clearly documented in college financial regulations or financial procedures? Gifts and hospitality policy Register of interests Minutes Financial regulations and procedures Conflicts of interest and related parties. Clear framework and monitoring of such transactions must extend to all staff in significant procurement positions (for example, liaison with partners, partner / associate operatives and project heads) PAC guidance Does the clerk maintain a register of personal interests in accordance with the instrument of government, and is this register available to any person wishing to inspect it? Does it cover all governors and key staff with significant financial and decision making responsibility? Register of interests and access arrangements/requests Staff structure with names of key staff in a position of authority Summary of potential conflicts and actions taken to mitigate Clear whistleblowing procedures Has the corporation approved a procedure for handling whistleblowing that enables concerns to be raised confidentially inside, and, if necessary, outside, the college? Whistleblowing policy.
Regularity%20self%20assessment%20in%20word%20format%20sept%202014.docx