7.6 Role of the Accountable Officer 33 7.7 Role of the Chief Finance Officer 34 7.8 Role of the Lay Member (Governance) 35 7.9 Role of the Lay Member (Patient & Public Involvement) 35 7.10 Role of the Lay Member (Audit) 36 7.11 Role of the Lay Member (Financial Management) 36 7.12 Role of the Secondary Care Doctor of the Governing Body 36 7.13 Role of the Registered Nurse of the Governing Body 37 8 Standards of Business Conduct & Managing Conflicts of Interest 38 8.1 Standards of Business Conduct 38 8.2 Conflicts of Interest 39 8.3 Declaring and registering interests 41 8.4 Managing conflicts of interest: general 42 8.5 Managing conflicts of interest: contractors and people who provide services to the CCG 44 8.6 Transparency in procuring services 45 9 The CCG as Employer 46 10 Transparency, Ways of Working and Standing Orders 47 10.1 General 47 10.2 Standing orders 47 Appendices A Standing Orders 49 B Scheme of Reservation & Delegation 66 C Prime Financial Policies 70 D The Nolan Principles 83 E The Seven Key Principles of the NHS Constitution 84 Terms of Reference (CCG Committees) 85-144 F Audit, Risk and Scrutiny Committee Terms of Reference 85 Auditor Panel Terms of Reference 95 G Finance, Procurement & Contracting Committee Terms of Reference 100 H Primary Care Commissioning Committee Terms of Reference 107 J Quality, Safety & Outcomes Committee Terms of Reference 116 K Remuneration Committee Interim Terms of Reference 124 L Human Resources Committee Terms of Reference 132 M Healthy Liverpool Programme Board Terms of Reference 138 N NHS Liverpool CCG Proxy Voting Form 145
ANNUAL ACCOUNTS AND REPORTS POLICY The group will produce and submit to NHS England* accounts and reports in accordance with all statutory obligations, relevant accounting standards and accounting best practice in the form and content and at the time required by NHS England*. PROCEDURE The Chief Finance Officer will ensure the group: (through the Audit Committee) prepares a timetable for producing the annual report and accounts and agrees it with external auditors and the Audit Committee; prepares the annual report and accounts according to the timetable approved by the Audit Committee, presents the report and accounts to the Governing Body for approval and ensures the appropriate signing and submission of the report and accounts, as required; complies with statutory requirements and relevant directions for the publication of the annual report; considers the external auditor’s management letter and fully addresses all issues within agreed timescales; and publishes the external auditor’s management letter on the Group’s website at In addition, this letter is available upon request at NHS Liverpool CCG headquarters or upon application either by: Post – The Department, Lewis’s Building2 Renshaw Street, L1 2SA Email - INFORMATION TECHNOLOGY POLICY The group will ensure the accuracy and security of the Group’s computerised financial data. PROCEDURE The chief finance officer is responsible for the accuracy and security of the Group’s computerised financial data and shall
devise and implement any necessary procedures to ensure adequate (reasonable) protection of the Group’s data, programs and computer hardware from accidental or intentional disclosure to unauthorised persons, deletion or modification, theft or damage, having due regard for the Data Protection Act 1998, Information Governance, Freedom of Information requirements. ensure that adequate (reasonable) controls exist over data entry, processing, storage, transmission and output to ensure security, privacy, accuracy, completeness, and timeliness of the data, as well as the efficient and effective operation of the system; ensure that adequate controls exist such that the computer operation is separated from development, maintenance and amendment; ensure that an adequate management (audit) trail exists through the computerised system and that such computer audit reviews as the Chief Finance Officer may consider necessary are being carried out. ACCOUNTING SYSTEMS POLICY The group will create and maintain an appropriate accounting system that creates management and financial accounts PROCEDURE The chief finance officer will ensure: the group has suitable financial software and appropriate assurance arrangements to enable it to comply with these policies and any consolidation requirements of NHS England and legislation; that contracts for computer services for financial applications with another health organisation or any other agency shall clearly define the responsibility of all parties for the security, privacy, accuracy, completeness, and timeliness of data during processing, transmission and storage. The contract should also ensure rights of access for audit purposes. Where another health organisation or any other agency provides a computer service for financial applications, the chief finance officer shall periodically seek assurances that adequate controls are in opera
The Committee will support the objectives of the CCG and its Governing Body, including the provision of assurance to the Governing Body on the effectiveness of its internal systems of control. 3.0 ACCOUNTABILITY The Committee shall be authorised to decide on proposals and recommendations put to it within the powers delegated to it by the Governing Body, and as detailed in these Terms of Reference and NHS Liverpool CCG’s Scheme of Delegation as outlined in NHS Liverpool CCG’s Constitution. The Chair, advised by the Committee shall determine whether a matter should be reported in writing to the Governing Body for decision or ratification, and/or the content of any summary report for the purposes of providing assurance/oversight to the Governing Body. The Committee is authorised by the Governing Body to undertake any activity within its Terms of Reference and is authorised to seek any information it requires from any and all employees directed to co-operate with any reasonable request made by the Committee. In line with recognised best practice, the audit committee shall complete an assessment of their effectiveness each year, including a review of the terms of reference for the committee. Use of recognised checklists will provide the basis for this review with the objective of identifying areas of both good practice and improvement. The work and effectiveness of all other established Committees of the CCG will be assessed and be subject to regular monitoring by the Audit Risk & Scrutiny Committee, which shall (as part of its assurance function) undertake at least one formal annual review of each established Committee including the completion of a committee self- assessment process In support of this, the Committee shall also request and review reports and positive assurances from directors and managers on the overall arrangements for governance, risk management and internal control. The Committee may also request specific reports from individual functions or subcommittees within the Clinical Commissioning Group as they may be appropriate to the overall arrangements. The Committee will, at all times, have due regard to the public sector equality duty and the CCG’s overall equality objectives. 4.0 MEMBERSHIP The Committee shall be appointed by NHS Liverpool CCG from amongst its Governing Body Members and Senior Management Team. The Committee shall comprise of: