Policy paper

Annex B: wider guidance

Published 28 September 2022

Applies to England

The following general guidance documents, instructions and other sources of information apply to arm’s length bodies (ALBs). The Department of Health and Social Care (DHSC) may require NHS Business Services Authority (NHSBSA) to provide additional management information on an ad hoc basis. Where this is the case, the department will provide NHSBSA with clear reasons for the request and will allow as much time as possible to comply with the request. 

General guidance 

General guidance includes:

• this document (the framework agreement between DHSC and NHSBSA)
• appropriate adaptations of sections of Corporate governance in central government departments: code of good practice and its related guidance
• Code of conduct for board members of public bodies 
• guidance for ministerial appointments to public bodies
• Managing Public Money
• Public Sector Internal Audit Standards (PSIAS)
• Orange Book: Management of Risk – Principles and Concepts
• Government Financial Reporting Manual (FReM)
• relevant HMT ‘Dear Accounting Officer’ letters
• Government Functional Standard GovS 013: Counter Fraud
• the Parliamentary and Health Service Ombudsman’s principles of good administration
• Partnerships between departments and arm’s length bodies: code of good practice
• appropriate adaptations of sections of Model Code for Staff of Executive Non-Departmental Public Bodies (Cabinet Office) in Public bodies: a guide for departments (Chapter 5: Public body staff)
• relevant Freedom of Information Act guidance and instructions from the Ministry of Justice, and the Freedom of Information Code of Practice from the Cabinet Office 
• Consolidation Officer Memorandum, and relevant DCO letters
• other relevant guidance and instructions issued by HM Treasury in respect of Whole of Government Accounts
• other relevant instructions and guidance issued by the central departments
• specific instructions and guidance issued by DHSC, including requests for information
• any departmental plans to ensure continuity of services
• recommendations made by the Public Accounts Committee, or by other Parliamentary authority, that have been accepted by the government
• the relevant Functional Standards

Specific areas in the framework agreement 

The role of the sponsorship team 

See:

• Partnerships with arm’s length bodies: code of good practice
• accounting officers
• Managing Public Money – Chapter 3: Accounting officers
• relevant Dear Accounting Officer letters

Governance and accountability  

See:

• Corporate governance in central government departments: code of good practice
• relevant Functional Standards
• Managing Public Money – Annex 3.1: the Governance Statement

Appointment and responsibilities of the chief executive, the board and chair  

See:

• Public Appointments No2, Order in Council
• Governance Code for Public Appointments
• The Seven Principles of Public Life
• the Parliamentary and Health Service Ombudsman’s principles of good administration
• individual board member responsibilities
• 12 Principles of Governance for all Public Body NEDs

Delegated and spending authorities 

See:

•  Managing Public Money – Annex 2.2: Delegated authorities (and other appropriate sections)
• DHSC Delegations letter

Procurement 

See:

• Commercial Operating Standards
• Grants Standards
• the Public Contract Regulations 2015

Risk management 

See:

• Orange Book: Management of Risk – Principles and Concepts

Counter fraud and theft 

See:

• Government Functional Standard GovS 013: Counter Fraud
• Managing Public Money – Annex 4.9: Fraud

Human resources 

See:

• DHSC pay framework for very senior managers  in special health authorities
• pay and conditions of service in the Civil service management code
• guidance for approval of senior pay
• Public bodies: a guide for departments (Chapter 5: Public body staff)
• Public sector pay and terms: guidance note
• Managing Public Money – proposals on severance rules in Chapter 4: Governance and management

Finance (banking and managing cash, annual report and accounts, audit) 

• Government Financial Reporting Manual (FReM)
• Public Sector Internal Audit Standards (PSIAS)
• Managing Public Money – fees and charges guide in Chapter 6: Fees, charges and levies
• Managing Public Money – Annex 5.6: Banking and managing cash

Arrangements in the event that the ALB is wound up 

See:

• Public bodies: a guide for departments (Chapter 10: Dissolving a public body)

DHSC-specific guidance

Estates and sustainability

See:

• Greening Government Commitments
• Government Property Unit national property controls and standards for office accommodation (available from DHSC)
• DHSC’s property asset management procedures (available from DHSC)

Information governance and security 

See:

• HMG IA Standard No. 6: Protecting Personal Data and Managing Information Risk (available from DHSC)
• HM Government’s security policy framework
• Information Security Management: NHS Code of Practice
• Confidentiality:NHS Code of Practice.
• NHS Records Management Code of Practice
• NHS Data Security and Protection Toolkit

Transparency 

See:

• appropriate sections of Managing Public Money
• appropriate sections of this framework agreement
• Annex C: public-facing communications protocol
• Freedom of Information Act