Sheet 1: Start Page

	
	

		
Cobseo Governance Practices Self-Reporting Tool (updated Feb 2022) 
		
		
	

		


		
	

		
Dear Member, 

This Governance Practices Self-Reporting Tool was developed to provide a user-friendly means for Cobseo Members, and prospective members, constituted as charities to self-assess the consistency of their governance practices with the principles and best practice set out in the Charity Governance Code. The Governance Tool should be completed in conjunction with study of the Cobseo Governance Practices Aide Memoire and Information Note, and the more specific guidance on Safeguarding, Data Protection and Fundraising, all of which can be found online at: www.cobseo.org.uk/governance.
                                                                                                                                                                                                                                                                                                                                  
On the next four tabs at the bottom of this document, Members will find a sheet for each of the 'Expectations' of good governance listed in the Aide Memoire. Here, the individual governance measures required for each expectation are presented as statements. Members should put a lower case ‘x’ in the box adjacent to each statement that represents an activity being undertaken by their organisation or leave blank if an activity is not being undertaken. An optional comment box adjacent to each statement is available for Members to expand on their answers if they feel inclined to do so. If the statement is not applicable to your organisaiton, Members should still mark the box with an 'x' but also include a comment explaining why. 

Where a charity has an alternative way of undertaking a specific governance measure and believes it meets the requirements described in the Aide Memoire, it should be marked with a lower case 'x' and a short explanation of their approach given in the comments box.

The last tab of this document, the Ans. Page, provides Members with a score for each of the four expectations and an overall score. A RAG scoring and status system is in place for an organisation to check how consistent their organisation's governance scores are with the Aide Memoire. It should be the aim of all organisations to be achieving or seeking to achieve a green, 'good governance' status. The results are also displayed in a chart to further visualise the Member's scores and RAG system. This results page should assist Members to identify any areas of governance that may require further attention or refinement at their organisation.

After completing the self-reporting tool Members should forward the completed file to governance@cobseo.org.uk with the subject line 'Member Self-Reporting Tool *Organisation Name*'. Members are invited to discuss their self-evaluation with the Cobseo Governance Support Team, on an 'in confidence' basis, to identify the support and assistance available.

Thank you
Cobseo Governance Support Team
		
	

		
	

		


		
	

		
Please note, by filling out this self-evaluation you are confirming you (as a representative of a Member organisation) have read and understood the Cobseo Governance Practices Aide Memoire. 

You also agree to be honest in your completion of this self-evaluation in order to represent fairly and accurately your organisation and its practices.
		
	

		


		
	

		
Member Representative Information:
		
	

		
Organisation Name
		


		
	

		
Name of Representative Completing the Self-Evaluation
		


		
	

		
Email Address of Representative
		


		
	

		
Date of Completion 
		


		



Sheet 2: Trustee Responsibilities

	
	
	
	
	

		
Cobseo Self-Reporting Tool: Governance Practices

Trustee Responsibilites & Capabilities 
		
		
	

		


		
	

		
Sets of Measures
		
Statements on Specific Measures
		
Mark cell with a 'x'
if the measure is currently being performed at organisation. Also mark if not applicable but include a comment as to why.
		
Comments
	
	

		
	

		
Trustee recruitment & promotion of equality, diversity and inclusion
		
A skills audit of the Trustees has been conducted recently (i.e. within the last three years)
		


		


	
	

		
Job descriptions for Trustee vacancies include a full description of the role and responsibilities, provide flexibility in the competences and experience required, and are set out in inclusive language.
		


		


	
	

		
Recruitment of Trustees is undertaken on the basis of open competition (e.g. roles are widely publicised) with appointments made based on competency and relevant experience, and in accordance with the principles of equality, diversity and inclusion.

(Organisations with one or more Trusteeships reserved for election from the organisation's membership or similar should still adopt these principles in encouraging and selecting candidates) 
		


		


	
	

		
The organisation can demonstrate a clear, agreed, and effective approach to supporting equality, diversity and inclusion Trustees recruitment.
(e.g. a statement is available on the website or in a report)
		


		


	
	

		
The Trustee Board creates a welcoming and supportive culture which reflect its ethics and values, and recognises the importance of maintaining the public's trust.

		


		


	
	

		
Trustee terms of reference & understanding of responsibilities
		
Each Trustee has a term of reference that explains their role and responsibilities to the Board, including details of length of appointment, attendance requirements and maintaining knowledge of the organisation through training, visits and/or other activities.
		


		


	
	

		
Evidence is available to demonstrate all Trustees recognise they understand they have equal responsibility and liability for the decisions made by the Board and are familiar with the Charity Commission guidance (CC3) or similiar home nation document.
		


		


	
	

		
Each Trustee, upon appointment, confirms they understand their responsibilities to the organisation and their fellow Trustees on the Board by signing a Code of Conduct.

(This Code should include an acceptance that decisions are made in accordance with the organisation's objects, all Trustees have equal status on the Board, a commitment to follow Board procedures, are considerate in their behaviour and will uphold the Nolan Principles or similar declaration)
		


		


	
	

		
Each Trustee understands they must declare at any time conflicts of interest to ensure they receive no personal benefit from their role. 

(Where a Trustee is permitted a benefit under the organisation's articles this should be disclosed openly)
		


		


	
	

		
Each Trustee understands they must declare gifts and hospitality received to ensure they are not personally compromised from performing their role as Trustee 
		


		


	
	

		
Trustee induction, training and time limits
		
Each Trustee has an understanding of the work of the organisation before commencing on the Board.
		


		


	
	

		
Each Trustee completes an induction programme when joining the organisation.
		


		


	
	

		
The Board has agreed the content of a Trustee Handbook (or similar) documentation as part of the induction process, including copies of the organisation's founding documents, finances, policies and business plan.
		


		


	
	

		
Each Trustee refreshes their knowledge of the work of the organisation regularly, whenever possible this should ideally be annually.
		


		


	
	

		
The Board has an agreed maximum time period a Trustee should serve on the board before standing down or being subject to a re-selection process.

(if served for more than 9 years, re-selection of the continuing Trustee should be a more thorough process and documented appropriately by mentioned in the annual report, or similar document)
		


		


	
	

		
Trustee performance
		
An annual review is initiated by the Chair of Trustees, of the objectives the Board has been pursuing during the year.
		


		


	
	

		
Regular consideration is also given to any measures that would make serving as a Trustee more accessible. 
		


		


	
	

		
The review procedure for the Trustees includes, as a minimum, a reflective discussion individually or collectively with the Chair or a senior executive.
		


		


	
	

		
The review procedure for the Trustees concludes with the Chair, or a senior executive, acknowledging their achievements and taking note of points to consider for the following period.
		


		


	
	

		
The Chair of the Trustees Board is also subject to some form of periodic review or reflective discussion.
		


		


	



Sheet 3: Board Effectiveness

	
	
	
	
	

		
Cobseo Self-Reporting Tool: Governance Practices 

Board Effectiveness 
		
		
	

		


		
	

		
Sets of Measures
		
Statements on Specific Measures
		
Mark cell with a 'x'
if the measure is currently being performed at organisation. Also mark if not applicable but include a comment as to why.
		
Comments
	
	

		
	

		
Board organisation & documentation
		
The composition of the Board of Trustees and its terms of reference are available online and through publications.
		


		


	
	

		
The Board can demonstrate the rationale for the number of Trustees required.

(The Charity Commission advise that the normal range for Trustee Boards is 5-12)
		


		


	
	

		
The Board can demonstrate the rationale for the number of meetings required per year. 

(e.g. three Board meetings per year is considered to be a minimum frequency for a Board to be effective, unless there are good reasons to the contrary)
		


		


	
	

		
The quorum necessary for the Board to take decisions is clearly stated in the organisation's governing documents.
		


		


	
	

		
A documentary record of each Board meeting is taken. 

(i.e. the documentation for each meeting should include an agenda, written minutes, a record of decisions and a set of Board papers. These documents should be archived for future reference)
		


		


	
	

		
Board activities & individual responsibilites 
		
The Board has defined and communicated to the organisation a regular time period for the review of its governing documents, vision and values statements or similar (at least every 5 years).
		


		


	
	

		
The Board has prepared and agreed a Governance Statement for inclusion in the Trustees' Annual Report, or similar document.
		


		


	
	

		
The Board has elected a Vice Chair, or is able to justify why one is not required. 

(e.g. a justification for no Vice Chair may be due to size of organisation or adoption of a different Board structure)
		


		


	
	

		
The Chair creates a meeting environment, supplemented by bilateral discussions during the year, that provides Trustees with an opportunity to voice concerns, and to ensure that the full breath of views on Board business is heard.
		


		


	
	

		
Individual Trustees take on the oversight of specific requirements, social responsibilities and policy implementation for sensitive areas of activities. 

(e.g. data protection, safeguarding, fundraising and/or financial probity)
		


		


	
	

		
Board delegations
		
A formal written relationship is established between the Board of a parent organisation and the Board of each subsidiary and this relationship is reviewed at least every three years by the Trustees. 

(If there are none, advise in the comments box and score with an 'x')
		


		


	
	

		
The Chief Executive's (CE) objectives, delegations, performance reporting and success criteria are agreed by the Board.  

(Where an organisation does not have a CE an explanation on how the CE function is achieved should be clearly documented)
		


		


	
	

		
Any Board sub-committees are chaired by a Trustee and have a written terms of reference and written delegations. 

(If there are none, advise in the comments box and score with an 'x')
		


		


	
	

		
Each Board sub-committee Chair is also a member of the Board of Trustees. 

(If there are none, advise in the comments box and score with an 'x')
		


		


	
	

		
Where both roles exist, it can be demonstrated that the responsibilities of the Chair of the Trustee Board are distinct and seperate from the duties of the Chief Executive.
		


		


	
	

		
Board conflicts of interests
		
Each Board meeting has an agenda item requiring participants to declare any actual or potential conflicts of interest relating to the published agenda and a record kept on how any declared interest was addressed.
		


		


	
	

		
A disclosable register (declaration) is maintained of the business and private interests of the Trustees and senior officers and Trustees that may impact on the organisation and updated at least once a year.
		


		


	
	

		
A disclosable register is maintained of hospitality and gifts received or offered to the Trustees and staff and updated frequently.
		


		


	
	

		
Both the Register of Interests and Register of Hospitality and Gifts have been made available for scrutiny. 

(e.g. by placing the registers, or similar, on the organisation's website or making available in some other way) 
		


		


	
	

		
The Board has a clearly defined approach to resolving disputes that cannot be settled amicably by Trustees, including seeking external assistance if necessary.