What is your Charity’s Compliance Record Form?
The document is the Charities Governance Code Compliance Record Form, which all registered charities must complete annually to demonstrate compliance with the Charities Governance Code. It provides a structured format for charities to document actions taken and evidence supporting their adherence to governance standards. It’s not submitted to the Charity Regulator but you need to maintain it in case the Regulator asks for a copy.
Each section includes space for charities to document actions taken and evidence proving compliance.
Key Points of the Document:
- Basic Charity Details – Name, Registration Charity Number (RCN), Annual Reporting Period, and Board Approval Date.
- Purpose of the Form – Charities use it to record their compliance with governance standards and retain it for potential review by the Charities Regulator.
- Guidelines for Compliance – Expectations vary based on the complexity of the charity (volunteer-only, staff-run, or complex organizations).
- Six Governance Principles & Compliance Areas:
- Advancing Charitable Purpose – Clarity on mission, strategic planning, resource management, and periodic review.
- Behaving with Integrity – Establishing core values, conflict of interest policies, and board conduct codes.
- Leading People – Defining roles, volunteer/staff management, and operational policies.
- Exercising Control – Legal compliance, financial controls, risk management, and insurance.
- Working Effectively – Board responsibilities, meeting procedures, decision-making, and trustee recruitment.
- Being Accountable – Stakeholder communication, complaint procedures, financial reporting, and transparency.