Directorate of Human Resources
Recruitment Team
Flat 3
Willow Drive
Kirkcaldy
Fife, KY1 2LS
Tel 01592 643355
Fax 01592 204611
www.show.scot.nhs.uk/faht
Date
Your Ref
Our Ref
As per postmark
Enquiries to
Extension
Direct Line
Email:
Recruitment
28131
01592 643355
Please see below
fife-uhb.recruitment@nhs.net
Dear Sir/Madam
POST REFERENCE: HH136/10/15AC
CLOSING DATE: 12 NOON ON 6TH NOVEMBER 2015
Thank you very much for your interest in the above post. I have pleasure in enclosing an application
pack which includes, a job description, application form, terms and conditions, person specification
and procedure for the disclosures of criminal records. Please be advised that the application form
must be completed in full as unfortunately we cannot accept a CV enclosure.
When providing referees on the application form please be aware we require references to cover a
minimum of a three year period. If the period of time both referees have known you is less than three
years you will be required to provide additional referees. This can be indicated on an additional sheet
of paper and where possible please give us email addresses for contact.
Should you wish to make an enquiry to the Recruitment Team regarding a vacancy please ensure that
you quote the reference number.
Please be advised that if you do not hear from us within 4 weeks of the closing date then you have
been unsuccessful in your application.
May I take this opportunity to thank you for the interest that you have shown in NHS Fife.
Yours faithfully
Recruitment Team
Recruitment Team
Enc.
TERMS AND CONDITIONS OF SERVICE
Post:
PRINCIPAL AUDITOR
Reference Number:
HH136/10/15AC
Pay Banding:
BAND 7 – £31,383 - £41,373
Hours of Duty:
37.5
Contract Type:
FIXED TERM FOR 1 YEAR TO COVER SECONDMENT
Annual Leave:
27 days on commencement
29 days after 5 years service
33 days after 10 years service
Public Holidays:
8 fixed public holidays
The leave year extends from 1 April to 31 March.
Part time staff will receive a pro-rata entitlement for annual leave and public holidays
combined as per the Agenda for Change agreement.
Reckonable service may be credited for annual leave purposes in accordance with the
Agenda for Change Agreement.
Secondments: Applications on a secondment basis will be considered providing you have
agreement from your current line manager.
Sick Pay
Entitlements to Statutory Sick Pay and Occupational Sick Pay will be determined in
accordance with the Agenda for Change Agreement. Reckonable service may be credited
for Sick Pay purposes providing there has been no break in service of 12 months or more at
time of appointment in accordance with Agenda for Change Agreement.
Superannuation
New entrants to NHS Fife who are aged sixteen but under seventy five will be enrolled
automatically into membership of the NHS Pension Scheme.
Our pension scheme is provided by Scottish Public Pensions Agency. This scheme is a
qualifying pension scheme, which means it meets or exceeds government’s new standards.
All benefits including life insurance and family benefits are explained on the SPPA website
http://www.sppa.gov.uk/. Contribution rates will vary from 5% to 14.5% depending on
pensionable earnings.
Once a year, (following 2 years qualifying service) a statement is available online
(http://www.sppa.gov.uk/ showing how much service has built up in your pension.
You can increase the amount you put in if you want by buying additional pension. For full
details please see the Factsheet “Additional Pension” available on the SPPA website
http://www.sppa.gov.uk/ .The amount contributed by the government in the form of tax relief
would also increase.
If you want to opt out of the pension scheme please follow the instructions in the enclosed
fact sheet.
Occupational Health Clearance
Any offer of employment is subject to satisfactory Occupational Health clearance. Should
you be invited to interview you will be asked to complete a Pre-Employment Health
Questionnaire. The Occupational Health Service (OHSAS) will make an assessment on your
fitness to carry out the post based on the information contained within the questionnaire. In
certain circumstances further information is required before clearance can be given and
OHSAS may contact you by telephone or request that you attend for an appointment.
Clearance must be obtained before any new employee commences employment within NHS
Fife. Clearance may be subject to you attending for a Post-Employment appointment and it
is vital that you attend this appointment if required.
Rehabilitation of Offenders Act 1974
Under the terms of the Rehabilitation of Offenders Act 1974, many people need not refer to
previous convictions which, after a certain period of time, are regarded as spent. Certain
posts within the National Health Service, however, are excluded from the provisions of this
Act. All potential employees must disclose on the application form any unspent convictions
and certain potential employees are required to inform us of any previous convictions which,
for other purposes, are “spent” under the provisions of this Act. Failure to disclose such
information could result in dismissal or disciplinary action by the organisation.
Any
information given will be treated in the strictest confidence. Please refer to the NHS Fife
Procedure for the Declaration of Criminal Convictions for further information.
Disclosure Scotland / Protection of Vulnerable Groups (PVG)
A number of our posts are identified as requiring Disclosure Scotland clearance at a number
of levels including Standard or Protection of Vulnerable Groups (PVG). The PVG Scheme
requires an individual / personal membership to the scheme, if this is a requirement of the
post, the employer, NHS Fife, will meet the costs of this application. Existing members may
require a scheme update and the interview panel must be informed of this and again NHS
Fife will meet the cost associated with this.
No Smoking Policy
NHS Fife operates a No Smoking Policy and it is the case that staff are not permitted to
smoke on the premises or during working hours. It is a condition of employment that you
comply with these requirements.
Agenda for Change Implementation and Variations to Contract of Employment
Agenda for Change is a nationally agreed remuneration, job evaluation, personal
development and terms and conditions framework which will apply to all NHS Scotland staff
(except very senior managers and staff within the remit of the Doctors’ and Dentists’ Review
Body). This means that you will be subject to the terms and conditions contained within this
agreement and also any subsequent national or local agreements or variations made in
respect of Agenda for Change. Such changes will automatically be applied to you and your
contract of employment will be deemed to have been amended on this basis.
Entitlement to Work in the UK
NHS Fife is legally obliged to ensure all its employees are legally entitled to work in the
United Kingdom. All applicants are required to confirm their right to work in the UK in
their application. If you are not a United Kingdom (UK), European Community (EC) or
European Economic Area (EEA) National please state the visa category under which
you are legally entitled to work in the UK on your application form and the expiry date
of your leave to remain in the UK.
Certificates of Sponsorship
If a candidate who requires Tier 2 Sponsorship is appointed to a post NHS Fife may make an
application for sponsorship providing applications are available and it can be demonstrated
no suitable candidate meets the minimum requirements for the post from within the EEA.
This is in keeping with current Home Office regulations which dictate that employers are not
in a position to offer employment to candidates requiring Sponsorship/Work Permit where it
can be demonstrated that EEA candidates meet the minimum requirements for the post.
Job Share
Unless otherwise stated within the job advert applications for this post may be considered on
a job share basis. Should you wish to apply on a job share basis please indicate this on a
covering letter attached to the application form.
Guidance for completing the NHSScotland
application form
If you need this, or any of the attached forms in large print or other
formats please call our recruitment office on 01592 643355 ext
28706 or 27906.
An electronic version is available at www.jobs.scot.nhs.uk
General guidance

If you have any questions or need some help with completing the form, please call
01592 643355 ext 8706 or 7906 or email fife-uhb.recruitment@nhs.net. Please
have the job reference number handy if possible

If you are using the ‘hard copy’ version of our application form, please use black ink
and write clearly in BLOCK CAPITALS. This makes the form much easier to read and
clearer when we photocopy it

The job reference number can be copied from the job advert or the application pack

The job location will be on the job advert

The candidate number will be written in by us once you have returned the form to our
office

The people who look through your completed form (short listing or short leeting team)
to see if you have the skills and abilities needed for the job, will only see ‘Part C’ of the
form. They will only see your candidate number and all personal details will be
anonymous

Please do not send in a CV instead of, or as well as, the application form. We do not
consider CVs during the selection process

Please fill in all sections of the application form. If some parts are not relevant, write
‘not applicable’ or ‘N/A’ in that space

If you need more space to complete any section, please use extra sheets of paper.
Do not put your name or any identifying information on it as it needs to remain
anonymous. Secure it to the relevant section, and we will add a candidate number to
it when we receive it

When you have completed all of the form, please send it to:
Recruitment Section
NHS Fife
Flat 3
Willow Drive
Kirkcaldy
Fife
KY1 2LS
Personal Details section

This gives us your contact details such as name and address. Under ‘title’ you would
put either Mr, Mrs, Ms, Dr or just leave blank if you prefer

We may need to contact you at some time throughout the recruitment process.
Please let us know the most suitable method of contacting you, for example email or
phone call and the most convenient time
Declarations

Please refer to the enclosed Procedure for the Disclosure of Criminal
Convictions. For certain posts you must tell us about all convictions and cautions
regardless of how long ago the offence may have occurred. Convictions from other
countries must also be notified. If in doubt please call our office at the help line
number on page one of this guidance

Please note that having a conviction will not automatically disqualify you from getting a
job with us. Careful consideration will be given to the relevance of the offence to the
particular post in question. However, if you are appointed, and it is found that you did
not reveal a previous conviction your employment may be terminated

Remember to read, consider and sign the declaration at the bottom of page 2
Qualifications section

Please tell us of any qualifications you have. This can include school standard grades,
GCSEs highers, or work based qualifications such as SVQs or NVQs

Remember to write down any ‘non formal’ qualifications or certificates that you think
are relevant to the job you are applying for
Present (or most recent) post section

If you are currently out of work, please write this in the ‘job title’ space

Please write your start date in month/year format MM/YYYY

Please tell us briefly about your duties (what you do or did in your job). You could tell
us your role, the main tasks, and any responsibility for supervising others. There is not
a lot of space here so continue on a separate sheet if you need to
Employment History section

This is where you write down all the jobs you have done previously

Remember that if a job you have done in the past supports or is similar to the job you
are applying for, please tell us more about it in your ‘support of application’ statement
on page 6 of the application form – use a separate sheet if you need more space
References section

Referees are people who know you at work. Please give the full names and
addresses of 2 referees, one of whom must be your present or most recent employer
and can confirm your job details

Your referees must cover a three year time period and should where possible be
work based references.

Please where ever possible provide an email address for your referee.

You should check that the people you have put on your form are happy to be referees

Your referees will not be contacted unless you are a ‘preferred candidate’ after
interview. A preferred candidate is someone who is the preferred choice for the job,
subject to satisfactory checks where appropriate
Driving Licence

You only need to complete this if the job requires you to drive. Please check the job
description or person specification. For example, some jobs with the Ambulance
Service require you to be able to drive class C1 and D1 vehicles
Statement in support of your application

This is one of the most important parts of the form. In here you say why it is you want
this job, and can list all your skills and abilities that you think help to match up you
against the ‘person specification’. In here you could describe how something you have
done in a non work setting (for example, planning and leading a group outing) shows
planning skill and some leadership qualities
Where did you see the advert section

Please try to remember where you heard about this job, and tick the relevant box. The
information you give will help us find out how good our advertising is
Equal opportunities monitoring

Please note that all details on this section (Part D) will remain totally anonymous. It
will be detached from the rest of the form as soon as we get it and remain anonymous

We want to ensure that there are no barriers to joining our workforce. As an
employer, NHSScotland is as fully inclusive as possible. One way we can ensure this
is to analyse all the data provided in this section and ensure that job opportunities are
being accessed by as wide a community as possible.
Please send the completed form to the following address:
fife-uhb.recruitment@nhs.net
or post your hard copy to:
Recruitment Section
NHS Fife
Flat 3
Willow Drive
Kirkcaldy
Fife
KY1 2LS
Support into Work

Have you experience of a mental health problem?

Want help with the application process for a post with NHS Fife or Fife
Council?

Would you benefit from some support even after you start work?

Are you unemployed and live in Fife?
Then Support into Work can provide free, independent and confidential support through the
whole process of applying for a job with either NHS Fife or Fife Council and, if successful, for
the first few weeks after starting work.
Support into Work is a two-year pilot funded by the Scottish Executive to increase access to
employment for unemployed people experiencing mental health difficulties who live within
Fife.
The service is provided by Fife Employment Access Trust (FEAT) a well-respected voluntary
organisation with 10years experience or supporting people with mental health problems into
employment.
FEAT is independent of both NHS Fife and Fife Council and the fact that someone has
received support will not adversely affect the recruitment outcome.
For more information on the support available or if you would like to take advantage of the
service contact:
Fife Employment Access Trust
Collydean Cottage
6/7 Hanover Court,
Glenrothes, Fife KY7 5SB
Tel: 01592 759371
Email: enquires@f-e-a-t.co.uk
Please do not send completed application form to this address
PROCEDURE FOR THE DISCLOSURE OF CRIMINAL RECORDS
1.
Introduction
NHS Fife complies fully with the Code of Practice, issued by Scottish Ministers, in connection
with the use of information provided to the registered person and other recipients of
information by Disclosure Scotland Part V of the Police Act 1997, for the purposes of
assessing applicants’ suitability for positions of trust.
We undertake to treat all applicants for positions fairly and not to discriminate unfairly against
the subject of a disclosure on the basis of conviction or other information revealed.
2.
Spent Convictions
The Rehabilitation of Offenders Act 1974 enables some criminal convictions to become
‘spent’ after a rehabilitation period. The length of the rehabilitation period depends on the
sentence given and not the offence committed. For custodial sentences the rehabilitation
period is decided by the original sentence and the length of time actually served is irrelevant.
Custodial sentences of more than 2.5 years can never become spent.
3.
Disclosing Spent and Unspent Convictions
In line with the Rehabilitation of Offenders Act 1974 for any post within NHS Fife you are
required to disclose any “unspent” convictions.
If you are applying for any posts listed below you are also required to provide us with any
information in relation to all “spent” convictions.









4.
Clinical Posts (including Nursing, Medical, Dental and AHP posts)
Director of Finance & Heads of Finance Department
Ward Clerks
Public Health Posts
Health Promotion Posts
Porters
Volunteers
Hairdressers
Catering & Domestic Posts within Inpatient Areas
Disclosure Scotland (SCRO)
The aim of the Disclosure Scotland Service is to enhance public safety and to help employers
nd voluntary organisations in Scotland to make safer recruitment decisions. Any offer of
employment to a post identified as requiring “spent” convictions to be disclosed will be subject
to a satisfactory Disclosure Scotland check.
5.
Procedure for Disclosing Convictions
If you have an unspent or spent conviction and you are required to disclose this to NHS Fife
you should do this by completing the section “Convictions” within Part B of the application
form giving details of the following:


6.
The Nature of the offence
The Sentence given
The Date of the Offence
Interview
If you are selected for interview, members of the interview panel will not be aware of any
declaration you have made. Should you be selected as the preferred candidate following
interview we will undertake to ensure an open and measured discussion on the subject of any
offences or other matters that might be considered relevant for the position concerned. We
guarantee that only those who need to see it as part of the recruitment process will only see
this information.
7.
Failure to reveal information
Failure to reveal information that is directly relevant to the position sought could lead to
withdrawal of an offer of employment. If you are offered employment such a failure may
result in dismissal or disciplinary action.
Having a criminal record will not necessarily debar you from working with NHS Fife. This will
depend on the nature of the position, together with the circumstances and background of
your offences.
8.
Queries
If you have any queries on this matter then please contact our recruitment office who will be
able to assist you.
Auto Enrolment Fact Sheet 2
What is happening?
The UK Government’s aim is for more people to have another income, on top of the state
pension, when they come to retire. The basic state pension is intended to be a foundation
and you may want more.
Employers are now required to enrol their workers automatically into a pension scheme to
make it easier for people to start saving. You will therefore be automatically enrolled into the
NHS Pension Scheme from your date of commencement with us.
What does this mean for you?
Our pension scheme is provided by Scottish Public Pensions Agency. This scheme is a
qualifying pension scheme, which means it meets or exceeds the government’s new
standards. All benefits including life insurance and family benefits are explained on the SPPA
website http://www.sppa.gov.uk/
Once a year, (following 2 years qualifying service) a statement is available online
(http://www.sppa.gov.uk/) showing how much service has built up in your pension.
You can increase the amount you put in if you want by buying additional pension. For full
details please see the Factsheet “Additional Pension” available on the SPPA website
http://www.sppa.gov.uk/ The amount contributed by the government in the form of tax relief
would also increase.
From 1 April 2015, the member contributions are calculated as follows:
Tier
1
2
3
4
5
6
7
Pensionable Pay Band (whole time
equivalent) in 2015/16
Up to £15,828
£15,829 to £21,601
£21,602 to £27,089
£27,090 to £49,967
£49,968 to £71,337
£71,338 to £111,376
£111,377 and above
Contributions Rate in
2015/16
5.2%
5.8%
7.3%
9.5%
12.7%
13.7%
14.7%
Pension contributions are taken off salaries before tax.
In addition, NHS Fife currently contributes 14.9% to an employee’s pension.
Please note, these contribution rates may be revised. Any changes will be posted on
Dispatch when they become available. On your payslip, the figure you will see is your
contribution.
The NHS Pension Scheme
After 2 years of membership, an annual online statement will be available from SPPA
showing how much pension you have accrued. More information on the scheme can be
found at
www.sppa.gov.uk
How to opt out
To opt out, you can obtain the relevant opt out form from SPPA’s website
http://www.sppa.gov.uk/Documents/NHS/NHS%20Useful%20Resources/NHS%20Forms/Opti
ng%20out/OPTOUT%20NHS%202013%20V.1.pdf
Once you have completed it, send it to the Payrolll Dept (see payslip for details).
If your completed opt out form is received within 1 month of your start date you will be
removed from the pension scheme with effect from your start date. Any payments you have
already made will be refunded and you will not have become an active member of the
scheme on this occasion.
If you want to stop making payments at any time after 1 month of commencing employment
you can do so by completing the opt out form. Repayment of pension contributions and the
calculation of preserved benefits will be arranged by SPPA. Further information on refunds is
available on www.sppa.gov.uk - see NHS factsheet.
If you encounter any difficulties in accessing this form, please contact either your Line
Manager in the first instance or a member of the HR Department.
HMRC Protection
If you are one of the relatively small number of people who applied for, obtained and still hold
a Fixed Protection certificate from HM Revenue and Customs (which protects the total value
of all pension benefits you can have at £1.8 million without triggering an excess benefits tax
charge) or an Enhanced Protection certificate then you may lose the Fixed or Enhanced
Protection if you opt to remain in the scheme. If you currently hold HMRC Fixed or Enhanced
Protection you may wish to consider the consequences of further accrual of benefits as this
may invalidate your protection. Further information is available from HMRC
A regular reminder
Anyone who opts out will be automatically enrolled back into a pension scheme at a later
date (usually every three years). This is because your circumstances may have changed and
it may be the right time for you to start saving. We will contact you when this happens, and
you can opt out if it’s still not right for you.
A commitment from us
If you are under 75, work or usually work in the UK, and earn over £10,000 a year (the
amount set by the government for this):
- we must by law continue to maintain your membership of a scheme that meets certain
government standards; and
- if your membership of such a scheme ends (and it is not because of something you do or
fail to do), we must by law put you into another scheme that meets government standards
straightaway.
Questions you may have:
Will the amounts paid into my pension change?
Yes, the amounts will automatically increase or decrease accordingly if your earnings
(exclusive of overtime payments) go up or down.
If I opt out or stop making payments, can I rejoin a workplace pension scheme at a
later date?
Yes, you can rejoin a workplace pension scheme. To do so, contact your payroll contact (see
payslip for details) in writing by sending a letter, which has to be signed by you. Or, if sending
it electronically, it has to contain the phrase “I confirm I personally submitted this notice to join
a workplace pension scheme”.
What if I want to pay more into my pension?
You can increase the amount you put in if you want by buying Additional Pension. For full
details please see the Factsheet “Additional Pension” available on the SPPA website
http://www.sppa.gov.uk/ The amount contributed by the government in the form of tax relief
would also increase.
What is tax relief?
The government takes tax off your income. You can see this on your payslip. Tax relief
means some of your money that would have gone to the government as tax now reduces the
actual cost of contributing into the pension scheme.
www.direct.gov.uk/workplacepensiontaxrelief
Where can I get further information?
If you have any questions about the pension scheme, contact:
SPPA
7 Tweedside Park
Tweedbank
Galashiels TD1 3TE
Telephone 01896 893000
www.sppa.gov.uk
If you have any questions about your enrolment or contribution levels, contact your payroll
contact (see payslip for details).
For information on pensions and saving for later life visit:
www.direct.gov.uk/workplacepension
A booklet explaining pension auto enrolment together with Frequently Asked Questions has
been published by the Pension Regulator and can be found at
http://www.dwp.gov.uk/docs/workplace-pensions-faq.pdf
JOB DESCRIPTION
1. JOB IDENTIFICATION
Job Title:
Principal Auditor
Responsible to:
Regional Audit Manager (RAM)
Department(s):
FTF Audit & Management Services Directorate: Finance
Operating Division:
Fife/Forth Valley/Tayside
Job Reference:
No of Job Holders:
7
Last Update:
30 June 2008
2. JOB PURPOSE
To support the Regional Audit Manager in providing a comprehensive Internal Audit service to a
NHS Board by undertaking specific and ad-hoc projects as assigned by the RAM primarily from
the agreed Internal Audit plan.
The postholders will assist the RAM with risk assessment, strategic and annual planning and is
responsible for supervising the work of staff to complete a substantial programme of assigned
audits for which full responsibility for delivery of the assigned audits to draft report stage is
delegated by the RAM (delegated audit) They will also undertake complex audit reviews
personally. This includes planning and executing individual and delegated audit assignments
and agreeing scope, timings, outcomes and client responses with officers including Executive
Directors, External Bodies and Clinicians. Reports outcomes to the RAM.
Along with other Principal Auditors, the postholders will deputise for the RAM in his/her absence
and for specific projects.
Delivery of the Internal Audit plan allows the Chief Internal Auditor (CIA) to provide an opinion
on the adequacy of the Internal Control Framework as assurance to the Chief Executive in
signing the required Statement on Internal Control.
3. DIMENSIONS
FTF Audit & Management Services, the largest Audit Consortium in Scotland, provides a
service to a range of NHS bodies.
Serving Fife, Tayside and Forth Valley and several smaller clients, the bodies involved are:
 Fife NHS Board
 Tayside NHS Board
 Forth Valley NHS Board
 Mental Welfare Commission for Scotland
 Strathcarron Hospice
 Councils through Joint Working Partnerships
FTF Turnover :
£901,000
Staff:
19, of whom 10 are CCAB/IIA qualified or equivalent
Client Turnover: Fife NHS Board £582m, Tayside NHS Board £704m, Forth Valley NHS Board
£460m
4. ORGANISATIONAL POSITION
Please see attached
5. ROLE OF DEPARTMENT
Internal Audit is a professional, independent, appraisal service for the review of all systems of
internal control, across the full range of the client’s service and is an integral element of the
corporate governance framework. It examines, evaluates and reports objectively on the
adequacy of internal control as a contribution to the proper, economic and effective use of
resources.
Client Accountable Officers (Chief Executives) require assurance from the Chief Internal
Auditor’s Annual Report on the adequacy and effectiveness of internal controls before they can
sign the Statement on Internal Control. This is a fundamental element of the Annual Accounts
Process for each client, without which their accounts cannot be approved and properly laid
before Parliament.
Internal Audit is required to meet the NHS Internal Audit standards and its work is governed by
Service Specifications and Service Level agreements with each client.
NHS Internal Audit Standards require that we have sufficient status, authority and resources
and exercise due care and professionalism. This requires us to have access to all necessary
records, systems and staff, to conduct our work independently and objectively, applying the
appropriate skills, knowledge and professional expertise; continually measuring and improving
the quality of our work. Internal Audit is potentially one of the most influential and value added
service available to the Board with the power to make a tangible contribution to the stewardship
and efficiency of the client.
Throughout the year, we review, appraise and report to Audit Committees and management on
whether:



a robust risk management culture and framework are in place and significant risks have
been identified, assessed and managed to a level agreed by the Board
adequate and effective financial, non-financial, clinical and other internal controls are in
place an operating as intended
actions are underway to remedy any deficiencies in control that expose the organisation to
undesired risk
We are also required to confirm that the assets of the organisation are safeguarded; that
operations are being conducted effectively, efficiently and economically in accordance with the
organisation’s policies; that laws and regulations are complied with; and that records and
reports are reliable and accurate. We help management detect and deter fraud, identify
savings and opportunities, adding value across the organisation.
6. KEY RESULT AREAS
1. Supervise the work of staff as required.
2. Review the work of staff members. This includes peer review and review of RAMs work
where required.
3. Contribute to completion of the annual internal audit plan and complete assigned audits to
draft report stage. Monitor audits against specific targets on time, quality and budget and
implement remedial action if required so that the plan is delivered as agreed with the Audit
Committee. Complete Assignment Performance Reviews when supervising staff on
delegated audits.
4. Personally undertake high level and complex reviews of governance arrangements within
local health systems. Carry out planned audit work on a daily basis. Research governance
requirements for the system under review including SGHD, NHSQIS and other relevant
guidance. Define scope of audit and produce or adapt detailed audit programme for RAM
review.
5. For each individual assignment, develop detailed understanding and expand knowledge of
the client’s business objectives, standing orders, governance arrangements, financial
instructions, policies, fundamental systems, staffing and structure.
6. Complete individual and delegated audit assignments to required level contained within FTF
protocols, which incorporate the requirements of NHS Internal Audit Standards, Auditing
Practices Board Standards, IIA(UK) Standards and Service Specification. Carry out audit
activity including detailed testing of systems and evaluation of controls by examining
transactions, records, accounts and files and by use of appropriate audit techniques.
7. Develop and supervise staff on delegated audits on a day-to-day basis to enable individuals
to improve working standards and performance of FTF. Supervise outputs by reviewing files
and ensuring work has been properly performed, and the results obtained and conclusions
drawn are adequately documented, evidenced and consistent.
8. Ensure draft reports are of a publishable standard and give a fair, clear and concise opinion
of the system and all matters raised in the report are backed by relevant, reliable and
sufficient evidence within the file. Consult with clients on the findings prior to review to
maintain a quality and timeous service. Provide advice and guidance on other audits as
required.
9. Continually identify that the appropriate tools and techniques are used to carry out each
individual and delegated audit assignment, and provide support where required so that the
audit is delivered in line with FTF’s quality standards.
10. Evaluate the significance of audit evidence and prepare concise working papers using
technology to manipulate and present information where required.
11. Identify underlying issues and agree with RAM the overall outcome of each individual and
delegated assignment and the main conclusions and recommendations to include in the
report. Deliver concise, accurate, well-reasoned and complete reports that provide
assurance on adequacy of control structures to the clients and address control weaknesses.
Present findings to lead officers/Executive Directors and listen to, persuade and negotiate
with clients in order to achieve acceptance of control improvements. Provide advice to
facilitate the implementation of recommendations.
12. Summarise the findings of each individual audit for inclusion in the summary progress report
to Audit Committee and assist the RAM to produce Audit Committee papers.
13. Develop and maintain a comprehensive understanding of the NHS standards, guidance and
regulatory framework, keeping up to date with changes and offering assistance to others
where appropriate. Interpret new and complex legislation and use it to enhance existing
programmes and develop new programmes for review by RAM.
14. Develop and maintain close working relationships with the client. Provide advice and
consultation to client managers and Directors as requested. Observe client confidentiality at
all times and promote the use of the service.
15. Ensure adherence to audit practice notes to support the delivery of audit programmes for
use across FTF to ensure continuity and consistency in delivery of service. Periodically
assist the Chief Internal Auditor with the development of revised protocols for FTF.
16. Identify and resolve operational issues as required and bring significant operational issues to
the attention of the RAM for feedback to the Management Team to ensure that they are
addressed across all clients.
17. Attend client working groups for specific projects to provide advice and represent Internal
Audit. Attend FTF working groups as required to enhance FTF technical knowledge base
and develop audit approaches to new and existing systems.
18. Provide assistance to the RAM to inform the audit risk assessment and strategic and annual
plans.
19. Maintain progress report for individual and delegated audits.
20. Maintain individual expertise and provide an FTF wide focus on specific audit areas and to
facilitate effective operation of the internal audit function.
21. In line with a personal development plan, undertake relevant training and development in
order to enhance skills and knowledge, and to improve performance. Actively participate in
continuing professional development as appropriate to the relevant professional
qualification.
22. Along with other Principal Auditors, deputise for the RAM in their absence and for specific
projects.
Whilst the preceding are indicative of the duties required, the Postholders will be expected to
carry out other duties designated by management, commensurate with the post.
7a. EQUIPMENT AND MACHINERY
Daily requirement to use a telephone, personal computer, keyboard, mouse, visual display
equipment and printer effectively
Regular use of other office equipment, e.g. fax, photocopier, shredder, binder
Occasional use of laptop and data projector for presentations
Frequent requirement to use a motor vehicle
7b. SYSTEMS
Use of a computerised audit system on a daily basis to manage and control audit tasks and
resources, including recording and allocation of time to individual projects. Updating progress
report for own and delegated audit assignments.
Routine use of Financial Management System for data analysis and use of interrogation
systems to generate financial and statistical reports. Use of Computer Assisted Audit
Techniques (CAATs).
The postholder will have experience of Excel, Word and PowerPoint to facilitate the design and
production of reports and presentations. A good understanding of e-mail and electronic
calendar will be an integral requirement of the post.
Daily use of clients Intranet and the World Wide Web for research and updating knowledge of
regulation and guidance applicable to NHS systems
Knowledge of a wide range of local computerised and non computerised systems.
8. ASSIGNMENT AND REVIEW OF WORK
Responsible to RAM for delivery of individual and delegated audit projects to required
standards and within agreed timescales. RAM will assess through regular discussion, meetings
and formal review of working papers and draft reports
Reports to RAM on progress against agreed schedules with explanations for variances from
plan.
For each individual audit assignment, the postholder prepares the first section of a
performance appraisal pro-forma that is completed by the RAM. The postholder and reviewer
discuss the completed pro-forma that feeds into the postholder’s annual appraisal process.
Independent feedback is obtained from clients on the performance of the postholder during
each audit review from client survey pro-forma for every audit assignment issued and returned
to the Chief Internal Auditor.
When leading an audit, assess the adequacy of work undertaken by staff using professional
judgement to ensure that it is at an acceptable level. The supervised member of staff prepares
the first section of a performance appraisal pro-forma that is completed by the post holder.
The supervised member of staff and post holder discuss the completed pro-forma that feeds
into the supervised member of staff’s annual appraisal process.
Annual performance appraisal and Personal Development Plan agreed with RAM.
9. DECISIONS AND JUDGEMENTS
Analytical and Judgmental Skills
 Judgements involving a range of facts or situations which require analysis or comparison
of a range of options.
 Skills for analysing and diagnosing actual and potential weaknesses in financial and
non-financial systems and offering solutions where appropriate
 Identification of potential problems and sensitivities and requirement to notify senior staff
on issues requiring attention
 Analytical review of complex financial and performance data to identify trends and inform
audit testing
 Able to provide advice at appropriate levels
 Wide knowledge of working systems
 Ability to identify knowledge gaps and seek appropriate training to address issues
 Review of staff work and Assignment Performance Review of staff on delegated
assignments to identify good practice or future training needs of the staff.
Planning and Organisational Skills
 Planning and organisation of a number of complex activities or programmes which
require the formulation and adjustment of plans
 Co-ordinate workload as part of a tem and with other Principal Auditors
 Prioritise own activities within framework set by RAM
 Time planning of self and staff for delegated audits. Scheduling of qualified and
unqualified staff for delegated audits
 Requirement to undertake lone working on occasion
Freedom to Act
 Management of work load for self and staff
 Operationally independent for audits up to draft final report stage within parameters set
by RAM
 Responds to clients through experience and training
 Suggest solutions to line managers for issues identified in the course of audit work and
from client requests
10. MOST CHALLENGING/DIFFICULT PARTS OF THE JOB



Managing audits in order to meet quality and time targets
Managing a diverse range of audits at any one time including undertaking/supervising
governance, financial systems and organisational controls audit simultaneously.
Reporting, explaining adverse findings and agreeing actions with Executive Directors,
operational staff and managers

Supervising qualified and unqualified members of the team


Representing the RAM where required at both operational and strategic level
Complex research of new audit areas following issue of SG circulars and other
legislation to develop specific areas of the service
Developing and applying knowledge of a wide range of both financial, non-financial and
governance systems
Development of focuses in specific audit areas
Coaching other members of the team
Representing FTF at client operational management and liaison groups as required



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11. COMMUNICATIONS AND RELATIONSHIPS
Internal
Staff, Colleagues
 Chair, facilitate and contribute to meetings e.g. Short Life Working Groups, Project Audit,
Pay Modernisation, Staff Awaydays, Team Briefs.
 Coach, support and train staff.
 Identify development opportunities for self and qualified and unqualified staff through
assignment performance review process.
 Work effectively across three NHS Board regions and with the FTF Management Team.
 Liaise with FTF colleagues in other regions on technical matters.
Clients
Finance Directors, Audit Committees, Chief Executives, Executive Directors, Senior
Managers and
Non-executives
 Conduct audits and investigations, interview staff, discuss concerns, present and discuss
initiatives, findings and reports, facilitate meetings, client officer liaison, generate
partnerships. This involves providing sensitive and complex information to clients and
using tact and persuasive skills to negotiate outcomes to contribute to the effective
governance of the clients and facilitate improvements to operational practices.
 Meet with senior members of client staff, including Executive Directors on a one to one
basis
 Maintain good working relationships with client staff at all levels
 Attend client working groups.
 Where necessary, attend Audit Committees and brief them on specific reviews.
External
External Audit, Local authorities, NHS Organisations and Professional Associations
 Establish wide network of relationships with working group and other appropriate
organisations. Receive, interpret and communicate highly complex information and
technical approaches and practices within these networks.
 Provide and exchange information with external auditors and Scottish Government
Health Department as required.
 Work with Local Authority auditors and officers as required.
12. PHYSICAL, MENTAL, EMOTIONAL AND ENVIRONMENTAL DEMANDS OF THE JOB
Physical Skills
 Standard keyboard skills every day.
 Good accuracy and speed of delivery of product
 Driving skills regularly.
 Regularly sitting at workstation, crosschecking transactions and regulations on VDU and
or documents
 Good sensory skills especially listening/observation skills
 Negotiating responses with clients
Physical Effort
 There is a daily requirement for sitting in a restricted position for a substantial proportion
of time, combined with frequent requirement for light physical effort.
 The ability to commute effectively and efficiently between sites over three NHS Board
regions
 Regularly commuting between client sites
 Frequently lifting and handling small and large files, computer printouts, and carrying
same some distance including up/down stairs and out of doors.
Mental Effort
There is a frequent requirement for prolonged concentration:
 Postholder needs to be alert for long periods of 2 to 3 hours at a time, for example when
checking documents or carrying out calculations and writing reports or during attendance
at meetings where presence implies audit acceptance of appropriateness of decisions
reached.
 Requirement to have an awareness of control and governance across entire range of
NHS activities that requires the ability to comprehend complex professional, legal and
business data through reading, evaluating and memorising information
 Occasional interruptions to work activity to provide advice and meet client requests on
other activities
 Needs to be alert when travelling distances between locations, often in heavy traffic
Emotional Effort
 There is a regular requirement to discuss and present contentious and sensitive issues
with management and Directors using tact and diplomacy
 Participate in investigations, as required, being professional and diplomatic to the
situations
 The postholder is required to work in client premises including theatres, medical wards
and secure units
 Review sensitive records, where the content of the record may be disturbing to the
reader
 The diverse range of work carried out within the department requires that officers at
every level must demonstrate a confident and professional demeanour at all times. The
postholder is frequently required to interact with, create and maintain working
relationships with new and unfamiliar clients from the full spectrum of NHS professions.
Working Conditions
 There is a requirement to use VDU equipment frequently on most days
 The postholder is required to commute regularly for meetings, seminars and
presentations.
This can involve driving considerable distances with occasional
passengers, for periods in excess of one hour
 The postholder has to commute between sites for audit reviews, frequently in heavy
traffic and often in inclement weather
13. KNOWLEDGE, TRAINING AND EXPERIENCE REQUIRED TO DO THE JOB











Qualified CCAB/IIA or equivalent (for Principal Computer Auditor, QiCA, CISA)
Relevant audit experience including experience in systems based auditing, risk
management, governance and modern internal audit
Supervisory, leadership and coaching experience and skills
Knowledge of policies, practices and procedures of the NHS, clients and FTF
Knowledge of risk management, corporate governance and controls assurance
Numerical, statistical, analytical skills and critical appraisal skills are essential to manage
all data sources and reports.
Well developed planning, organisational, communication and interpersonal skills
essential
Team player with the ability to work with a degree of autonomy
Ability to understand computerised systems including Internet, intranet (including
financial systems) and reporting, analytical and presentational systems.
Ability to travel effectively between sites
Willing to travel outside base region
14. JOB DESCRIPTION AGREEMENT
A separate job description will need to be signed off by each jobholder to
whom the job description applies.
Job Holder’s Signature:
Date:
Head of Department Signature:
Date:
PA/Office Manager
Chief Internal Auditor
Fife
Regional Audit
Manager
Fife
Principal Auditor
Fife
Auditor 4
Forth Valley
Regional Audit
Manager
Fife
Principal Auditor
Fife
Auditor 6
FV
Principal Auditor
FV
Trainee Auditor
Tayside
Regional Audit
Manager
FV
Principal Auditor
FV
Auditor 4
CPA
Computer Principal
Auditor
CA
Computer Auditor 6
Tayside
Principal Auditor
Tayside
Principal Auditor
Tayside
Principal Auditor
Tayside
Auditor 6
Taysider
Auditor 5
RECRUITMENT AND SELECTION STANDARDS
PERSON SPECIFICATION FORM
Post Title/Banding:
Principal Auditor / Band 7
Department:
FTF Internal Audit
Date:
22 November 2010
Experience
ESSENTIAL
Audit
experience
including systems
based auditing, risk
management,
governance
and
modern
internal
audit.
Experience
supervising,
leadership
coaching.
DESIRABLE
NHS Internal Audit
experience
and
supervisory/leadership/
coaching experience.
of
and
Qualifications/ CCAB/IIA or other Continuing
relevant
Professional
Training
professional
Development
qualification.
(QICa/CISA
or
equivalent)
Good
Knowledge of policies,
Knowledge
understanding
of practices
and
risk
management procedures of the NHS
and
corporate and local NHS Boards.
governance.
Ability
to Good understanding of
comprehend
the
accountability
complex
framework across the
professional, legal entire range of NHS
and business data activity.
and to understand Information
computerised
Governance and IT
systems.
systems
Skills
Application
Form
Application
Form
Good
effective Anticipate
problems Application
interpersonal skills. and issues based on Form
and
available evidence.
interview
Communicates
C Martin
22 November 2010
MEASURE
Application
form
and
interview.
Critically evaluates and
effectively
colleagues,
officers etc.
with reviews developments
client to determine if and
how they can be
applied.
Supervisory
leadership
and
coaching skills.
Numerical,
statistical, analytical
and
critical
appraisal skills to
evaluate
audit
evidence
and
identify underlying
issues.
Interpret
complex
legislation and use
it to develop and
enhance
audit
programmes.
Aptitude
A strong level of
English
language
competency
and
communication
skills is necessary
to perform this role
safely
and
effectively.
Ability to work with
a
degree
of
autonomy and as
an effective and
responsible
team
member.
Plans,
organises
and monitors own
performance
to
meet
specific
targets on time,
quality and budget.
C Martin
22 November 2010
Ability to
negotiate
persuade.
influence,
and
Supervise/coach other Interview
staff
and
offer
assistance.
Alerts other to quality
issues.
Discuss
and
present contentious
and sensitive issues
using
tact
and
diplomacy.
Other
e.g. Team
Player/ ability
to travel
Prioritise
own
activities within a
framework set by
managers.
Team player.
Be able to travel
effectively
across
the
FTF
geographical area.
Understands
applies
confidentiality
requirements.
C Martin
22 November 2010
and
Interview