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Evidence request lists

NHS Healthcare Leadership Model

Evidence request list. 8 controls, 8 carrying auditor artefact guidance. Generated from the compliance knowledge graph on 12 September 2026. Published by The Art of Service.

Accountability and Connection

NHSHLM-3
Holding to Account and Connecting Our Service

Apply HLM dimensions of Holding to Account (clear performance expectations + balanced feedback + responsibility support + performance standards) and Connecting Our Service (organisational understanding + partnership working + connecting beyond NHS + service relationships). Apply NHS Oversight Framework (NHS England) + Care Quality Commission (CQC) Single Assessment Framework with five key questions (Safe + Effective + Caring + Responsive + Well-led) + Healthcare Safety Investigation Branch (HSIB) / Health Services Safety Investigations Body (HSSIB) coordination + NHS Race and Health Observatory partnerships.

Artefacts an auditor will ask for
  • Performance management framework
  • NHS Oversight Framework segmentation
  • CQC Single Assessment evidence
  • Partnership agreements
  • HSIB/HSSIB cooperation records
  • Annual feedback cycle records
Where this commonly fails
  • Unclear standards
  • Weak CQC evidence
  • No partnership records
  • Missing HSIB cooperation

Capability and Self-Awareness

NHSHLM-5
Developing Capability and Personal Qualities Self-Awareness

Apply HLM dimension Developing Capability (developing others + creating learning culture + workforce planning + succession planning) and the underpinning Personal Qualities focus (self-awareness + emotional intelligence + integrity + resilience). Use NHS People Plan + NHS People Promise + Talent Management Hub (TMH) + NHS Leadership Academy programmes (Edward Jenner + Mary Seacole + Nye Bevan + Aspiring Chief Executive) + ScopeMe 360 feedback tool + appraisal and revalidation per General Medical Council (GMC) and Nursing and Midwifery Council (NMC) requirements.

Artefacts an auditor will ask for
  • NHS People Plan implementation
  • Talent Management evidence
  • NHS Leadership Academy programme participation
  • 360 feedback (ScopeMe)
  • GMC/NMC revalidation
  • Succession plans
Where this commonly fails
  • No talent management
  • No 360 feedback
  • Missing succession plan
  • Revalidation gaps

EDI and Communication

NHSHLM-6
Equality, Diversity, Inclusion, and Compassionate Conversations

Embed Equality + Diversity + Inclusion (EDI) per NHS Equality Delivery System (EDS) 2022 + Workforce Race Equality Standard (WRES) + Workforce Disability Equality Standard (WDES) + Sexual Orientation Monitoring + Gender Pay Gap reporting + 6 high impact actions per the Operational Planning Guidance. Apply compassionate conversations with patients and families per Mid Staffordshire NHS Foundation Trust Public Inquiry (Francis Report 2013) + Duty of Candour (Health and Social Care Act 2008 Regulation 20) + Being Open Framework + Personalised Care principles.

Artefacts an auditor will ask for
  • EDS 2022 evidence
  • WRES + WDES annual reports
  • Gender Pay Gap report
  • Duty of Candour evidence
  • Compassionate conversation training
  • Francis Report response evidence
Where this commonly fails
  • Missing WRES/WDES
  • No Duty of Candour evidence
  • No compassionate training
  • Weak EDS evidence

Influence and Evidence

NHSHLM-4
Influencing for Results and Evaluating Information

Apply HLM dimensions of Influencing for Results (relationship building + stakeholder understanding + persuasion and negotiation + network influence) and Evaluating Information (gathering information + thinking analytically + decision making + judgement under uncertainty). Use NHS Outcomes Framework + NHS Improvement Quality Standards + National Institute for Health and Care Excellence (NICE) guidelines + evidence-based practice principles. Apply NHS Model Health System / Model Hospital benchmarking + Getting It Right First Time (GIRFT) data + NHS Digital data.

Artefacts an auditor will ask for
  • Stakeholder mapping
  • Influence strategy
  • Decision logs with evidence
  • NICE guideline implementation
  • GIRFT data review
  • NHS Model Hospital benchmark reports
Where this commonly fails
  • No stakeholder mapping
  • Weak decision audit
  • No NICE alignment
  • Missing GIRFT engagement

Purpose and Compassion

NHSHLM-1
Inspiring Shared Purpose and Leading With Care

Apply the NHS Healthcare Leadership Model (HLM) dimensions of Inspiring Shared Purpose (values-based role modelling + service improvement curiosity + values courage + purposeful challenge) and Leading with Care (compassionate relationships + emotional understanding + safe environment creation + personal wellbeing + leading with care through change). The HLM was published by the NHS Leadership Academy in 2013 + revised editions through 2024 + supports development across leadership levels from frontline through executive + complements the NHS Constitution Values (working together for patients + respect and dignity + commitment to quality of care + compassion + improving lives + everyone counts).

Artefacts an auditor will ask for
  • Leadership development plan referencing HLM
  • 360-degree feedback against HLM dimensions
  • Values-based behaviour assessment
  • Wellbeing programme engagement
  • NHS Constitution Values evidence
  • Compassionate leadership training records
Where this commonly fails
  • No HLM-based development plan
  • Missing 360 feedback
  • No wellbeing programme
  • Weak NHS Values alignment

Safety and Quality

NHSHLM-7
Patient Safety Culture and Quality Improvement Leadership

Lead patient safety culture per NHS Patient Safety Strategy + Patient Safety Incident Response Framework (PSIRF) 2022 + National Reporting and Learning System (NRLS) / Learn from Patient Safety Events (LFPSE) service + Patient Safety Specialists + Patient Safety Partners. Lead Quality Improvement (QI) per NHS Improvement framework + IHI Model for Improvement + Plan-Do-Study-Act cycles + Lean Six Sigma + Kotter 8-step change + Maslow + safety culture per Manchester Patient Safety Framework (MaPSaF).

Artefacts an auditor will ask for
  • PSIRF implementation evidence
  • Patient Safety Specialists appointment
  • LFPSE reports
  • QI projects with PDSA cycles
  • MaPSaF assessment
  • Patient Safety Partners engagement
Where this commonly fails
  • No PSIRF
  • Missing safety specialists
  • No QI projects
  • Weak safety culture assessment

Stewardship and Learning

NHSHLM-8
Financial Stewardship, Risk Leadership, and Continuous Learning

Apply financial stewardship per NHS Finance Manual + NHS Operating Framework + Money Off Quality (MOQ) principles + Capital Allocations + Operational Planning Guidance financial envelopes. Lead Board Assurance Framework (BAF) + Risk Register management per NHS Risk Management Framework + Internal Audit per Public Sector Internal Audit Standards (PSIAS) + Counter Fraud Authority (NHS CFA) cooperation. Foster continuous learning through engagement with NHS Learning Academy + Council of Deans + Medical Royal Colleges + dissemination of learning from incidents and near misses.

Artefacts an auditor will ask for
  • Financial plan
  • BAF + Risk Register
  • Internal audit reports
  • NHS CFA cooperation evidence
  • Lessons learned dissemination
  • Medical Royal College engagement
Where this commonly fails
  • No BAF
  • Weak risk register
  • No internal audit
  • Limited lessons sharing

Vision and Engagement

NHSHLM-2
Sharing the Vision and Engaging the Team

Apply HLM dimensions of Sharing the Vision (vision communication + stakeholder involvement + future-focused thinking + strategic narrative) and Engaging the Team (team focus + valuing diversity + team development + collective leadership). Use NHS Long Term Plan + Integrated Care Systems (ICS) + Trust strategic objectives as vision context. Apply collective leadership principles per the Michael West and King's Fund collective leadership research + Compassionate and Inclusive Leadership Strategy (NHS England 2022).

Artefacts an auditor will ask for
  • Trust/Service vision statement
  • Team engagement survey results (NHS Staff Survey)
  • Collective leadership evidence
  • ICS alignment
  • Long Term Plan delivery contribution
  • Cascade communications log
Where this commonly fails
  • No clear vision
  • Low engagement scores
  • No collective leadership
  • Weak ICS alignment
Assembled from the framework's own control set. Every line traces to a control in the graph, so this pack is regenerated rather than written, and stays current as the graph does.

Assembled from the framework’s own control set, so this list is regenerated rather than written and stays current as the graph does. See the NHS Healthcare Leadership Model framework page.