Scheme of Delegation

Transcription

1 Scheme of Delegation

2 Contents: Scheme of delegation relating to: o Governance o Strategic o Financial o Human Resources o Health and Safety o Education and Curriculum Glossary: Term AO CEO CFO CLT SLT CaLT DoO ESFA LGC LA Meaning Accounting Officer Chief Executive Officer Chief Financial Officer City Learning Trust Senior Leadership Team Campus Leadership Team (Constituent Principals / s) Director of Operations Education and Skills Funding Agency Local Governing Committee Local Authority

3 Scheme of Delegation General Principles The and Local Governing Committees will work collaboratively and in partnership at all times. The will make decisions, following consultation with Local Governing Committees where it deems, on matters which affect all academies in the trust: Local Governing Committees will make decisions on matters which affect individual academies only. Local Governing Committees and Principals / s of academies in the trust should be as autonomous as and have as much freedom as possible. Local Governing Committees and Principals / s will have maximum delegation of responsibility and decision making for the strategic direction and day-to-day operation of their academies unless there is a cause for concern. The will put in place effective arrangements for monitoring and evaluating the performance of Local Governing Committees and academies. The will take action, including the full or partial withdrawal of delegated authorities to individuals, groups and Local Governing Committees should the individual, group, or Local Governing Committee, fail to carry out their duties and responsibilities effectively. The governance arrangements of good schools/academies joining the trust will remain in the main unchanged except where changes are required in order to comply with legal or statutory requirements, or to ensure operational effectiveness in line with the Trust s vision and aims. The will consult or inform Local Governing Committees on proposals for the composition, membership, structure, and terms of reference for Local Governing Committees and subcommittees, on arrangements for the recruitment and appointment of governors, and on arrangements for the introduction of the Trust s multi-academy governance arrangements. The will inform Local Governing Committees before putting in place any arrangements which directly affect Local Governing Committees and individual academies and before taking any decisions on policy or procedural matters. Local Governing Committees will report regularly and frequently and will make available all relevant data and information on performance. The Scheme of Delegation is in place to mitigate against financial, operational and performance risks. The Trust reserves the right to delegate varying levels of authority to academies according to their earned autonomy status. This will be monitored and reviewed regularly. The and CEO / AO will host a performance management environment, set clear KPIs and targets for the Academy Principals and their teams.

4 Delegated authorities: 2018/2019 Type: Governance. 1.1 Appointment of Trustees 1.2 Removal of Trustees 1.3 Appointment of Chair of 1.4 Approval of terms of Reference for Local Governing Committees 1.5 Recruitment procedures for LGC s 1.6 Approval of Chair of Academy LGC 1.7 Policy & removal of LGC members Appoint & remove Clerk to the Trustees / LGC Authorised to approve/amend organisational scheme of delegation Take out Director Indemnity Insurance Cover 1.11 Acquisition of legal entities 1.12 Maintenance of register of interests Refer to Articles of Association Refer to Articles of Association Refer to Articles of Association Refer to Terms of Reference for LGCs Refer to Terms of Reference for LGCs Refer to Terms of Reference for LGCs arrangements seeking professional advice ensuring register is maintained to the LGC to the LGC maintenance of LGC register

5 Entering into, or withdrawing from, a formal partnership Develop trust wide policy and procedures, but may be delegated in some cases based on financial value and level of risk, but some trust policies may be varied to support constituent academy needs Provision of and seek in relation to local needs Implementation of local policies and recommendations to LGC

6 Delegated Authorities: 2018/2019 Type: Strategic Strategic business planning and organisational structure across CLT Admission of new academies to CLT including the development of Free School applications Admission of new sponsored academies to the CLT setting the strategy due diligence and seeking professional advice due diligence and seeking professional advice 2.4 Entering into Funding Agreements Can sign 2.5 Setting of CLT KPIs 2.6 Approval of academy development and improvement plans setting the KPIs for the Trust Supports with Quality assures development planning across the Trust developing Trust development and Improvement plans Approval* and monitoring of academy improvement plans *exception with academy causing concern the development and delivery of academy improvement plans

7 Delegated Authorities: 2018/2019 Type: Finance Completion and approval of CLT annual accounts and reports to funding and regulatory bodies Completion and return of other accounting returns Complete annual & periodic reports to and / or ESFA 3.4 Complete PAYE returns 3.5 Complete VAT returns 3.6 Assurance over adequacy of systems of internal control (compliance with AFH) 3.7 Approval of financial regulations Review Provides assurance in capacity as AO to ESFA Recommendation to CEO and Authorised to arrange Authorised to arrange Authorised to arrange Authorised to arrange Provides assurance to CEO and Recommendation to the Provides assurance Provides assurance to CFO and LGC 3.8 Appointment of internal auditors Manage process 3.9 Top slice / pooling arrangements 3.10 GAG / Carry Forward balance 3.11 Approval of annual Trust budgets set Trust threshold limits (8% GAG max) Recommendation to the Approval of Trust carry forward above threshold Endorsement to as AO Recommend to CEO carry forward above threshold Compilation, review and preparation with recommendations Review and authorisation of academy budget prior to submission to CFO Preparation of academy budget for review by LGC

8 Receipt and review of management accounts 3.13 ESFA financial returns 3.14 Approval of expenditure not included in the annual budget 3.15 Deficit budgets and repayment plans Placing orders for good and services and entering into SLA. *total value must be assessed over the full term of the contract Compliance with Trust tendering process where value is less than 75,000. Authorisation minuted as per Trust finance policy / OJEU limits / formal tender process 3.18 Trust procurement policy 3.19 Approval to borrow money not allowed within the funding Endorsement to as AO Endorsement to as AO AO can approve up to the value of 75,000 AO can approve up to the value of 75,000 with a formal tender process / minuted approval at Assurances to the Endorsement to as AO Recommendation to Review of monthly management accounts. Preparation of monthly summary to Manage process CFO can approve Principal requests CFO can approve up to the value of 50,000 Preparation of repayment plan / CFO can approve Principal requests CFO can approve up to the value of 50,000 with a formal tender process / minuted approval at Manage process with DoO and report spend to the Recommendation to CEO CaLT can request up to 25,000 expenditure from CFO CaLT can request up to 25,000 expenditure from CFO Regular review of budget position Compliance with Trust policy minimum 3 quotes for expenditure over 3,000 Management of academy budget spend and reporting to LGC Primary Heads can request up to 10,000 from CFO Secondary Heads can request up to 15,000 from CFO Primary Heads can request up to 10,000 from CFO Secondary Heads can request up to 15,000 from CFO Compliance to Trust policies 3.20 Open a bank account Approved signatory Approved signatory 3.21 Cashflow management 3.22 Investment policy Oversight and report to

9 Payroll starters, leavers and amendments 3.24 Payroll - administration 3.25 Payroll - system 3.26 Purchasing authorised to create vendors on the accounting system 3.27 Management of asset register Oversees systems of internal control and authorises changes Final authorisation of CLT payroll Authorised Oversight and report to Regular review of assets Authorisation of academy payroll Monitor and report to LGC

10 Delegated Authorities: 2018/2019 Type: Human Resources. 4.1 Approval of annual staffing budgets 4.2 Authorised to increase academy / organisational staffing Reviews costed staffing plans and makes recommendations Can authorise staffing changes beyond approved budget 4.3 Job description sign off Agrees JD 4.4 Job evaluation and procedures 4.5 Authorised to evaluate job grades Authorised to agree / vary basic employment T&Cs Recruitment, appointment and remuneration of CEO / AO and CFO Recruitment, appointment and remuneration of executive leaders Recruitment and appointment of Principals / s Appoints post jointly with the Appoints posts jointly with the Reviews costed staffing plans and makes recommendations Recommends staffing changes within approved budget. Reports changes to the Provides advice on JD Initiates job evaluation procedures oversight and crossorganisational grading Ensures consistent application of T&Cs to CLT SLT Reviews annual staffing plans Approves JD at academy level Part of the process Prepares and reviews annual academy staffing plans Agrees JD Part of the process where applicable Makes grading proposals to HR for consideration Part of the process where applicable

11 Recruitment and appointment of other academy senior leaders Recruitment and appointment of other staff may be involved in process 4.12 Recruitment processes 4.13 Signing of employment contracts 4.14 Annual approval of pay policy (including pay awards, pay point values, etc) but Chair must sign CEO contract 4.15 Determination of pay ranges (except CEO) 4.16 Appointment of outside range in salary structure 4.17 Allocation of TLR / SEN values Value of any other discretionary allowances Appropriate tax arrangements in place for senior employees (except CEO) 4.20 Annual pay progression process Consulted with Oversees recruitment process Signs contracts of executive leaders and academy leads Pay ranges for leadership staff Authorised Approves if exceeds total budget after consultation with CFO Authorised to approve Endorsements as AO Approves and authorises Leads process for central and as requested by academy leads Authorised to appoint staff within own staff Ensures legislative practice is followed HR team sign other employment contracts oversight and crossorganisational grading Approves and reports to Ensures consistency across the Trust Reviews proposal and recommend to CEO Manage process Ensures consistency Involved in process Should be involved in the process Should be involved in the process Oversight of academy staffing costs Oversight of academy staffing costs Authorised to appoint own staff with consultation Authorised to appoint staff Recruits in line with CLT policy Signs all academy staff contracts (except own) to the LGC to the LGC Proposal for new posts Proposal for other allowances Oversight of appraisal and recommendations to the LGC

12 Handling of all pension matters 4.22 Approval of use of discretions 4.23 Approval of CLT employment policies 4.24 Objective setting and performance appraisal 4.25 Approval of formal restructure plans 4.26 * Approval of severance or redundancy agreements Authority to issue warnings or other disciplinary measures except dismissal Authorisation of settlement agreements (except CEO) 4.29 Suspension (except CEO) Appraisal for those line managed Issue across own team and academy leaders - senior leaders and central team 4.30 Dismissal Direct HR 4.31 Appeals Direct HR to manage Makes arrangements Provides Appraisal for those line managed Issue across own staff Negotiations and recommendations to CEO own staff HR must be involved. Report to HR must be involved. Report to Adopts CLT policy Assists in leadership appraisals Approve and recommend to the Part of the process Part of the process Part of process May be called upon to boost appeal capacity Appraisal arrangements for staff Propose plans Part of the process Issue across own staff Part of the process Issue across own staff Part of process *Refer to City Learning Trust Disciplinary Policy, appendix 3 disciplinary action summary table from

13 Delegated Authorities: 2018/2019 Type: Health and Safety. 5.1 Health and safety policy 5.2 Adequacy of health and safety practice throughout the CLT 5.3 Critical incident and emergency plan, but monitors 5.4 H&S RIDDOR planning 5.5 H&S accident reporting 5.6 Statutory training 5.7 Statutory compliance testing 5.8 Academy H&S arrangements including committee and use of risk assessments 5.9 Fire risk assessments 5.10 Asbestos risk assessment 5.11 General monitoring and action plans to ensure site safety and building conditions CEO / AO DoO CLT SLT CaLT LGC Oversees arrangements and reports to Holds all CI plans, reviews as Ensures RIDDOR reporting in place Monitoring and reporting of exceptions Monitors and reports to Implements, monitors and reports to Provides and monitors Ensures all academies have valid FRAs Ensures all academies have valid assessments Reports to Monitors implementation Ensures academy arrangements are robust Ensures CI plans are robust Receive RIDDOR reports and action Receive H&S reports and action Monitors training Receives training and actions Receives academy reports Receives academy reports and actions Receives academy reports and actions Receives academy reports and actions Implements policy Oversees arrangements Holds and reviews CI plan Ensures RIDDOR reporting Ensures arrangements in place Ensures arrangements in place Monitors compliance Ensures H&S is reported to LGC Ensures FRA in place Ensures asbestos RA in place Building safety monitoring / action in place

14 Estates management (inc PFI arrangements) Buildings and premises conditions review (inc PFI arrangements) 5.14 Business continuity plan CEO / AO DoO CLT SLT CaLT LGC Oversees arrangements and reports to Monitoring and reporting of exceptions Provides Ensures academy arrangements are robust Ensures academy arrangements are robust Receives academy reports Oversees arrangements Oversees arrangements Managing the process

15 Delegated Authorities: 2018/2019 Type: Education & Curriculum Approval and monitoring of achievement and attendance data Approval and monitoring of targets and quality of T&L Approval of academy development plans Post-Ofsted sponsorship of schools or academies causing concern Post-Ofsted academy action plan sign off for Good or better Curriculum planning, implementation and review Sign off agreed CLT educational policies Sign off agreed local educational policies Proposing targets and reporting progress Proposing targets and reporting progress Trust priorities link to academy development plans Oversees development and delivery Approves local policies Provides Provides Develop curriculum plan Review local target setting and support in holding academy lead to account Review local target setting and support in holding academy lead to account Monitor academy improvement plans Monitor post-ofsted planning Monitor effectiveness of curriculum plan Approval of policy 6.9 Term dates Authorises Consulted 6.10 Length / organisation of academy day Authorises to CEO 6.11 Fixed term exclusions Monitors Receives report 6.12 Permanent exclusions Authorises Monitors Receives report Reports to LGC Reports to LGC Reports to LGC to LGC Deliver curriculum plan and reports to LGC to CEO to LGC Authorised, report to LGC and CFO Authorised, report to CEO, CFO, LGC and follows LA system

16 Exclusion appeals 6.14 Admission policies and criteria 6.15 Admission appeals Reports to the Makes policy recommendations Reports to the Monitors Receives report Follows LA system Consulted Receives report to CEO Follows LA procedure