Commissioning Group Scheme of Authorisation including Statutory & Regulatory Duties and Powers

Transcription

1 g Group Scheme of Authorisation including Statutory & Regulatory Duties and The powers of those s defined in the Constitution as s are set out in Section 15 (Responsibility for Functions, Annex B, Scheme of Delegated Authority to s). Statutory s ( Executive, and Assurance ) and g s have a series of general delegated powers. s also have a specific set of delegations relating to the specific statutory powers or other functions that fall within their remit. The Constitution provides that s may sub-delegate these powers to other senior officers (Delivery Unit s, Delivery Unit Assistant s, Leads, g Leads, Heads of, s or s). Whilst actions and decisions taken using authority delegated by a will be taken in the name of the individual officer with delegated authority the is accountable for ensuring that decisions taken are lawful and in accordance with the Constitution. The should monitor the effectiveness of decisions taken under delegated powers, including ensuring that officers are appropriately skilled to exercise those powers. officers must exercise the following powers: Restructures where management arrangements at level or above are proposed to be changed Entry into formal partnership arrangements with other public bodies to deliver services Adding items to the work programmes of the themed / commisioning committees Section 15 (Responsibility for Functions) of the Constitution sets out restrictions to the exercise of delegated powers and these must be considered before exercising delegated powers. The Executive is authorised to discharge any functions delegated to g s. This scheme sets out the authorisation of the (Section 151 and ), (Deputy Section 151 ) and Commercial and s for the delegation of the following powers (as is their right under the scheme of delegation within the Constitution) to relevant managers within the g Group. The g s referred to in Appendix 1 maintain their own schemes of authorisation for the functions that sit within their remit.

2 g Group Scheme of Authorisation including Statutory & Regulatory Duties and Scheme of Delegation review procedure: The Schemes of delegation must be reviewed on annual basis. The review should commence in the first week of April each year and will aim to conclude within a month. g s are responsible for reviewing and signing off their Scheme of Delegation. HB Public Law should be engaged in the annual review of the schemes to ensure that they reflect current legislation. Following sign-off and publication to the website, s are responsible to communicate the new schemes to Delivery Units. If any urgent changes need to be made before the scheduled annual review (i.e. updates to legislation or constitutional changes which impact on the scheme) then schemes should be updated on an ad hoc basis (with HB Public Law engaged as appropriate) and published.

3 and General of g Group s with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated PROCUREMENT-subject to Contract Procedure Rules (CPRs) as set out in Barnet Council s Constitution in the event of dispute, the CPRs take precedence. Authorisation to commence a procurement process under 10,000 Audit trail including level sign off. Reasonable means of selection as defined in section in CPRs and evidence of having sourced and considered the local Barnet supplier market Acceptance process below 10,000 Audit trail retained by DU as per definition of acceptance in 17.1 of CPRs

4 and Variation or extension acceptance for contract value below 10,000 Authorisation to commence a procurement process between 10,001 to 25,000 with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated Must move to the next threshold if above 10,000 Procurement Forward Plan and Summary. level sign off, recommended to be on procurement forward plan over 10,000 Summary Minimum 2 written competitive quotations received under OJEU threshold Commercial and s may waive the requirement of 2 written quotes, subject to a Summary, demonstrating that

5 and with Delegated Authority (to lowest relevant level) Executive/ / g of requirements the market place has been fully tested and we have obtained value for money. (Delegated Acceptance process up between 10,001 to 25,000 (including contract signature) Variation or extension acceptance for contract value between 10,001 to 25,000 (including contract signature) Authorisation to commence a procurement process 25,001 to 164,176 All procurements above 10,000 must be advertised on the E-Portal and be subject to Tender Review. Summary level sign off On Procurement Forward Plan Minimum 2 competitive quotations received Summary If not on Procureme nt Forward Plan, Full No PQQ

6 and with Delegated Authority (to lowest relevant level) Executive/ / g of requirements Suitability Assessment Questions only (Delegated Acceptance process 25,001 to 164,176 (including contract signature) Variation or extension Acceptance for contract value 25,001 to 164,176 (including contract signature) Authorisation to commence a procurement process over 164,176 All procurements over 25,000 must be advertised on UK Contracts Finder Council officer approval according to the Scheme of Summary Delegation Summary Procurement Forward Plan, or Report to relevant theme committee Works and Concession Contracts: Full OJEU Tender

7 and with Delegated Authority (to lowest relevant level) Executive/ / g of requirements above 4,104,394 (Delegated Beneath threshold above 100k minimum 5 competitive quotations Goods: Full OJEU Tender s: Full OJEU Tender Health, educational, cultural and social care related services: Light Touch Regime Tender above. 589,148) Acceptance process over 164,176 (including contract signature) If within budget council officer in consultation with If within budget and agreed

8 and Variation or extension Acceptance for contract value over 164,176 (including contract signature) with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated Chairman of relevant theme committee, or Policy and Committee If within budget relevant theme committee HUMAN RESOURCES all delegated powers to be exercised in accordance with the Council s Human Policy and Section 15 and 24 of the Constitution. Agree advertisement and appointments to vacant posts at the same level or lower than the delegated officer (with the exception of Assistant and level posts that require GFC approval) No vacant posts at Assistant level or above shall be advertised or recruited to without prior Committee approval and all new posts at Assistant level or above shall be created by committee savings target on Procureme nt Forward Plan Full

9 and s to undertake arrangements and participate in recruitment selection panels Recruitment selection decision for Assistant s, Leads, g Leads and New starters paperwork to be reviewed including pre-employee checks for official sign off Changes to location / position of roles (and/or individuals) advised in writing to HR. For post within the directorate only and limited to posts below the notifying officers level Authorise loans and payments in advance to employees Collective market factor supplements in accordance with policy with Delegated Authority (to lowest relevant level) Executive/ / g of requirements decision (P&R, GFC or Urgency Committee) and not by delegated powers. to be 1 level above being recruited to HR form/ Letter/ HR letter HR form/ Letter/ SCB/General Functions Committee (Delegated

10 and with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated Authorise salary change and accelerated increment (excluding national and annual increments and restructures) movement through the range and above where appropriate HR form/ Letter/ Authorise overtime payments to SCP28 HR form/ Letter/ Authorise overtime payments above SCP28 HR form/ Letter/ Authorise car allowance claims HR form/ Letter/ Authorise season ticket loans HR form/ Letter/ Authorise Honoraria/acting up allowances HR form/ Letter/ Sick absence return to work meeting HR form/ Letter/ Authorise annual leave / flexi leave / TOIL HR form/ Letter/ Authorise annual leave carry over within policy HR form/ Letter/ Authorise special leave unpaid HR form/ Letter/

11 and with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated Authorise special leave paid HR form/ Letter/ Authorise time off/ facilities for Trade Union officials (internal) Notification of leaver to HR HR form/ Letter/ Termination of agency employee contract HR form/ Letter/ Disciplinary or capability action up to and including HR form/ Letter/ final written warning Hear appeal against dismissal and other disciplinary action as appropriate Dismissal HR form/ Letter/ Issuance of at risk and notice of redundancy letters in relation to major restructures and situations where TUPE would apply for 20 or more employees HR form/ Letter/ Sign off establishment list changes within financial envelope Change in designation of a post within the organisation structure without change in grade Agree settlement/instruct lawyers to defend Employment Tribunal Reporting Industrial injury in compliance with RIDDOR HR form/ Letter/ HR form/ Letter/

12 and with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated Disclosure and Barring / Border agency / HMRC statutory bodies enquiries Consultants: check status and compliance Agency worker deployment including placement of order and recruitment selection Finance and Business Planning authorise change at end of Finance and Business Planning consultation s ( s) Incorporate into business planning report to P&R and Full Council Yes restructures - opening of service consultation s ( s) Yes restructures authorisation (less than 20 officers) s ( s) Summary

13 and with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated TUPE in and out (less than 20 officers) s ( s) Workforce Board approval required Yes Authorise ad hoc Voluntary Redundancy, Compulsory Redundancy, Early Retirement, severance in line with Management Of Change and <100k s ( s) HR form/ Letter/HR Core Redundancy and payment authorisation after consultation s ( s)

14 and Write off monies owed by employees with Delegated Authority (to lowest relevant level) Executive/ s ( s) / g of requirements (Delegated HR form/ Letter/ UK Border Agency - Licence under the Home Office Certificate of Sponsorship Scheme (to take decisions on behalf of the Council as required) Authorisation of payroll scheduled and adhoc payments Pensions discretions as defined and agreed by the Pensions Fund Committee Executive Deputising arrangeme nt Head of Finance FINANCE Ensuring that all staff in the g Group are aware of the Financial Regulations as required by Section 151 of the Local Government Act 1972

15 and Maintaining a scheme of Financial Delegation for the g Group Reporting substantial breaches of Financial Regulations the g Group to the Section Approve changes to fees and charges within the g Group annually where the change is broadly in line with inflation with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated - Manage the g Group within the budget set by the council - Ensure that any expenditure incurred within their service is in accordance with both the purpose and objectives of the services being provided and provides value for money - Ensure that their revenue cost centre managers do not enter into commitments before satisfying themselves there is sufficient approved budget provision - Notify the Section of forecast revenue budget or capital project overspends

16 and - Submit proposals to the Section 151 for offsetting any forecast revenue overspend - Notify the Section of all revenue underspend, over-recovery of income or windfall benefits arising within their revenue budgets - Ensure that their capital project managers do not enter into commitments before satisfying themselves there is sufficient approved budget provision - Notify the Section of all underspend, over-recovery of income or windfall benefits arising within their revenue and capital budgets - Submit accurate forecasts to the finance function in line with the monitoring timetable set out by the finance function - Communicate forecast overspends on approved capital projects to the Section immediately and submit options to the Section for offsetting the forecast overspend with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated - Notify the Section if there is the possibility of expenditure slipping past a funding deadline

17 and - Explore all feasible options that maximise external funding available to the Council within the g Group - Provide the Section with details of all bids for external funding within the g Group - Advise the Section of all grant and subsidy notifications as soon as they are received - Ensure that all external funding is received from the paying body and, wherever possible, received ahead of the planned expenditure - Ensure that all conditions associated with external funding are met and that information and evidence required to complete grant and subsidy claims are provided on time - Ensure compliance with all requirements for the audit of external funding where applicable Ensure all adequate financial controls are in place before entering into a partnership with another organisation that involves pooling some of the Council s budgets. A financial risk assessment must also be prepared and monitored over time with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated

18 and Ensure that g Group adheres to the timetable and requirements set out by the Section for the closing of accounts, and provide any information and evidence required in relation to this Ensure that staff in g Group who use the Procurement Cards adhere to the requirements of the LBB Purchasing Card (PCard) Guide and Terms and Conditions with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated Ensure the proper security of all buildings, stocks, furniture, equipment and cash etc. within their service Notify the Section immediately of all new areas of risk and of any change of circumstances likely to affect existing insurance risks within g Group

19 and with Delegated Authority (to lowest relevant level) Executive/ / g of requirements (Delegated Agree financial settlement where recommended by the Ombudsman or a court. INFORMATION MANAGEMENT Authorisation of final responses and decision on redactions for Freedom of Information (FOI) requests within g Group Information Management Information Statutory requirement to respond within 20 working days Approval of responses to Subject Access Requests (SAR) for g Group Information Management Information Statutory requirement to respond within 40 working days Business continuity decisions for g Group Information Management (in absence of D)

20 and Specific of g Group s FINANCE To be the Council s statutory Finance / Section To be the Council s statutory Deputy Finance / Section Authorisation to sign off financial implication of committee reports Authority of with Delegated Authority (to lowest relevant level) Executive / Deputising arrangeme nt for statutory purposes - / g of Deputising arrangement for statutory purposes Finance Finance requirements

21 and Authorisation to sign off financial implication of Delegated Reports Maintain the Financial Forward Plan Determine which budget developments are to be held within the central contingency Approve expenditure on projects requiring matched funding contributions before the external funding has been confirmed Maintain the Insurance Strategy Handle all insurance claims, in conjunction with the and/or the insurance company if proceedings are issued Authority of with Delegated Authority (to lowest relevant level) Executive / / g of Finance Finance requirements

22 and REVENUES AND BENEFITS Sign off and submit statutory returns and subsidy claims: NNDR 1 NNDR 3 QRC returns CTB 1 Subsidy claims and estimates Authorise write-offs of Council Tax and NNDR To consider and authorise all discretionary awards for Council Tax and NNDR INFORMATION MANAGEMENT Senior Information Risk (SIRO)/ Information responsibilities including decisions on the acceptance of information risk In incidence of data breach authorisation to notify the Information Commissioner s Office (ICO) / Section 151 / Section 151 / Section 151 Executive Information Management (in absence of ) Information Management (in absence Revenues and Benefits Revenues and Benefits Revenues and Benefits Information (in absence of D Some returns require physical sign off by Finance /Section 151 Specialist advice to be sought from Data Protection or Information Yes

23 and In incidence of data breach powers to: - assess risks - decide on data recovery process - decide on notifying affected parties Emergency planning decision on incident response for Silver category incidents Use of resources to mitigate the effects of an emergency (up to 5,0000 Decision on whether a complainant falls under policy as an unreasonably persistent complainant ESTATES Authorisation of: Acquisitions Lease in (as tenant) Lease out (as landlord) for rent or Consideration Licences, Easements and Consents Compensations, Settlements and Covenants Less than 25,000 Executive Executive of ) Information Management Information Management Information Management Estates Management Emergency Planning and Head of Information Manageme nt) Information Governance in their absence Summary

24 and Authorisation of: Acquisitions Lease in (as tenant) Lease out (as landlord) for rent or Consideration 25, ,000 Authorisation of Licences, Easements and Consents, Compensations, Settlements and Covenants. 25, ,000 Authorisation of Acquisitions Lease in (as tenant) Lease out (as landlord) for rent or Consideration in consultation with the Chairman of the appropriate Committee in consultation with the Chairman of the appropriate Committee In consultation with the Chairman of the appropriate Committee In consultation with the Chairman of the appropriate Committee Full Summary Report to Assets, Regeneration and Growth

25 and Licences, Easements and Consents Compensations, Settlements and Covenants, Disposals. More than 100,001 Authorisation of Non-Value Variations post Authorisation for: Acquisitions Lease in (as tenant) Lease out (as landlord) for rent or Consideration Licences, Easements and Consents Compensations, Settlements and Covenants Committee (ARG) (The type of will depend on the type of which was initially agreed). Non-Value Variations post Authorisation for: Disposals Report to next Asset, Regeneration and Growth Committee Summary Authorisation of disposals Up to 100,000 Full (unless a Less Than Best transaction, which must be reported to

26 and Authorisation of disposals Over 100, Assets, Regeneration and Growth Committee Report Assets, Regeneration and Growth Committee- ARG) Acceptance of: Acquisitions and disposals Less than 10,000 And where acceptance meets Authorisation Criteria and is Compliant Acceptance of: Acquisitions and Disposals 10,001 to 25,000 And where acceptance meets Authorisation Criteria and is Compliant Estates Management Summary Acceptance of: Summary Summary

27 and Acquisitions and Disposals 25, ,000 And where acceptance meets Authorisation Criteria and is Compliant Acceptance of: Acquisitions and Disposals More than 100,000 And where acceptance meets Authorisation Criteria and is Compliant Acceptance of: Acquisitions and Disposals Less than 10,000 And where acceptance does not meet Authorisation Criteria or is not Compliant Note to Assets, Regeneratio n and Growth Committee Assets, Regeneration and Growth Committee Report Summary Acceptance of: Acquisitions and Disposals 10,001-25,000 And where acceptance does not meet Authorisation Criteria or is not Compliant Summary Acceptance of: Acquisitions and Disposals Full

28 and 25, ,000 And where acceptance does not meet Authorisation Criteria or is not Compliant Acceptance of: Acquisitions and Disposals More than 100,000 And where acceptance does not meet Authorisation Criteria or is not Compliant Assets, Regeneration and Growth Committee Report STREET SCENE Ensure compliance with The Department for Transport issued "The Secretary of State's Statutory Guidance to Local Authorities on the Civil Enforcement of Parking Contraventions" (the "Statutory Guidance" in February 2008) as updated or replaced. The Statutory Guidance is published by the Secretary of State under section 87 of the Traffic Management Act Section 87 (2) requires local authorities to have regard to the Guidance in the delivery of Civil Enforcement of Parking Contraventions Ensure consideration of the Department for Transport guidance issued in November 2010 to all local authorities ("Operational Guidance to Local Authorities: Parking Policy and Enforcement Traffic Management Act 2004"). The DfT Guidance sets out the policy framework within which the Government believes all local authorities g for Environment g for Environment Commercia l & Commercia l &

29 and should be setting their parking policies. Ensure that compliance with the Traffic Management Act 2004 is maintained. With the implementation of Part 6 of the Traffic Management Act 2004 in 2008, this became Civil Parking Enforcement. The Council has been operating decriminalised parking enforcement since Ensure that The Council s Parking Enforcement Plan (PEP) forms part of the Council's Local Implementation Plan (LIP) and is consistent with the Mayor s Transport Strategy (MTS), and supports the Barnet Corporate Plan Ensure that every street lighting column and illuminated traffic sign, or bollard, maintained by the Authority (including funded through the Street Lighting PFI Contract) complies with the current version of any relevant legislation and/or standards, including: The Management of Health and Safety Regulations (1999); The Electricity at Work Regulations (1989); The Electricity Supply Regulations (1988); The Environmental Protection Act (1990); Control of Substances Hazardous to Health Regulations (2002); CDM Regulations (2015); Traffic Signs Regulations & General Directions g for Environment g for Environment g for Environment Commercia l & Commercia l & Commercia l &

30 and (TSRGD) (2002); BS5489-1:2013 & BS EN and all other relevant European and British Standards for road lighting. REGISTRATION AND NATIONALITY Authorise any changes to Registration of Births, Deaths and Marriages scheme made under Section 14 of the Registration Act 1953 Strategy and Programmes Yes

31 and APPENDIX 1: COMMISSIONING GROUP ORGANISATIONAL STRUCTURE Note: Details of g s g Leads and Leads are set out in the g s individual schemes of authorisation Executive Strategy Communications Lead for Programmes & Performance Partnership Relationship (Support) Partnership Relationship (Growth & Development) Strategy & Programmes g for Adults & Health g for Environment Public Health

32 and g for Children & Young People g for Growth & Development Programmes Performance Parking & Infrastructure Information Management Finance Safety, Health and Wellbeing Estates Insurance