advance trust scheme of delegation 2019-20 · 1 advance trust scheme of delegation 2019-20...
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Advance Trust Scheme of Delegation 2020-21
Overview:
1. Board of Directors (BOD)
2. Chief Executive Officer /Executive Principal (CEO)
3. Chief Operations Officer (COO)
4. Executive Headteacher (EHT)/ Headteacher (HT)/Head of School (HOS)
5. School Business Managers (SBM) / School Office Managers (SOM)
Certain functions and decision-making may be delegated to committees. These include:
1. Audit, Risk, Compliance and Financial Assurance Committee (ARC&F)
2. School Improvement Committee (SIC)
3. Academy Council (AC)
This Scheme of Delegation covers 7 key themes:
1) Education (page 2) 4) Operational (page 13) 7) Statutory Policies – School (page 18)
2) Finance (page 4) 5) Governance (page 16)
3) People (page 7) 6) Statutory Policies – Trust (page 17)
Key
Green identifies who has the delegated authority and / or power of approval
Yellow identifies the stakeholders who will be consulted prior to a decision. Bold job titles indicate who is expected to lead the consultation process and who is required to ensure the final approver (highlighted in green) is presented with a final recommendation and is fully aware of all relevant information.
The scheme of delegation will be reviewed and updated as required and at least annually for the start of the new academic year. It is to be read in conjunction
with a number of key documents including:
Memorandum and Articles of Association
Advance Trust Financial Handbook
The Academies Financial Handbook
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Document Control:
History of changes
Version Date Amended By Approved By Purpose
2 12.11.2019 Liz Hayward Include changes from COO to FO
3 24.02.2020 Wendy Mercer Update in line with Advance Trust Financial Handbook
1. EDUCATION DECISIONS
Function Board of Directors
Committee CEO COO/CFO EHT/HT/HOS Other
Approve trust 5 year strategic plan
BOD SIC CEO
Approve school development plan (SDP)
AC CEO EHT/HT/HOS
Approve academy monitoring and self-evaluation
AC CEO EHT/HT/HOS External
Consultants
Authority to monitor standards and overall effectiveness
AC CEO COO EHT/HT/HOS External
Consultants
Approve individual academy curriculum
AC CEO EHT/HT/HOS
Approve individual academy teaching and learning policy
AC CEO EHT/HT/HOS
Approve individual academy assessment policy
AC CEO EHT/HT/HOS
Approve any other academy policy (see below)
AC (via SIC) CEO EHT/HT/HOS
Approve academy pupil premium strategy
AC CEO EHT/HT/HOS SBM OR SOM
Approve academy sports and PE impact report (relevant only to KS2?)
AC CEO EHT/HT/HOS SBM OR SOM
Authority to issue a fixed term exclusion
EHT/HT/HOS
Authority to exclude permanently, pending meeting
CEO EHT/HT/HOS Behaviour
support
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Function Board of Directors
Committee CEO COO/CFO EHT/HT/HOS Other
Hearing of disciplinary committee meeting
AC
(plus 1 other) EHT/HT/HOS Local authority
Approval of change of academy hours
BOD SIC (via AC) EHT/HT/HOS
Approval of change term times, including extra training days
BOD SIC (via AC) EHT/HT/HOS
Approval to change of admissions policy
BOD SIC EHT/HT/HOS
Approval of academy attendance targets
AC (via SIC) CEO EHT/HT/HOS Attendance
Officer
Approval of safeguarding policies and procedures
AC (via SIC) CEO EHT/HT/HOS
Approval of termly Headteacher report to AC
AC CEO EHT/HT/HOS SBM OR SOM
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2. FINANCE DECISIONS
Function Board of Directors
Committee CEO COO/CFO EHT/HT/HOS Other
Staffing appointments
Any central trust staff hire outside of agreed budget
BOD CEO COO/CFO
Any academy staff hire outside of agreed budget
AC CEO COO/CFO EHT/HT/HOS
Decision to purchase supplies (goods), services or works (all in budget) including purchase order approval
Expenditure over £50,000 (including capital works)
BOD
Expenditure between £10,001 up to £50,000
CEO COO/CFO
Expenditure between £4,001 up to £10,000
CEO COO
Expenditure between £501 and £4,000
CEO COO/CFO EHT/HT/HOS
Expenditure up to and including £500
COO/CFO EHT/HT/HOS SBM OR SOM
Note: Any works that are greater than £2,500 require at least 3 quotes. Any capital works not in budget will follow the SoD for works not included in the budget below
Note: Multi Pay card expenditure is to be kept as minimal as possible as it is recognised as a high risk item for fraud, hence lower limits than standard expenditure
Decision to purchase supplies (goods), services or works not included in budget
Authority to approve purchase not in budget
SIC CEO COO/CFO
Note: Once approval has been given by the COO, any purchase above £50,000 or 5% of budget (whichever is lower) needs board approval. A budget recovery plan must be submitted to the COO.
Decision to agree to an operating lease
Lifetime value of £50,000 or more
Chair
Lifetime value of £25,001 and up to £50,000
ARC&F CEO COO/CFO
Lifetime value of over £5,001 and up to £25,000
ARC&F COO/CFO
EHT/HT/HOS
Lifetime value up to £5,000
COO/CFO
EHT/HT/HOS
Note: Finance leases must not be entered into without ESFA prior approval. Before any leases can be considered, regardless of value, approval to proceed must be sought
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Function Board of Directors
Committee CEO COO/CFO EHT/HT/HOS Other
from the COO. All paperwork pertaining to a lease must be retained by the academy and copies sent to the COO.
Writing Off Bad Debts
Authorisation to write off bad debts up to £45,000
CEO COO/CFO
Note: Debts exceeding 1% of total annual income or £45,000 require approval from the ESFA per single transaction.
Journals and Management Accounts
Authorisation of Journals CEO COO/CFO
Signing Contracts (in budget)
All new contracts above £50,000 or exceeding a 5-year term (annual value of no
more than £10,000)
Chair ARC&F
All other new contracts between £5,001 up to £49,999
CEO COO/CFO SBM OR SOM
All new contracts up to £5,000
COO/CFO SBM OR SOM
Renewal of contracts up to £10,000
EHT/HT/HOS SBM OR SOM
Any supply to third parties (excluding lettings or rentals)
COO/CFO SBM OR SOM
Note: SBM OR SOMs must inform and seek advice from COO prior to signing all contract for supply to third parties
Annual Budgets
Approving annual trust budget
BOD CEO COO/CFO
Approving individual academy budgets
BOD AC CEO COO/CFO
Authority to set individual academy budgets
ARC&F CEO COO/CFO EHT/HT/HOS SBM OR SOM
Authority to monitor, review and challenge budgets
ARC&F
COO/CFO EHT/HT/HOS SBM OR SOM
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Function Board of Directors
Committee CEO COO/CFO EHT/HT/HOS Other
SIC
Fraud, theft and / or irregularity
Investigation into fraud, theft and / or irregularity, suspected included
BOD ARC&F CEO COO/CFO EHT/HT/HOS SBM or SOM
Note: Any instances of fraud, theft and / or irregularity exceeding £5,000 individually or £5,000 cumulatively must be notified to the ESFA immediately
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3. PEOPLE DECISIONS
Function Board of Directors
Committee CEO COO Headteacher Other
Staffing Structures within approved budgets
Approving staffing
structure at trust level BOD SIC CEO COO
Approval staffing structure at academy level
BOD ARC&F CEO COO EHT/HT/HOS
Staffing structures not within previously agreed budgets
Approval of new structure
BOD COO EHT/HT/HOS
Note: Any proposed changes to the staffing structure post-budget approval cannot be made without receiving formal written approval from the board. All staffing structures are to be based on the optimum structure for each school type or size.
Appointment of...
Chief Executive Officer
BOD SIC
Chief Operations Officer
BOD SIC CEO
Central trust staff in education
SIC CEO
Central trust staff in support (finance, admin)
COO
Executive Headteacher
BOD CEO
Academy headteacher (including head of school)
CEO COO
Academy leadership team (including SENCo)
CEO COO EHT/HT/HOS
Academy teacher, HLTA, TA or any other support staff
COO EHT/HT/HOS
Academy admin / office, catering, site, cleaning
COO EHT/HT/HOS SBM or SOM
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Function Board of Directors
Committee CEO COO Headteacher Other
etc
Academy SBM OR SOM and / or financial support
COO EHT/HT/HOS
Note: The CEO and relevant EHT/HOS must be informed of all proposed and new appointments. All appointments are to be advertised centrally via the COO. The COO must always be consulted when agreeing pay grades for all new posts. All SLT appointments must comply with the trust optimum organisational structure. In the event that they don’t, the EHT/HOS have the power to intervene. The BOD reserve the right as single employer to refuse approval of the employment of any member of staff in any of its academies.
Signs employment contracts on behalf of the employer for the appointment of...
Chief Executive Officer Chair
Chief Operations Officer CEO
Central trust education staff
CEO
Central trust support staff
COO
Executive Headteacher CEO
Academy Headteacher CEO
Academy leadership team
EHT/HT/HOS
Academy SBM OR SOM and / or finance or support
COO EHT/HT/HOS
Performance management, pay progression and appraisal of...
Chief Executive Officer BOD ARC&F External
consultant
Chief Operations Officer BOD ARC&F CEO External
consultant
Central trust staff education
ARC&F CEO
Central trust staff support
CEO COO TBM
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Function Board of Directors
Committee CEO COO Headteacher Other
Executive headteacher ARC&F CEO External
Consultant
Academy headteacher ARC&F CEO
Academy leadership team (including SENCo)
CEO COO EHT/HT/HOS
Academy Teachers/ Teaching Assistants
COO EHT/HT/HOS SBM or SOM
All other academy staff COO EHT/HT/HOS SBM or SOM
Pay Progression
Approval of Trust wide pay policy
ARC&F CEO COO
Approval of nationally
set annual increments ARC&F CEO COO
Note: The CFO/COO must be made aware of all salary progression and pay awards and be consulted when agreeing payments to ensure they are in line with previously approved budgets
Settlement / severance agreements for all staff...
Approval of settlement agreement offer to be made
CEO COO
Approval below £50,000 BOD CEO COO
Approval above £50,000 BOD CEO COO
Note: No discussions in regard to a proposed agreement settlement can take place without prior approval from the CEO. All negotiations are to be led by the COO. All agreements below £50,000 will be formally reported to the board at the next available meeting. If the COO is involved then the prior approval is obtained from the CEO.
Agreements over £50,000 will be accepted or declined by board prior to the offer being made following approval received from DfE
Suspension and lifting of suspension of...
Chief Executive Officer Chair
Chief Operations Officer CEO
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Function Board of Directors
Committee CEO COO Headteacher Other
Executive Headteachers CEO COO
Central Trust staff CEO COO
Academy Headteachers CEO COO
Academy Leadership team
CEO COO EHT/HT/HOS
Academy teachers CEO COO EHT/HT/HOS
Academy non-teachers and support staff
CEO COO EHT/HT/HOS
Note: A formal suspension cannot be actioned without first informing Legal / HR and obtaining advice. The CEO or COO must always be informed prior to seeking advice for suspension (unless the subject of suspension) no later than one working day of the date of a suspension. The CEO has delegated powers to suspend any member of staff.
Approval to suspend is not required from the CEO where authority to approve is granted at a lower level
Disciplinary processes in respect of...
Chief Executive Officer Board panel Investigation officer + HR
Chief Operations Officer Board panel Investigation officer + HR
Central Trust team CEO COO Investigation officer + HR
Academy headteacher CEO Investigation officer + HR
Academy leadership team
CEO EHT/HT/HOS Investigation officer + HR
Academy teachers EHT/HT/HOS Investigation officer + HR
Academy non-teachers and support staff
EHT/HT/HOS Investigation officer + HR
Dismissal of...
Chief Executive Officer Board panel Advice from HR
Chief Operations Officer Board panel Advice from HR
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Function Board of Directors
Committee CEO COO Headteacher Other
Executive Headteacher CEO Advice from HR
Central Trust team CEO Advice from HR
Academy headteacher CEO Advice from HR
Academy staff other than headteacher
CEO COO EHT/HT/HOS Advice from HR
Note: The assumption is that all dismissal decisions are made following a formal hearing into misconduct or prolonged poor performance or lack of capability. In all cases, the CEO is to be informed of all hearing outcomes prior to a dismissal taking place. HR are always to be consulted and advice followed.
Appeal against disciplinary sanction, including dismissal, of...
Chief Executive Officer
Board panel (different to that
which made decision on
initial sanction)
Advice from HR
Chief Operations Officer
Board panel (different to that
which made decision on
initial sanction)
Advice from HR
Executive Headteacher Board panel
Advice from HR
Central Trust team Board panel
COO (if not involved in decision on
initial sanction
Advice from HR
Academy headteacher Board panel
COO (if not involved in decision on
initial sanction
Advice from HR
Academy staff other than headteacher
Board panel
CEO
COO (if not involved in
Advice from HR
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Function Board of Directors
Committee CEO COO Headteacher Other
decision on initial
sanction)
Formal hearings for grievance raised by...
Chief Executive Officer Board member Investigating
Officer
Chief Operations Officer CEO
Central Trust team CEO COO
Academy Headteacher CEO Advice from HR
Academy leadership Team
CEO EHT/HT/HOS Advice from HR
Academy teachers EHT/HT/HOS Advice from HR
Academy non-teachers and support staff
EHT/HT/HOS Advice from HR
Note: Hearings are made up of a single person decision maker (as delegated) who may appoint an investigation officer senior to the complainant to present at the hearing. If the grievance is against the person delegated to hear the grievance, then it shall be heard by the next level up on the scheme.
Dealing with formal parental or external complaints against...
Chief Executive Officer Chair (or
nominated Board member)
Chief Operations Officer CEO
Central Trust team CEO COO
Academy Headteacher CEO
Academy leadership Team
CEO EHT/HT/HOS
Academy Teachers CEO EHT/HT/HOS
Academy non-teachers CEO EHT/HT/HOS SBM OR SOM
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Function Board of Directors
Committee CEO COO Headteacher Other
and support staff Note: The individual delegated to hear the complaint may appoint an investigating officer senior to the employee whom the complaint involves in order to investigate the complaint and present their findings in a report.
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4. OPERATIONAL DECISIONS
Function Board of
Directors Committee CEO CFO/COO EHT/HT/HOS Other
Premise, property and asset management
Approval of annual premises plans
BOD SIC COO/CFO
Approval of asset management plans
BOD SIC COO/CFO EHT/HT/HOS SBM OR SOM
Disposal of assets greater than £5,000 NPV
SIC CEO COO/CFO
Disposal of assets less than £5,000 NPV
CEO COO/CFO EHT/HT/HOS
Approval of CIF bids or similar
BOD SIC COO/CFO EHT/HT/HOS SBM OR SOM
Approval of leases relating to buildings
BOD SIC COO/CFO EHT/HT/HOS SBM OR SOM
Note: Only the board can dispose of assets that include land and buildings and only following written formal approval from ESFA
Risk
Approve and monitor the trust risk register
BOD ARC&F CEO COO/CFO EHT/HT/HOS SBM OR SOM
Authority to take the necessary actions to mitigate trust risk
SIC
CEO COO/CFO
Approval and monitoring of academy risk register
SIC COO/CFO EHT/HT/HOS SBM OR SOM
Authority to take actions to mitigate risk at academy levels
COO/CFO EHT/HT/HOS SBM OR SOM
Note: Each academy council will receive a termly report on the relevant risk register although the responsibility for mitigating and reducing the risk has been delegated to the headteacher with support from the EHT/HOS and COO
Health and Safety
Approval of trust health and safety
BOD SIC COO/CFO SBM OR SOM
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Function Board of
Directors Committee CEO CFO/COO EHT/HT/HOS Other
strategy and policy
Authority to take action to ensure trust policies in place
SIC
COO/CFO SBM OR SOM
Authority to take action to ensure school policies in place
AC CEO
COO/CFO EHT/HT/HOS SBM OR SOM
Legal
Authority to seek advice
CEO COO/CFO EHT/HT/HOS SBM OR SOM
Authority to seek advice for major advice
CEO COO/CFO
Note: ‘Minor’ advice is that which is likely to take less than a 15-minute phone call. Anything above this is considered ‘major’ and likely to incur cost above the annual fee. Always seek advice from the FO/COO prior to contacting legal. EHT/HOS have delegated authority to give permission for SBM OR SOMs to contact QuickCall (Browne Jacobson) on their behalf for minor advice. In the event of the legal advice being HR related, the procured HR provider may be contacted but only with approval from the FO/COO.
Communications
Approve request for press releases identified as a risk
BOD
CEO
Approve marketing and PR press releases at trust level
SIC
CEO
Approve marketing and PR press releases at school level
CEO
Approve any requests for external writing, articles etc
CEO
Authority to make academy social media posts
EHT/HT/HOS
Authority to ensure academy websites are compliant
CEO CFO/COO EHT/HT/HOS SBM or SOM, ICT CONSULTANT
Authority to make CEO CFO/COO ICT
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Function Board of
Directors Committee CEO CFO/COO EHT/HT/HOS Other
changes to trust website
CONSULTANT
Membership and conversion
Approval of new schools joining the trust
BOD SIC CEO CFO/COO
Authority to undertake due diligence
CEO CFO/COO
Authority to project manage conversions
CEO CFO/COO
Authority to move to sign legal papers (lease, CTA, FA)
CEO CFO/COO
Note: The COO has delegated authority to sign the legal client care letter and undertake all discussions, negotiations etc on behalf of the trust with legal and relevant third parties (eg. DfE, councils, unions etc)
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5. GOVERNANCE DECISIONS (BOARD LEVEL)
Function Members Board of
Directors Committee CEO CFO/COO EHT/HT/HOS
Approve amendments to Memorandum and Articles
Members BOD
Approve Scheme of delegation and terms of reference
BOD
SIC
ARC&F
Approve statutory policies
BOD
SIC
ARC&F
Authority to direct academies to comply with agreed policy
CEO COO/CFO EHT/HT/HOS
Appointment of members and Directors
Members BOD
SIC
ARC&F
Appointment of external auditor, bankers and insurers
BOD ARC&F CEO
Receive the annual accounts
Members BOD ARC&F CEO
Approve the annual accounts
BOD
Appoint the Chair of Trust Committees
CEO COO/CFO EHT/HT/HOS
Membership Academy Council including chair and clerk
BOD CEO COO/CFO
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6. STATUTORY POLICIES – Trust Policies
Name of Policy Review Cycle Source of Policy
Allegations of Abuse against Staff Policy Annual WCC template
Charging and Remissions Policy Annual School Bus Template
Complaints Policy Annual School Bus Template
Child protection and Safeguarding Annual – to be personalised by school settings Worcestershire Safeguarding Children’s Board
Capability of Staff Policy Annual WCC Template
Data Protection Every 2 years School Bus Template
Equality Information and Objectives Policy Every 4 years School Bus Template
Finance Procedures (includes investment and tendering policies)
Annual Based on Academies Financial Handbook, from the WCC template
Freedom of Information Policy Annual ICO’s Model Policy
Grievance and Harassment Procedure Annual WCC Template
Members', Directors' and Governors' Expenses/Allowances Policy
Every 2 years WCC Template
Health and Safety Policy Annual – to be personalised by school settings Evolved over time
NQT Induction Annual WCC Template
Pay Policy Annual Existing Trust Policy, updated in line with STPCD
Whistleblowing Policy Annual School Bus Template
Single Central Record Policy Annual School Bus Template and KCSIE latest edition
Working in Academies including Code of Conduct
Annual WCC Template
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7. STATUTORY POLICIES – School Policies
Name of Policy Review Cycle
Accessibility Plan Every 3 years
Admissions Arrangements Policy Annual
Behaviour Policy Annual
Children with Health Needs who cannot attend school
Annual
Careers guidance: details of your careers programme and a provider access statement
Annual
Early Years Foundation Stage (EYFS) Annual
Exclusion Policy Annual
First Aid in Schools Annual
Special Education Needs and Disability Policy Annual
Sex and Relationships Education Annual
Supporting Pupils with Medical Conditions Annual