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?)


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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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


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2. FINANCE DECISIONS



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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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


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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


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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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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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


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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


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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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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decision on initial

sanction)

Formal hearings for grievance raised by...

Chief Executive Officer Board member Investigating

Officer


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


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)


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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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


Approval of CIF bids or similar


Approval of leases relating to buildings


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


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


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


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


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


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


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

Advance Trust Scheme of Delegation 2019-20 · 1 Advance Trust Scheme of Delegation 2019-20...

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