CHILDREN’S SERVICES DEPARTMENTAL PROCEDURE NO:
05/12
Children’s Services Scheme of Delegation
DATE:
1 April 2012
EFFECTIVE
DATE:
1 April 2012
CATEGORY:
General
KEYWORDS:
Children’s Services Scheme of Delegation
ISSUED BY:
Graham Ferguson, Business Manager,
Access, Performance & Resources
CONTACT:
Graham Ferguson graham.ferguson@hants.gov.uk
PROCEDURES
CANCELLED OR
AMENDED:
1st January 2009
REMARKS:
None
SIGNED:
DESIGNATION:
Felicity Roe
Assistant Director for Access, Performance & Resources, Access,
Performance & Resources
YOU SHOULD ENSURE THAT:-

You read, understand and, where appropriate, act on this information

All people in your workplace who need to know see this procedure

This document is properly filed in a place to which all staff members in your workplace have
access
Scheme of Delegation 01/04/2012
GENERAL
SCHEME OF DELEGATION
PURPOSE
The purpose of the scheme of delegation is to indicate the level at which decisions can be taken. It
indicates that certain decisions cannot be taken below this level, and this is the level at which decisions of
this kind will normally be taken. It does not imply however, that decisions are taken in isolation and without
consultation. Staff at all levels are expected to consult and take advice as appropriate. In some instances a
certain level of consultation is prescribed. In addition, the monitoring of decision making to ensure
standards are met, remains the responsibility of the line managers.
SCOPE
This procedure applies to all of Hampshire County Council Children’s Services , except for maintained
nursery, primary, secondary, and special schools.
POLICY
It is the policy of the Children’s Services Department to comply with the Financial Regulations and Standing
Orders of Hampshire County Council.
REFERENCES TO LEGAL, CENTRAL GOVERNMENT AND OTHER EXTERNAL DOCUMENTS,
INCLUDING RESEARCH
Children Act 1989
Children (Leaving Care) Act 2000
Children Act 2004
Freedom of Information Act 2000
Education Act 1966
Crime and Disorder Act 2003
Ensuring Regular School Attendance – guidance on the legal measures available to secure regular school
attendance (DfES) 2003
Anti-Social Behaviour Act 2003
Guidance on Education-Related Parenting Contracts, Parenting Orders and Penalty Notices (DfES) 2005
The Education (Pupil Registration) (England) Regulations 2006
Education and Inspections Act 2006
HAMPSHIRE COUNTY COUNCIL AND CHILDREN’S SERVICES DEPARTMENT REFERENCES
HCC Standing Orders
Mental Health Practice Handbook
Finance Manual
Employment in Hampshire County Council (EHCC)
Scheme of Delegation 01/04/2012
2
GENERAL
SCHEME OF DELEGATION
DEFINITIONS
None
ROLES
None
AUTHORITY TO VARY THE PROCEDURE
Agreed at Children’s Services Departmental Management Team meeting March 22nd 2012 that the
relevant member of CSDMT can approve in-year changes, liaising with the Director as appropriate. The
Business Manager in AP&R branch to effect approved changes and to present the Scheme of Delegation
annually to CSDMT in March with a schedule of all the changes made during the year.
Scheme of Delegation 01/04/2012
3
GENERAL
CHILDREN’S SERVICES SCHEME OF DELEGATION
PROCEDURE
CONTENTS
1.
Scheme of Delegation – Children’s Services
2.
Performance Standards
Appendix A – Write-off of irrecoverable debts
Appendix B – The purpose of the Imprest Account
Appendix C – Certified Payments
The scheme of delegation details general and specific accountabilities and the responsible officer.
Tier 3 = Members of Branch Management Teams
General Accountabilities:
Accountabilities
1
1:1
1:2
Responsible Officer
Personnel
Staff Selection (must be within establishment of workforce plan and budget and, during the operation of a
vacancy freeze with the express approval of CSDMT)
Approval for new posts
Member agreement through workforce plan via Deputy
Director/Assistant Director for Access, Performance &
Resources
Variation to Establishment
Member agreement through workforce plan via Deputy
Director/Assistant Director for Access, Performance &
Resources
Permission to advertise and recruit
Tier 4 Manager (CSDMT during the operation of a vacancy
freeze)
Agency staff
Tier 4 Manager (CSDMT during the operation of a vacancy
freeze)
Overtime costs
Staffing Budget Holder
Action following a positive CRB check
Deputy Director/Assistant Director for Access, Performance &
Resources
Staff Training
External training courses (inclusive of
Budget Manager and/or Tier 4 Manager
travel and expenses)
Away Day expenses
Scheme of Delegation 01/04/2012
Procedure Ref.
Financial Ceiling
Within budget
HR Resourcing Procedures
Within budget
EHCC Agreement
HR Policy & Guidelines
Within budget
EHCC Agreement
£1,500
Within budget
4
GENERAL
1:3
Accountabilities
Responsible Officer
Internal training courses
Business Units
Children & Families (Social Care)
Disciplinary Procedures
Informal Discussion
First Written Warning
Tier 4 Manager
Budget Manager and/or Tier 4 Manager
Learning & Development Manager
Final Written Warning
Dismissal Stage
Appeal
Suspension
Employees in first year of service
1:4
1:4
CHILDREN’S SERVICES SCHEME OF DELEGATION
Capability Procedure (performance)
Informal Discussion
Initial Formal Meeting/Formal review
Meeting
Final
Grievance
Scheme of Delegation 01/04/2012
Procedure Ref.
Financial Ceiling
Within budget
Within budget
Within budget
Line Manager
Line Manager to present – or Investigating Officer (if different
from Line Manager)
Panel: Manager who reports direct to BMT member (e.g. District
Manager) and HR
Line Manager to present – or Investigating Officer (if different
from Line Manager)
Panel: Area Director in C&F and E&I, BMT member in AP&R,
and HR
Line Manager to present – or Investigating Officer (if different
from Line Manager)
Panel: Deputy Director/Assistant Director for Access,
Performance & Resources plus Area Director in C&F and E&I,
BMT member in AP&R, and HR
Line Manager to present – or Investigating Officer (if different
from Line Manager)
First Written Warning Panel: Area Director in C&F and E&I,
BMT member in AR&P, and HR
Final Written Warning Panel: Deputy Director/Assistant Director
for Access, Performance & Resources plus Area Director in C&F
and E&I, BMT member in AP&R, and HR
Dismissal Panel: Members and member of Legal Team or
equivalent
Area Director in C&F and E&I, BMT member in AR&P, and HR
Step 1: Line Manager
Step 2: Manager who reports direct to BMT member (e.g. District
Manager) and HR
Appeal against Step 2: Area Director in C&F and E&I, BMT
member in AP&R, and HR
Line Manager
Line Manager to present + 1 x HR
HR Procedures EHCC
Tier 4 Manager + 1 x HR
HR Procedures EHCC
5
GENERAL
1:5
1:6
1:7
2
2.1
CHILDREN’S SERVICES SCHEME OF DELEGATION
Accountabilities
Responsible Officer
Informal Stage
Formal – Stage 2
Appeals
Appeals – Warning
Appeals – Dismissal (misconduct only)
Leave
Annual leave
Family Friendly leave
Carry over annual leave
(Maximum 5 days in special circumstances)
Compassionate leave up to 5 days
Between 5 – 10 days
Unpaid leave
Career Break
Time off for Public Duties
Miscellaneous
Authorisation for ID cards
Special Recognition Payments (under review)
“Ex gratia” payments
Additional payments – acting up
Provision of Employment Reference
Change of role profile match
Individual Performance Plan (IPP) rating
IPP rating moderation
Discussion with Line Manager
Line Manager or Senior Manager not previously involved
Progress a member of staff to “exceptional”
level
Early retirement and access to
pension/flexible retirement
Approval of travel claims
Request payment for Eyesight Test
Finance
Contracts with outside bodies, eg Limited
Companies and Consultants
Director
Procedure Ref.
Financial Ceiling
2 x Managers more senior than at disciplinary stage + 1 x HR
Panel of County Councillors
HR Procedures EHCC
Line Manager
Tier 3 Manager
Tier 4 Manager otherwise Tier 3 Manager for District Manager
Line Manager
Tier 3 Manager
Tier 3 Manager
Tier 3 Manager
Tier 3 Manager
Tier 3 Manager
CSDMT
Assistant Director for Access, Performance & Resources
Tier 3 Manager
Line Manager to provide/signed off by Tier 4 Manager
Tier 3 Manager, in consultation with HR
Line Manager
Branch Management Team/CSDMT
CSDMT, in accordance with Corporate approvals
Line Manager
Line Manager
Financial Procedures
Rates set by Corporate
Governance Committee
http://www3.hants.gov.uk/con
stitution/part3/part3_f.htm
Tenders for Contracts
Scheme of Delegation 01/04/2012
Rules of tenders included in
6
GENERAL
CHILDREN’S SERVICES SCHEME OF DELEGATION
Accountabilities
Responsible Officer
Contract where total value is up to £25,000
Tier 3 Manager, may be delegated to Tier 4 Manager
Contract where total value is above £25,000
up to £100,000
Deputy Director/Assistant Director for Access, Performance &
Resources may be delegated to Tier 3 Manager
Contract where total value is over £100,000 up
to £1,000,000
Head of Corporate & Legal Services
Contract where total value is over £1,000,000
Key Decision - Cabinet
Awarding Grants to Voluntary Organisations
Up to £5,000 Tier 4 Manager
Executive Lead Member if over £5,000
Procedure Ref.
Financial Ceiling
Financial Procedures
2.2
2.3
a)
b)
c)
d)
e)
2.4
2.5
2.6
Capital Expenditure
Expenditure up to £250,000
Expenditure over £250,000
Corporate Financial Procedures
Financial Management
Financial Planning
Risk Management & Control of Resources
Financial Systems and Procedures
External Arrangements
Approval by Strategic Planning Manager, after consultation with
appropriate Executive Member
Approval by appropriate Executive Member
Scheme of Delegation 01/04/2012
For grants up to £5,000
For grants over £5,000
Cabinet decision
23 April 2007
Up to £250,000
None
See Corporate Financial
Procedures
http://www3.hants.gov.uk/fi
nance/rules/financialprocedu
res.htm
Departmental Financial Management
including Budget Monitoring
Business Units
Financial Systems and Procedures
Funding Agreements/Service Level
Agreements & Approved Programmes of
Activities
Funding criteria and systems of financial
allocations to schools
Overview and Scrutiny:
http://www3.hants.gov.uk/cx
-scrutiny-decisions.htm
Up to £25,000 (NB, excludes
placement of an individual)
Above £25,000 up to £100,000
(NB, excludes placement of
individual)
Above £100,000 up to
£1,000,000(NB, excludes
placement of an individual)
Over £1,000,000
Financial Procedures
CS Finance Manual
See Financial Procedures –
Section D5
http://www3.hants.gov.uk/fi
nance/rules/financialprocedu
res.htm
Tier 3 Manager
Scheme for Financial
Management of Schools
approved by Executive
7
GENERAL
CHILDREN’S SERVICES SCHEME OF DELEGATION
Accountabilities
Financial allocations to schools, cluster and
consortium arrangements, partnership bodies,
community bodies for programmes of
activities, e.g., Adult Education; Community
and Parent Education; 14-19 Diplomas;
School Inclusion and/or Improvement
Partnership; and under other SLAs.
2.7
Writes Off
Writes off up to £1000
Writes off over £1000 and up to £5,000
Writes off over £5,000 and up to £50,000
Writes off above £50,000
Scheme of Delegation 01/04/2012
Responsible Officer
Budget Manager
County Treasurer (in consultation as necessary with Director)
Director and County Treasurer
Joint report from Director and County Treasurer for approval by
Executive Member
Joint report from Director and County Treasurer for approval by
Leader
Procedure Ref.
Financial Ceiling
Member and Schools Forum
http://www.hants.gov.uk/ed
ucation/schools/lmscheme/i
ndex.php
General principles. See
Corporate Financial
Procedures
http://www3.hants.gov.uk/fi
nance/rules/financialprocedu
res.htm of specific relevance
to schools for their
involvement – see Scheme for
Financial Management of
Schools
http://www.hants.gov.uk/ed
ucation/schools/lmscheme/i
ndex.php
See Appendix ‘A’
Up to £1,000
Over £1,000 up to £5,000
Over £5,000 up to £50,000
Above £50,000
8
GENERAL
SCHEME OF DELEGATION
Branch Delegation Accountabilities:
3
Accountabilities
Responsible Officer
Finance
All payments must be made in accordance with Financial procedures i.e. against a SAP order. (Exceptions
apply for certified payments)
Children’s Centre purchases
Centre Manager/Co-ordinator
District Manager/Team Manager
a)
b)
Approval of Care Package (excluding in-house
residential care)
Approval of Care Package (excluding in house
residential care)
Backdating of various allowances, eg, adoption,
kinship, etc
Authorisation of cost of secure placement
Petty Cash Limits and Authorisation Levels with
effect from 1 November 2007
General (Office Services)
Children’s Centres
c)
Early Education & Child Care Unit (EECU)
Imprest Holder
d)
Social Care (per transaction)
Social work and Locality teams (up to £100)
Social work and Locality teams (above £100 and up
to £250)
3.1
Social work and Locality teams (over £250)
Units (up to £100 per transaction where appropriate
to the day to day activities of the Unit and with
regard to care group)
Units (above £100)
Care leavers emergency payments (up to £400)
Care leavers emergency payments (above £400)
Scheme of Delegation 01/04/2012
Procedure Ref.
Financial Ceiling
See Appendix ‘C’
See Children’s Centre Financial
Management Guidance
Financial Procedures
CS Finance Manual
Tier 3 Manager (Head of Service/Area Director)
Up to £2,500
Up to £1,500 (one-off and/or
weekly rate)
Above £1,500 (one-off
and/or weekly rate)
District Manager/Team Manager/Tier 3 Manager
Deputy Director
See Appendix ‘B’
Imprest Holder
Team Manager
Team Manager, in consultation with District Manager (NB:
exceptions would be TV licence applications and court fees
that are fixed and over £100 – these would not need
consultation with District Manager).
Team Manager, in consultation with District Manager and
DFU Principal Accountant
Unit staff
Receipts over £25 must be initialled by Unit Manager.
Unit Manager, in consultation with District Manager
Team Manager
Team Manager, in consultation with District Manager and
DFU Principal Accountant. Retrospective approval by District
Manager and DFU Principal Accountant is permitted when it
relates to housing costs, and there has been insufficient time to
See Appendix ‘B’
See Children’s Centre Financial
Management Guidance
See EECU Financial
Management Guidance
Financial Procedures
CS Finance Manual
Up to £50
Up to £50
£100
£250
Balance available of the
authorised imprest account
£100
Balance available of the
authorised imprest account
£400
Balance available of the
authorised imprest account
9
GENERAL
SCHEME OF DELEGATION
Accountabilities
4
5
6
Responsible Officer
obtain these approvals in advance.
Foster carers emergency payments (up to £400)
Team Manager
Foster carers emergency payments (above £400)
Team Manager, in consultation with District Manager and
DFU Principal Accountant
N.B. Petty cash MUST NOT be used for purchases of equipment, furniture, or services such as window cleaning
Decision to seek legal advice from Chief
Team Manager after discussion with District Manager
Executive's department (Children & Families
Social Care Sector)
Complex Needs – Shared Funding
(NB: excludes NCP placements – see 7.13)
Assessment
Care Manager/Social Worker
Negotiation with Health to gain agreement in
District Manager delegated to Team Manager
principle
Negotiations with other Agencies re Funding.
District Manager
Dispute with outcome
Aids and Adaptations (Children in Care &
EECU)
Agreement to adaptations (within the target budget) –
where the Children’s Services contribution is:
-up to £500
Team Manager/Strategic Manager
-over £500 and up to £1, 200
District Manager/Tier 4 Manager
Agreement to the provision of special equipment
(within the target budget):
Budget is held in ICES (Integrated Community Equipment
Store)
Procedure Ref.
Financial Ceiling
£400
Balance available of the
authorised imprest account
The provision of aids and
adaptations for children in care
http://www3.hants.gov.uk/pro
c0507-2.doc
Up to £500
Over £500 up to £1,200
Approving applications for special equipment from
health service OTs
children’s equipment
7
7:1
Children and Families (Social Care).
Practice Accountabilities
Decisions on outcome of referrals and assessments
Scheme of Delegation 01/04/2012
Referral to Team Manager with appropriate reports and
supporting approvals.
Team Manager
10
GENERAL
7:2
7:3
7:4
a
b
7:6
7:7
7:8
SCHEME OF DELEGATION
Accountabilities
Responsibility to assess case
Responsible Officer
Case Holder
Responsibility to call a child's care planning or review
meeting
Team Manager
Chairing of child's care planning meeting
Chairing a non CLA review meeting
Agreeing to accommodate a child with parental
consent
Agreement to discharge a child who is
accommodated under Section 20, 1989 Children Act
Decision to apply for an EPO (Emergency
Protection Order)
Team Manager
Team Manager
District Manager may be delegated to Team Manager
7:9
Decision to instigate care proceedings in any court
7:10
Signing of applications to court
Signing of care plans to court
Decision to apply for discharge of care order
7:11
7:12
a
b
7:13
a
b
c
d
7:14
a
b
7:15
7:16
7:17
Procedure Ref.
Financial Ceiling
Team Manager
District Manager following strategy discussion. In exceptional
circumstances, where delay would place the child at risk,
delegated to Team Manager
District Manager. In exceptional circumstances, where delay
would place the child at risk delegated to Team Manager.
Team Manager
District Manager
Team Manager following CLA Review and appropriate
consultation with District Manager
Monitoring care plans of Looked After Children
Monitoring care plans of non Looked After Children
Team Manager of caseholder and Independent Reviewing
Officers
Caseholder and Team Manager
Agreement to placement with foster carers
Agreement to placement with IFAs
Agreement to non-county residential placement
Authority to terminate or suspend placement as a
consequence of challenging behaviour
Team Manager/Social Worker
Tier 3 Manager
Tier 3 Manager
To ensure statutory reviews of CLA are carried out as
per Departmental policy
Authority to postpone a CLA Review beyond
statutory time limits
To chair statutory reviews of CLA
Carrying out of statutory visits for CLA
Ensuring statutory visits have taken place in
accordance with legislation
Independent Reviewing Officer with Team Manager
CLA Procedures
NCP Procedures to follow
Scheme of Delegation 01/04/2012
District Manager may be delegated to Team Manager
Independent Reviewing Officer with child’s District Manager
Independent Reviewing Officer
Caseholder
Team Manager
11
GENERAL
7:18
7:19
7:20
SCHEME OF DELEGATION
Accountabilities
Missing children : notifying police
Death of a child in care
notifying the Director
notifying the Deputy Director and Tier 3
Manager
Informing Executive Member
notifying Ofsted/Children’s Services Advisor
GOSE
Children Looked After. (NB: refer to out of hours
service re. foster care)
Consent to: immunisation/ vaccination (e.g.
meningitis)
Consent to emergency treatment
Consent to surgery
Consent to contraceptive treatment
7:21
Consent to marriage of CLA or Care Order
7:22
Consent to termination of pregnancy and HIV testing
of CLA
Signing a passport application of CLA
7:23
7:24
7:25
7.26
7:27
Responsible Officer
Registered Manager/Team Manager delegated to key worker
or social worker- District Manager to be informed
Procedure Ref.
Financial Ceiling
Deputy Director
District Manager
Deputy Director
Safeguarding Unit Manager in consultation with child’s District
Manager
Parent and/or Carer/Social Worker
Parent and/or Carer/Social Worker
Parent and/or Carer/Social Worker
Parent and/or Carer/Social Worker
Sexual health and education of
service users procedure
http://www3.hants.gov.uk/pro
c1905.doc
Section 4.8
For Medical Consent
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ts.gov.uk/LinkViewer/LinkView
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Parent and/or District Manager following consultation with
Tier 3 Manager
Parent and/or Tier 3 Manager in consultation with young
person (Fraser competent)
Director/Deputy Director/Area Directors (applicant
signatory)
Social Worker (countersignatory)
Team Manager in consultation with District Manager
Team Manager/Line Manager
Authorising a trip abroad for CLA
Authorising request for CRB checks on children’s
HR Procedure on CRB Checks
carers
Informing Ofsted re. CRB check
Tier 3 Manager
Consent to initiate criminal proceedings for criminal
Registered Manager following consultation with District
damage, on behalf of the Department, against a
Manager
young person in a residential unit
NB Decisions in respect of children who are the subject of Court Proceedings (Civil or Criminal) are not delegated within the department as they remain within the jurisdiction of the Court. Children on a Care Order are
Scheme of Delegation 01/04/2012
12
GENERAL
7:28
7:29
7:30
7:31
7:32
7:33
a
b
7:34
7:35
7:36
7:37
7:38
7:39
7:40
7:41
7:42
7:43
7:44
7:45
7:46
SCHEME OF DELEGATION
Accountabilities
those who are on a Care Order to Hampshire County Council.
Case allocation/closure
Authority to place looked after children at home or
with person who has parental responsibility.
Authority to place siblings separately long term in
foster placement
Authority to place siblings separately short term
Authority to place children separately where
Adoption is the plan
Agreement to suspend contact (child on Care Order
Section 34(6) Children Act 1989
Notification of all persons concerned
Contact at discretion of Local Authority
Secure Accommodation
Receiving requests for secure accommodation
applications
Making application to Deputy Director for Secure
Accommodation
Authority to endorse secure application
Ensuring that the secure accommodation regulations
are met
Family Placement
Refer to Family Placement Manual
Adoption
Refer to Adoption Manual 2006/2009
Residence Orders
Departmental agreement to apply for Residence
Order
Departmental agreement to apply for a Special
Guardianship Order
Departmental approval for Kinship Care Placement
Child Protection List
Responsibility for maintenance of List of Child
Protection Plans
Notification of any changes to details included on
List
Responding to enquiries to List Out of Hours
Scheme of Delegation 01/04/2012
Responsible Officer
Procedure Ref.
Financial Ceiling
Team Manager
District Manager
(Placement of Children with Parents Regulations)
District Manager following "sibling separation meeting" and
panel advice and subject to agreement of fostering service
decision maker
Team Manager
(Adoption Agency Decision Maker)
District Manager with Chief Executive’s legal advice
Team Manager with Chief Executive’s legal staff
Team Manager following LAC Review
Registered Manager of Swanwick Lodge
Tier 3 Manager
Deputy Director may be delegated to Tier 3 Manager
Registered Manager of Swanwick Lodge – delegated to senior
on duty
Refer to Financial Schedule and Procedure Document
Refer to Financial Schedule and Procedure Document
District Manager
Refer to Financial Schedule and Procedure Document
Adoption/District Manager
Refer to Financial Schedule and Procedure Document
District Manager
Refer to Financial Schedule and Procedure Document
Strategy Manager Safeguarding Unit delegated to Child
Protection Commissioning Officer
Independent Reviewing Officers Admin
Team Manager in the OOHs team delegated to the OOHs
13
GENERAL
SCHEME OF DELEGATION
Accountabilities
7:47
7:48
7:49
7:50
7.51
Authorising child not being seen in first 24 hours
Child Protection
Decision to initiate Section 47 Enquiry
Decision to call Initial Child Protection Conference
following Section 47 enquiry
Decision not to call Initial Child Protection
Conference following Section 47 enquiry
Signing off CP1
Responsible Officer
social workers
Team Manager
Procedure Ref.
Team Manager
District Manager – may be delegated to Team Manager
Safeguarding Children Policy
District Manager
District Manager – may be delegated to Team Manager
7:52
7:53
7:54
Chairing of Initial Child Protection Conferences
Chairing of Review Child Protection Conferences
Delay of Child Protection Conference/Review
beyond timescales
8.
Institute Proceedings in respect of school
registration and non-school attendance
Proceedings under Section 443 of the Education Act Locality Team Manager
1996 for failure to comply with the School
Attendance Order
Proceedings under Section 444 of the Education Act District Manager
1996 for failure to ensure regular and punctual
school attendance
Proceedings under Schedule 3, Paragraph 18 of the
District Manager
Children Act 1989 for failure to comply with
directions given during the course of an Education
Supervision Order
Proceedings under Section 9 of the Crime and
District Manager
Disorder Act 1998 for failure to comply with
directions given as part of a Parenting Order
Issue Penalty Notices under Section 444A of the
Locality Team Manager
Education Act 1996 in respect of unauthorised
absence from school
Institute proceedings under Section 36 of the
Locality Team Managers
Children Act 1989 for an Education Supervision
Order
School Organisation Proposals
Procedures to deal with School Organisation
Assistant Director for Access, Performance & Resources, may
Proposals under Education and Inspections Act
be delegated to Head of School Organisation
2006
8.1
8.2
8.3
8.4
8.5
8.6
9.
9.1
Scheme of Delegation 01/04/2012
Financial Ceiling
Independent Reviewing Officer
Independent Reviewing Officer
District Service Manager, with Independent Reviewing Service
Manager to inform Area Director
Under the terms of the
constitution of HCC
14
GENERAL
SCHEME OF DELEGATION
Accountabilities
Special Educational Needs
Statutory assessment – refusal to assess
Education Act 1996 and amendments 2001
Statutory Assessment – agreement to assess
Education Act 1996 etc
Responsible Officer
Procedure Ref.
Education Officer Special Educational Needs (SEN)
SEN Code of Practice and SEN
Criteria
“
PSNO
“
10.4
10.5
Decision to write a proposed statement of
SEN/Note in Lieu of a statement
Decision re content of statement - resources
Decision re content of statement re placement
PSNO/Education Officer (EO) SEN
PSNO/EO SEN
10.6
Decision to refuse a request for a further assessment
PSNO/EO SEN
10.7
10.8
10.9
10.10
Decision to carry out a further assessment
Decision to cease to maintain the Statement of SEN
Decision to lapse the statement of SEN
Decision to amend statement at transition point on
basis of Annual Review
Decision to amend at other times on basis of
significant change of needs indicated in Annual
review
Decision to direct a school to admit a child with a
statement
Decision to defend a SENDIST appeal
Decision to make an out-county placement in an
independent/non-maintained school
Decision to commission an alternative provider
Decision to convene a case planning meeting (multiagency)
Decision to pay pre-school sessional funding
PSNO/EO SEN
PSNO/EO SEN
PSNO
PSNO
Internal guidance
SEN Code of Practice and
internal guidance
SEN Code of Practice and SEN
criteria
“
“
“
“
PSNO
“
10
10.1
10.2
10.3
10.11
10.12
10.13
10.14
10.15
10.16
10.17
10.18
11.
11.1
11.2
11.3
Decision outcome:
- Agreed Place Numbers in resourced provision
- Agreed Place Numbers in special schools.
Specialist Teacher Advisory Service
Practice Accountabilities
Decision to allocate new referrals
Decision regarding visit rate to a child and/or school
Moderation of visit rate to children
Scheme of Delegation 01/04/2012
Principal Special Needs Officer (PSNO) and /or County
Moderation Group
Financial Ceiling
EO SEN
EO SEN
EO SEN/County Services Manager SEN and Specialist
Teacher Advisory Service (STAS)
EO SEN
EO SEN
“
CPG terms of reference
PSNO
Guidance document re. preschool funding.
Up to £200,000 per annum.
Up to £60,000 per annum.
EO/SEN County Services Manager for SEN & STAS
EO/SEN County Services Manager for SEN & STAS
Professional manager/area coordinator
Specialist Teacher Adviser (STA)
Professional manager/area coordinator
Team Handbook
15
GENERAL
SCHEME OF DELEGATION
Responsible Officer
STA
11.12
Accountabilities
Responsibility to assess the needs of child and
prepare written reports including Annual Review
reports and to maintain visit logs
Responsibility to maintain accurate records and
individual case files
Moderation of content of reports and record keeping
Completion of Appendix B requesting Statutory
Assessment for pre-school children
Responsibility to ensure manageable caseloads for
Specialist Teacher Advisors
Responsibility to prepare Appendix F reports
Responsibility to liaise with parents and schools, and
to call and attend meetings as required
Responsibility to identify equipment needs of
individual children and to order if appropriate
Responsibility to identify training needs
11.13
Coordination of training needs
Professional managers (HI, VI, PD, CPD)
11.14
11.15
Decision to ‘no further action’ a case
Responsibility for monitoring equipment loaned o
schools and other settings
Responsibility to liaise with statutory and voluntary
bodies
Responsibility to maintain professional standards in
disciplines
Financial
Approval of travel claims
Approval of orders for equipment
Approval of travel claims for CPD
Responsibility to ensure balanced budget
Decision to write off equipment
Approval of application for courses and funding
Home to School Transport
Variations
STA
STA
11.4
11.5
11.6
11.7
11.8
11.9
11.10
11.11
11.16
11.17
11.18
11.19
11.20
11.21
11.22
11.23
12.
12.1
Scheme of Delegation 01/04/2012
Procedure Ref.
Team Handbook
Financial Ceiling
STA
Professional manager
STA, Visual Impairment (VI), Hearing Impairment (HI),
Physical Disability (PD)
Professional manager, (VI, HI, PD) STAs
STA (VI, HI, PD)
STA
Code of Practice
Code of Practice
STA
STA/Professional managers
Performance management
policy
Performance management
policy
Within budget
STA
Professional manager
EHCC
Professional managers
Professional managers
Professional manager – CPD
Professional managers
Professional managers
Professional manager CPD
Head of Information, transport & Admissions(may be
delegated to Tier 4 Manager)
Within budget
Home to School
Transport – Entitlement Policy
http://www.hants.gov.uk/educ
ation/department/plans/hometo
school/index.php Home to
School Transport Policy &
16
GENERAL
Accountabilities
Scheme of Delegation 01/04/2012
SCHEME OF DELEGATION
Responsible Officer
Procedure Ref.
Procedures Document –
Education other than at School
(EOTAS)
Financial Ceiling
17
GENERAL
SCHEME OF DELEGATION
2.
Performance Standards
2.1
This procedure will be reviewed annually to ensure that it is compatible with other procedures and
takes into account any changes in legislation.
Scheme of Delegation 01/04/2012
18
GENERAL
SCHEME OF DELEGATION
Appendix A
WRITE-OFF OF IRRECOVERABLE DEBTS
Writes-off – the cancellation of a debt, whether or not an invoice has been raised, when the debt
is unlikely to be collected due to unforeseen circumstances or attempts at debt recovery have
failed.
It is the responsibility of the County Treasurer to agree and record the write-off of debts up to the
value of £1,000. It is the responsibility of the County Treasurer, in consultation with the Chief
Officer of the service department, to agree and record the write-off of debts over £1,000 and up
to £5,000. The write-off of debts in excess of £5,000 and up to £50,000 can only be agreed by an
Executive Member, and above £50,000 can only be agreed by the Leader.

The full value of the debt will, ordinarily, be charged to the budget manager responsible.

A Gen 25 must be completed to request a write-off of any value. This must be signed by
the appropriate officer(s) in order for the write-off to be actioned.

A copy of the Gen 25 should be kept on the client’s financial file, for this reason a copy of
the signed Gen 25 must be sent to the Group Finance Manager.
The completed Gen 25 must be sent to the County Treasurer’s Department – Income Section.
Proc
(Proc 1/08
17
2008)
GENERAL
SCHEME OF DELEGATION
Appendix B
The purpose of the imprest account
A petty cash or imprest account is an amount advanced to an individual establishment for the
following purposes:

to make HCC purchases locally

to make small payments where there is no other appropriate payment system to
use
There are a number of ways in which goods and services can be ordered:
 Generally, all orders raised in relation to the care of a client should be raised through
SWIFT.
 Orders not relating directly to the care of a client should be raised, wherever possible
through the County Supplies catalogue (EBP).
 Special Requests should only be raised for ‘one-off’ purchases not relating to an
individual client, for example when the goods or services being ordered are not in the
County Supplies catalogue and/or a suitable vendor has not yet been identified.
 Certified Payments relate to those invoices which may be sent to the County Treasurer
for payment and for which a purchase order is not appropriate.
The petty cash advance is made to a National Westminster Bank Account which is titled "HCC
Re: (name of establishment) Imprest Account". Reimbursement of petty cash is made direct to
the imprest bank account by a bank credit transfer.
The imprest holder is responsible and accountable for the petty cash advance, even if the day to
day management of the account is delegated to another member of staff. Deficits must be paid
by the imprest holder when instructed by the Devolved Finance Unit (DFU) or internal audit.
If the imprest holder leaves or is absent from work for a long period, the District Manager must
contact their contact person in the DFU or the Control & Compliance team in the DFU so that a
handover of finances can be arranged. Until a handover of finance is carried out, the imprest
holder remains responsible and accountable.
If the imprest holder leaves HCC prior to a handover, the District Manager assumes responsibility
and accountability of the imprest account.
Proc
(Proc 1 /08
18
2008)
Appendix C
Certified Payments
Version 1.5
28.06.2007
Proc
(Proc 1/08
19
2008)

Introduction
All purchases should be supported by a purchase order in SAP/EBP. Any payments that are an
agreed exception to this policy (known as ‘certified payments’) cannot be processed locally.
Such invoices will be processed centrally by the County Treasurer’s Department.
It is acceptable for departments or establishments to choose to raise orders for the certified
payments contained in the document, where it is their preference to do so. Where departments
or establishments choose to do this, any invoices received can then be processed locally
against the purchase order and do not need to be sent to the County Treasurer for payment.
Purchase orders should always be raised for all purchases unless the item meets the certified
payments criteria.
If an invoice is received for which there is no purchase order and it does not fit the criteria for
certified payment, then an order should be raised in EBP and the goods receipt and invoice
processed against the order in SAP. If the required vendor is not known to EBP then an EBP
special request should be raised to County Supplies. County Supplies will then create the
necessary purchase order. Schools should use SAP Core R/3 to raise the purchase order and
should not send a special request to County Supplies.

Reasons for Ordering
The projected efficiency savings in the County Council’s procurement function are substantial and
the collation of more complete information on purchasing is a key element in achieving these
savings. The raising of purchase orders enables purchasing information to be captured,
reported and analysed. This information will enable new and more cost effective contracts to
be negotiated and better inform buying decisions across the authority.
Additional benefits of raising orders are:




Proc
(Proc 1/08
Ensures financial commitments are in place (where appropriate)
Enables invoices to be processed more quickly
Sets out clear requirements for suppliers in the form of order documentation
Conforms with financial regulations and standing orders on contracts
20
2008)
To ensure the enforcement of this policy, invoices for which a purchase order has not been raised
cannot be processed locally. Such payments can only be generated centrally by the County
Treasurer’s Department on behalf of establishments and departments. The exception to this is
schools with local bank accounts which operate their own payments.

Allowable Certified Payments
Certified payments relate to those invoices which may be sent to the County Treasurer for payment
and for which a purchase order is not appropriate. A red coding label needs to be fully
completed and attached to the invoice before sending to the County Treasurer for payment.
Red coding labels can be obtained by sending an email to judith.cave@hants.gov.uk The list
of certified payments which will be accepted for payment centrally is given in Annex 1. If a
purchase order has been raised in error for an invoice which is subsequently sent to the
County Treasurer for payment, the purchase order should be deleted.
Invoices sent to the County Treasurer for payment, but which relate to items which are not agreed
certified payments, will not be processed by the County Treasurer. Such invoices will be
passed back to the purchaser for an order to be raised and the invoice processed against the
order locally.
The process for requesting additions to the list of certified payments is that a request should be made
via the relevant DFU to the Group Manager (Payments), County Treasurer’s Department. The
Group Manager, in consultation with the Head of Business (PBR), will decide whether the
certified payment is agreed.
The criteria used by the Group Manager (Payments) and the Head of Business (PBR) to decide
whether an item or service will be agreed as a certified payment are one or more of the
following:




Proc
(Proc 1/08
Cash transactions on demand, processed locally (for example petty cash, vehicle
licences)
Purchasing information not required (for example payments to Inland Revenue)
Claim based payment
Orders raised in legacy systems where there is no interface to SAP.
21
2008)
Annex 1
List of Certified Payments to External Organisations
(Payments which do not require a purchase order and invoices which will be accepted for payment centrally by the County
Treasurer)
Item
Examples
1
Bankline system
2
‘Cash’ transactions
3
Disbursements
4
Expenses & Allowances claims
5
Grants
6
Inland Revenue and Customs &
Excise
7
Insurance settlements
8
Inter-authority recoupment
claims
9
Legacy procurement systems
with no order links to SAP
Item
10
Loans, leases, brokers
11
Long service awards
12
Pension Fund & Teachers
Pensions Agency
Planning permission
applications
Precept payments and levies
13
14
15
16
Recharges where we pay on
behalf of other organisations in
the first instance
Refunds of government grants
17
Repayments of Criminal
Injuries awards
18
Standards Funds Payments to
Schools with no HCC Bank a/c
19
Utilities, rents, rates, meter
operator paid centrally
Proc
(Proc 1/08
auctions, petty cash, TV licences,
vehicle licences, other Post Office
transactions, direct debits,
entertainment licences, performing
rights, bank transfers/expenses
Coroners fees, legal fees and expenses
credit card payments, overdrive card
payments, bank charges, members,
medical, volunteers, lay persons,
travel warrants, interview expenses
Grants to voluntary organisations
Uniform and clothing grants
Criteria
Cash transactions, no link to
SAP
‘Cash’ and claim based
transactions
Claim based payments,
purchasing information not
required
Claim based payments,
purchasing information not
required
SCV, Galaxy
Claim based payments,
purchasing information not
required
Claim based payment,
purchasing information not
required
Claim based payment,
purchasing information not
required
Claim based payment,
purchasing information not
required
no link to SAP
Examples
Criteria
Loan repayments, operational leases,
leasing companies and brokers
purchasing information not
required
purchasing information not
required
purchasing information not
required
purchasing information not
required
purchasing information not
required
purchasing information not
required
purchasing information not
required
Claim based payment,
purchasing information not
required
Claim based payment,
purchasing information not
required
Claim based payment
22
2008)
20
21
Invoices in foreign currencies
Other items agreed with the
Group Manager (Payments) and
the Head of Business (PBR)
Proc
(Proc 1/08
Expenses for Education Appeals
Cannot be processed in SAP
High volume, low value not
required for purchasing
information.
23
2008)
DEPARTMENTAL DISTRIBUTION LIST
All Managers
Proc
(Proc 1/08
24
2008)