Finance admin sessions
CFL Finance
13th & 14th November 2013
Guest inputs
Pensions - Teachers
• Diane Whyte
• Vicki Langston
Pensions – LGPS
• Freda Townsend
Audit and Governance
• Helen Garvey – Audit & Governance Manager
• Patrick Austwick – Deloitte Internal Audit
HR/Liberata Payroll
• Cathy Brearley
• Suresh Uppu
• Paul Fitzpatrick
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Schedule AM 13/11/13
09.30 - 10.15 Finance Team
10.15 - 10.40 Pensions – Teachers/LGPS
10.40 - 11.00 Break
11.00 - 11.20 Audit and Governance
11.20 - 11.30 AOB
11.30 - 12.00 Croydon HR / Liberata Payroll
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Schedule PM 14/11/13
13.30 - 14.15 Finance Team
14.15 - 14.40 Pensions – Teachers/LGPS
14.40 - 15.00 Break
15.00 - 15.20 Audit and Governance
15.20 - 15.30 AOB
15.30 - 16.00 Croydon HR / Liberata Payroll
Proposed finance agenda
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Team update
Various
13/14
Funding 14/15
AOB
Update on the CFL finance team
• Restructure completed June 2013.
• In terms of the direct support to schools
there is a dedicated team under the direct
leadership of the Head of Finance.
• A senior schools finance advisor
• Two schools finance advisors
• Two finance officers
CFL Finance Team Structure – Autumn 2013
CFL
Head of Finance 1FTE
Lisa Taylor
Finance Manager 1FTE
Finance Manager 1FTE
Management
Accountant 1FTE
-CALAT and CSS
-Jan Elliott
Finance Officer
0.5FTE
-CALAT and CSS
-Lorraine Wallace
-Educ Funding & Community and
Support Services (CSS)
-Ian Geary
Management
Accountant
1FTE
-Funding
-Ingrid Auguste
Finance Officer
1FTE
-Schools funding
-David Morris
Finance Support
Officer 0.22 FTE
-Systems
-Cathy Horne
Finance Officer
1FTE
-Schools funding
-Nicholas Vargas
Finance Officer
1FTE
-Schools
funding and
pensions
-Greg Boyce
Finance Support
Officer 0.36FTE
-Schools funding
-Sarah Pearce
Finance Support
Officer 1FTE
-Early Years
Celda Legister
Management
Accountant 1FTE
-Social care &
family support
-Fatmata Mustapha
Finance Officer
1FTE
-Social Care and
Family support
-Tracey Pearson
Senior Schools
Finance Advisor
1FTE
John Fennell
Schools Finance
Advisor
1FTE
Jane Frith
Apprentice
1FTE
Jessica King
0
-SCFS, Learning and Inclusion *
– Janet Baidoo
Schools Finance
Advisor
1FTE
Patrick Leavy
Finance Officer
1FTE
Vanessa Newton
Finance Officer
1FTE
Louise Watts
Management
Accountant 1FTE
-Social Care and
Family support
-Kay Oshin
Finance Officer
1FTE
-Social care and
family support
-Bamidele
Akinfenwa
Management
Accountant 1
FTE –
consolidation
-Jude Mawanda
Finance Officer
0.4FTE
-Funding and
consolidation
-Shirley Cross
Management
Accountant 1FTE
-Learning and
Inclusion
-Margaret Oliso
Finance Officer
1FTE
- Learning and
Inclusion
Vera Ladega
Update on the CFL finance team – schools support
• John Fennell – appointed November 2013
• Jane Frith schools finance advisor
• Patrick Leavy schools finance advisor – appointed
November 2013
• Ingrid Auguste reverting back to her management
accountant role. Ingrid will be keeping a small number of
schools and will also be available to provide back up and
support when required.
• Vanessa Newton finance officer
• Louise Watts finance officer
• Martin Dean will be leaving us at the end of this term.
Update on the CFL finance team – funding
• Ian Geary is the finance manager leading the funding and
pensions processes
• The members of the team are
Greg Boyce, David Morris, Nick Vargas, Celda Legister,
Sarah Pearce and Cathy Horne.
• They will deal with teachers pensions, the development
of the funding formula for primary and secondary schools
and the allocation of funds to all types of schools and
PVIs.
• Apprentice – Jessica King.
• CIPFA Trainee – Don Robertson.
Update on the CFL finance team – high needs
• Janet Baidoo is the finance manager leading
the funding for high needs and early years
• Janet will deal with development of the
changes in high needs and early years
funding formula to all types of provision
Funding
Presented by Ian Geary
Funding Sheets…1
• This is the remittance advice for our funding payment to
you each month
• It shows:
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Capital funding
De-delegated monies (ie expenditure taken from gross funding)
Delegated funding (both Schools Block and Early Years Block)
SEN and High Needs funding
Other grants
Funding Sheets…2
• Schools Block
– This shows each formula factor for your school (AWPU + AEN +
lump sums + rates)
– This should not change during the year – it is based on pupils
counted in the preceding October census (Oct 2012)
• Early Years Block
– This shows the early years free provision for your school
– Free provision does change, based on the pro-forma returns
completed each period
Funding Sheets…3
• High Needs Block (HNB)
– For mainstream schools, this will be the top up amounts to meet
the needs of statemented pupils
– It is the cost over a £6,000 threshold, which is the 12 hours per
week at £12.55 per hour, and will be shown per pupil
– Notional funding is not extra funding: it is part of the Schools
Block sums on the previous slide
– Special Schools / PRUs get Place funding as well as top up
funding. This is because they don’t get AWPU + AEN in the
usual way
– Please check the names and hours of pupils!
Funding Sheets…4
• High Needs monies for Out of Borough pupils:
– The responsibility has now changed
– Schools need to contact the other LA to get the top-up funding
paid directly to the school
• Pupil Premium Grant (PPG)
– Again – responsibility has changed
– PPG for Looked After Children is paid to responsible LA – you
need to contact that LA to get funding for a CLA in your school
who is not a Croydon child
Schools block – growth fund
• This is a separate part of the schools block, agreed by
Schools Forum
• Provides revenue funding for:
- bulge classes
- expansion programmes
- amalgamations
- and similar instances where the funding formula doesn’t
cope well with structural changes to schools
• Most now funded in 2013-14, but let the team know if you
think you are owed it
Funding 2014/2015
• Consultation held during September & October
• Main changes:
- mobility
- prior attainment
- lump sum
• What is not changing is level of funding and MFG
reduction of -1.5%
Funding 2015/2016
• Expect a national formula for primary and
secondary schools and possibly some further
convergence for early years and high needs.
• I predict there will still be some local/regional
differences but these may only be for a transition.
• The Department for Education will launch their
consultation early in the New Year
Funding 2013/2014
• Any questions about
- funding sheet codes?
- early years?
- high needs?
• De-delegation – should be thought of as
expenditure, rather than lower funding
• New funding: sports grant – return needed
Various
January 2014
School submits Period 9 (quarter 3) return
and Analysis of Balances Proforma **
28 January 2014 or 14 January 2014 if school
is in deficit
February /
March 2014
School sets initial budget
Electronic version returned by 31 March
2014
March 2014
Schools Financial Value Standard (SFVS) and
Assurance
SFVS due by 31st March 2014 and must have
been agreed by the governing body at a Full
Governing Body Meeting before that date
April 2014
School submits Period 12 (quarter 4) return **
28 April 2014 or 14 April 2014 if school is in
deficit
April 2014
School submits the 2013/14 year end
schedules and
preliminary CFR return (SFVS due by 31st
March and must have been agreed by the
governing body at a Full Governing Body
Meeting before that date)
The end of year returns are due by the 3rd
Thursday in April 2014 - schools will be
notified of the actual date as part of the
closing of accounts instructions
April / May
2014
Scanned and signed initial budget
Signed version 1 May 2014
June 2014
School submits final CFR return
DfE set the date, but it is normally in late
June – once the date has been confirmed
schools will be notified
Timetable of returns
Balances/Deficits
• Schools Forum are looking at schools with apparent
excessive balances and reviewing the balance
analysis produced within the year end returns
• If in deficit then need to apply for a licensed deficit and
follow the procedure for deficit returns
3 year budgets
• Schools should be projecting balanced
budgets for the next 3 years
• Make estimates
• The HCSS FPS.web software is Croydon
personalised
Returns
• Electronic or active spreadsheet so we
can pull out the data from the cells
• Signed
• Confusion over quarterly returns
There are two
- a normal quarterly return
- an analysis of balances
Returns
• Dates need to be adhered to. This is an
Audit requirement and each school’s date of
return is recorded and will be checked by
Internal Audit.
• We do issue dates in advance and many are
also on the Fronter calendar and Finance
Matters.
Returns - SFVS
• Please encourage your Headteacher and Governing
Body to start looking at this NOW
• They must be:
- updated from March 2013 do not just submit last year’s
with no changes
- agreed by governing body
- fully signed before 31 March 2014
- received by 31 March 2014
• Internal Audit check every SFVS when you are audited
Returns – Book B (Contracts) / Bank Statement March 2014
• Please start completing your Book B now. It is for all your
contracts /SLA’s 2013/14. This is one of the most
important documents in the academy conversion process
so should be kept up to date.
• March 2014 bank statement must be signed, scanned and
returned promptly – this includes any deposit accounts
linked to your main account and they both must be
recorded in Book A.
• Audit requirement both internal and external
Thank you to all the schools that returned the audit queries
promptly during the Summer.
Other external / internal audit queries
Please ensure you do have a signed staff contract on file in school for
every member of staff.
If you do not have one please approach HR or see if your staff
member has a copy they can bring in.
Setting the 2014/2015 budget
• Electronic budget plans by 31 March 2014
• Signed budget plans by 1 May 2014
Schools.finance@croydon.gov.uk
0208 760 5610
LGPS and Teachers Pensions
Presented by
Freda Townsend Local Government Pension Scheme
Diane Whyte
Teachers Pensions
Vicki Langston Teachers Pensions
http://www.croydonpensionscheme.org/
http://lgps2014.org/
Audit and Governance
Presented by Helen Garvey
Information Management
Helen Garvey - Audit & Governance Manager
Data Protection Act 1998
• The Data Protection Act 1998 (DPA) gives people rights over
personal data that is held about them.
• This includes all information held on paper, computer records, data
bases, emails etc.
Is it Data?
Can a living individual be identified from the data, or, from the data
and other information - if yes then it is Data:
• Personal Data: information which relates to a living individual who
could be identified from that information e.g. name, address, date
of birth, employment details, housing benefit details and National
Insurance number, family information etc; and/or
• Sensitive Personal Data: information about a living individual
which indicates their racial origin, political/religious beliefs,
physical/mental health, sexuality, criminal convictions or trade
union membership.
Processing Data
Personal Data: generally consent of the data subject is
may not be required to process their Personal Data as long
as there is compliance with the 8 Data Protection principles.
Sensitive Personal Data: generally requires the explicit
consent of the data subject before their Sensitive Personal
Data can be processed.
8 Data Protection Principles
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Fairly & lawfully processed
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Held & processed for limited & specifically registered purposes
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Adequate, relevant & not excessive
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Kept accurate & up to date
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Kept for no longer than is necessary
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Processed in line with data subject’s access rights
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Kept secure against unauthorised access, loss, disclosure or destruction
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Not transferred outside of the E.U. without an adequate level of protection
Points to consider…
• Has your school got an up to date information
management policy?
• Do you have a record retention schedule for
schools?
• How long do you keep data for?
• Who can access pupil data (particularly data not
currently in use)?
Points to consider…
• Is personal data securely destroyed?
• Do you use encrypted memory sticks and laptops
only?
• Do staff email personal data to their personal
email accounts?
• Do you use data only for the purposes you are
registered for?
• How would you report data loss?
Subject Access Request (SAR)
• Any data subject can request information held about them from a
data controller - this is called a SAR.
• All requests must be in writing and there is a statutory fee of £10
for each request; and a reply must be provided with 40 days of the
request subject to applicable exemptions in the Act.
• Third Parties - (member of the family, solicitor etc) acting on behalf
of a data subject requests information on their behalf. Check!
Wrongful disclosure
• A data controller will be in breach of Data Protection
rights owed to any data subject, where their personal
data is disclosed to a third party without the requisite
consent.
• Where this happens, an individual can lodge a complaint
with the Information Commissioner’s Office (ICO) and
can also go to court to seek damages for breach of their
Data Protection rights.
Education (Pupil Information) (England)
Regulations 2005 (EPIR)
• In addition to DPA, pupils and parents also have separate rights to
access to the Educational Record under - EPIR.
• The definition is wide and includes any information about current
and past pupils that is processed by or for a school’s governing
body or teacher.
• It includes a 'curricular record', defined in Section 4 of the
Regulations as a formal record of a pupil’s academic
achievements, other skills and abilities and progress in school.
Except for information the teacher has solely for their own
use.
Education EPIR
Under the EPIR information may be withheld if it relates to:
• information which might cause serious harm to the physical or mental health of
another individual
• Cases where the disclosure would reveal a child is at risk of abuse
• Information about third parties
• Information contained in adoption and parental order records
• Information given to a court in proceedings under the Magistrates’ Courts
(Children and Young persons) Rules 1992
• Copies of examination scripts; providing examination marks before they are
officially announced
EPIR
• Not all information about pupils is contained in their educational records.
• Where a request is made under DPA, a pupil or parent will be entitled to all the
information (subject to exemptions) relating to the pupil and this is not limited to
the educational records.
• Requests - in writing to the Board of Governors. Records should be made
available for inspection parent free of charge within 15 days of the request being
made.
• Where a request for copies of these records is made should be disclosed within
15 days following payment of fee - 1 to 19 pages, £1.20; 29 pages will cost £2;
maximum of 500+ pages £50.
Words of warning
• Every e-mail sent, every note on a piece of paper etc
could fall within the remit of these pieces of legislation.
• It is not where the information is held that is important i.e.
e-mails sent via personal email addresses about school
business are also covered.
• The preventing disclosure following a request may in
the given the circumstances be a criminal offence.
Enforcement
• Failure to comply with any part of these pieces of legislation may
lead to a complaint being made to the Information Commissioner’s
Office (ICO), who may choose to investigate; possibly resulting in
an Enforcement notice requiring the School to take remedial action.
• Failure to comply with an Enforcement Notice may result in the ICO
referring the matter to the High Court - who can choose to treat the
matter as a contempt of court.
When things go wrong…
ICO fines Surrey
County Council
for data
breaches
Surrey has been
fined £120,000
by the ICO for a
"serious breach"
of the DPA after
sensitive personal
information was
emailed to the
wrong recipients
on three
occasions.
Brent Council's data loss gaffes
revealed
A civil liberties protection group
has revealed a catalogue of
personal data loss gaffes by Brent
Council.
Other incidents in Brent include:
- Brent Council documentation
stolen from an employee's car.
- Brent data found on a 'highway'
in recycling bags
- Brent meeting minutes sent to
wrong parent
- Documents sent to wrong
recipients in post
A receptionist who
unlawfully obtained her
sister-in-law’s medical
records in order to find out
about the medication she
was taking has been found
guilty of an offence under
section 55 of the Data
Protection Act.
She was given a two year
conditional discharge and
ordered to pay £614
prosecution costs.
Where to find Guidance
Data Protection - http://www.ico.gov.uk/for_organisations/data_protection.aspx
Educational Records http://www.ico.gov.uk/for_the_public/topic_specific_guides/schools/pupils_info.aspx
General Guidance for Schools http://www.ico.gov.uk/for_organisations/sector_guides/education.aspx
Thank you!
Governance@croydon.gov.uk
0208 7605489
Croydon HR / Liberata Payroll
Presented by
Cathy Brearley
Suresh Uppu
Paul Fitzpatrick