Commissioning Group Scheme of Authorisation including Statutory & Regulatory Duties ...barnet.moderngov.co.uk/documents/s39149/Commissio… · · 2017-04-06Commissioning Group Scheme

Commissioning Group Scheme of Authorisation including Statutory & Regulatory Duties and Powers December 2016

The powers of those Officers defined in the Constitution as Chief Officers are set

out in Section 15 (Responsibility for Functions, Annex B, Scheme of Delegated

Authority to Officers). Statutory Officers (Chief Executive, Chief Operating Officer

and Assurance Director) and Commissioning Directors have a series of general

delegated powers. Chief Officers also have a specific set of delegations relating to

the specific statutory powers or other functions that fall within their remit. The

Constitution provides that Chief Officers may sub-delegate these powers to other

senior officers (Delivery Unit Directors, Delivery Unit Assistant Directors, Strategic

Leads, Commissioning Leads, Heads of Service, Service Managers or Team

Managers). Whilst actions and decisions taken using authority delegated by a

Chief Officer will be taken in the name of the individual officer with delegated

authority the Chief Officer is accountable for ensuring that decisions taken are

lawful and in accordance with the Constitution. The Chief Officer should monitor

the effectiveness of decisions taken under delegated powers, including ensuring

that officers are appropriately skilled to exercise those powers.

Chief officers must exercise the following powers:

Restructures where management arrangements at Head of Service level or

above are proposed to be changed

Entry into formal partnership arrangements with other public bodies to

deliver services

Adding items to the work programmes of the themed / commisioning

committees

Section 15 (Responsibility for Functions) of the Constitution sets out restrictions to

the exercise of delegated powers and these must be considered before exercising

delegated powers.

The Chief Executive is authorised to discharge any functions delegated to

Commissioning Directors.

This scheme sets out the authorisation of the Chief Operating Officer (Section 151 Officer and Chief Finance Officer), Director of Resources (Deputy Section 151 Officer) and Commercial and Customer Services Director for the delegation of the following powers (as is their right under the scheme of delegation within the Constitution) to relevant managers within the Commissioning Group. The Commissioning Directors referred to in Appendix 1 maintain their own schemes of authorisation for the functions that sit within their remit.


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


General Powers of Commissioning Group Officers

Decision/Power

Officer with Delegated Authority (to lowest relevant level) Recording of Delegated Powers

Chief Executive/ COO

Director / Commissioning Director

Strategic Lead / Head of Service

Service Manager

Team Manager

Other requirements

DPR (Delegated Powers Report)

PROCUREMENT-subject to Contract Procedure Rules (CPRs) as set out in Barnet Council’s Constitution – in the event of dispute, the CPRs take precedence. Authorisation to commence a procurement process under £10,000

Audit trail including Head of Service level sign off. Reasonable means of selection as defined in section 17.23 in CPRs and evidence of having sourced and considered the local Barnet supplier market

N/A

Acceptance process below £10,000 Audit trail retained

by DU as per

definition of

acceptance in 17.1

of CPRs

N/A


Decision/Power





Service Manager

Team Manager

Other requirements


Variation or extension acceptance for contract value below £10,000

Must move to the next threshold if above £10,000

N/A

Authorisation to commence a procurement process between 10,001 to £25,000

Procurement

Forward Plan and

Summary DPR.

Head of Service

level sign off,

recommended to be

on procurement

forward plan over

£10,000

Minimum 2 written

competitive

quotations received

– under OJEU

threshold

Commercial and

Customer Services

Director may

waive the

requirement of 2

written quotes,

subject to a

Summary DPR,

demonstrating that

Summary DPR


Decision/Power





Service Manager

Team Manager

Other requirements


the market place

has been fully

tested and we have

obtained value for

money.

All procurements

above £10,000

must be advertised

on the E-Portal and

be subject to

Tender Review.

Acceptance process up between £10,001 to £25,000 (including contract signature)

Summary DPR

Variation or extension acceptance for contract value between £10,001 to £25,000 (including contract signature)

Head of Service level sign off

Summary DPR

Authorisation to commence a procurement process £25,001 to £164,176

On Procurement Forward Plan Minimum 2 competitive quotations received No PQQ –

If not on Procurement Forward Plan, Full Officer DPR


Decision/Power





Service Manager

Team Manager

Other requirements


Suitability Assessment Questions only All procurements over £25,000 must be advertised on UK Contracts Finder

Acceptance process £25,001 to £164,176 (including contract signature)

Council officer approval according to the Scheme of Delegation

Summary DPR

Variation or extension Acceptance for contract value £25,001 to £164,176 (including contract signature)

N/A Summary DPR

Authorisation to commence a procurement process over £164,176

N/A N/A N/A N/A N/A Procurement

Forward Plan, or

Report to relevant

theme committee

Works and Concession Contracts: Full OJEU Tender

N/A


Decision/Power





Service Manager

Team Manager

Other requirements


above £4,104,394 Beneath threshold above £100k minimum 5 competitive quotations Goods: Full OJEU Tender Services: Full OJEU Tender Health, educational, cultural and social care related services: Light Touch Regime Tender above. £589,148)

Acceptance process over £164,176 (including contract signature)

If within budget – council officer in consultation with

If within budget and agreed


Decision/Power





Service Manager

Team Manager

Other requirements


Chairman of relevant theme committee, or Policy and Resources Committee

savings target on Procurement Forward Plan – Officer Full DPR

Variation or extension Acceptance for contract value over £164,176 (including contract signature)

N/A N/A N/A N/A N/A If within budget – relevant theme committee

N/A

HUMAN RESOURCES – all delegated powers to be exercised in accordance with the Council’s Human Resources Policy and Section 15 and 24 of the Constitution.

Agree advertisement and appointments to vacant posts at the same level or lower than the delegated officer (with the exception of Assistant Director and Director level posts that require GFC approval)

No vacant posts at Assistant Director level or above shall be advertised or recruited to without prior Committee approval and all new posts at Assistant Director level or above shall be created by committee

N/A


Decision/Power





Service Manager

Team Manager

Other requirements


decision (P&R, GFC or Urgency Committee) and not by delegated powers.

Officers to undertake arrangements and participate in recruitment selection panels

Officer to be 1 level above being recruited to

N/A

Recruitment selection decision for Assistant Directors, Strategic Leads, Commissioning Leads and Head of Service

Commercial & Customer Service Director

Director of Resources

N/A N/A

New starters paperwork to be reviewed including pre-employee checks for official sign off

HR form/ Letter/Core HR

N/A

Changes to location / position of roles (and/or individuals) advised in writing to HR. For post within the directorate only and limited to posts below the notifying officers level

HR letter N/A

Authorise loans and payments in advance to employees


N/A

Collective market factor supplements in accordance with policy

Commercial & Customer Service

SCB/General Functions Committee

N/A


Decision/Power





Service Manager

Team Manager

Other requirements


Director


Authorise salary change and accelerated increment (excluding national and annual increments and restructures) movement through the range and above where appropriate


N/A

Authorise overtime payments to SCP28

HR form/ Letter/ Core HR

N/A

Authorise overtime payments above SCP28


N/A

Authorise car allowance claims


N/A

Authorise season ticket loans


N/A

Authorise Honoraria/acting up allowances


N/A

Sick absence return to work meeting


N/A

Authorise annual leave / flexi leave / TOIL


N/A

Authorise annual leave carry over within policy


N/A

Authorise special leave – unpaid


N/A


Decision/Power





Service Manager

Team Manager

Other requirements


Authorise special leave – paid


N/A

Authorise time off/ facilities for Trade Union officials (internal)

N/A N/A

Notification of leaver to HR


N/A

Termination of agency employee contract


N/A

Disciplinary or capability action up to and including final written warning


N/A

Hear appeal against dismissal and other disciplinary action as appropriate

Dismissal


N/A

Issuance of at risk and notice of redundancy letters in relation to major restructures and situations where TUPE would apply for 20 or more employees


N/A

Sign off establishment list changes within financial envelope


N/A

Change in designation of a post within the organisation structure without change in grade


N/A

Agree settlement/instruct lawyers to defend Employment Tribunal

N/A N/A

Reporting Industrial injury in compliance with RIDDOR

N/A N/A


Decision/Power





Service Manager

Team Manager

Other requirements


Disclosure and Barring Service / Border agency / HMRC statutory bodies enquiries

N/A N/A

Consultants: check status and compliance

N/A N/A

Agency worker deployment including placement of order and recruitment selection

N/A N/A

Finance and Business Planning – authorise change at end of Finance and Business Planning consultation

Directors (Chief Officers)

Commercial &

Customer Service Director


Incorporate into business planning report to P&R and Full Council

Yes

Service restructures - opening of service consultation


Commercial &



N/A Yes

Service restructures – authorisation (less than 20 officers)


Commercial &


N/A Summary DPR


Decision/Power





Service Manager

Team Manager

Other requirements



TUPE in and out (less than 20 officers) Directors (Chief Officers)

Commercial &



Workforce Board approval required

Yes

Authorise ad hoc Voluntary Redundancy, Compulsory Redundancy, Early Retirement, severance in line with Management Of Change and <100k


Commercial &



HR form/ Letter/HR Core

N/A

Redundancy and payment authorisation after consultation


Commercial &



N/A N/A


Decision/Power





Service Manager

Team Manager

Other requirements


Write off monies owed by employees Directors (Chief Officers)

Commercial &




N/A

UK Border Agency - Licence under the Home Office Certificate of Sponsorship Scheme (to take decisions on behalf of the Council as required)

Chief Finance Officer /Section 151 Officer


N/A N/A

Authorisation of payroll – scheduled and adhoc payments



Deputising arrangement – Head of Finance

N/A N/A

Pensions discretions as defined and agreed by the Pensions Fund Committee

Chief Executive Chief Finance Officer /Section 151 Officer


N/A N/A

FINANCE

Ensuring that all staff in the Commissioning Group are aware of the Financial Regulations as required by Section 151 of the Local Government Act 1972


N/A N/A


Decision/Power





Service Manager

Team Manager

Other requirements


Maintaining a scheme of Financial Delegation for the Commissioning Group Reporting substantial breaches of Financial Regulations the Commissioning Group to the Section 151 Officer


Approve changes to fees and charges within the Commissioning Group annually where the change is broadly in line with inflation



N/A N/A

- Manage the Commissioning Group within the budget set by the council

- Ensure that any expenditure incurred within their service is in accordance with both the purpose and objectives of the services being provided and provides value for money

- Ensure that their revenue cost centre managers do not enter into commitments before satisfying themselves there is sufficient approved budget provision

- Notify the Section 151 Officer of forecast revenue budget or capital project overspends



N/A N/A


Decision/Power





Service Manager

Team Manager

Other requirements


- Submit proposals to the Section 151 Officer for offsetting any forecast revenue overspend

- Notify the Section 151 Officer of all revenue underspend, over-recovery of income or windfall benefits arising within their revenue budgets

- Ensure that their capital project managers do not enter into commitments before satisfying themselves there is sufficient approved budget provision

- Notify the Section 151 Officer of all underspend, over-recovery of income or windfall benefits arising within their revenue and capital budgets

- Submit accurate forecasts to the finance function in line with the monitoring timetable set out by the finance function

- Communicate forecast overspends on approved capital projects to the Section 151 Officer immediately and submit options to the Section 151 Officer for offsetting the forecast overspend

- Notify the Section 151 Officer if there is the possibility of expenditure slipping past a funding deadline


N/A N/A


Decision/Power





Service Manager

Team Manager

Other requirements


- Explore all feasible options that maximise external funding available to the Council within the Commissioning Group

- Provide the Section 151 Officer with details of all bids for external funding within the Commissioning Group

- Advise the Section 151 Officer of all grant and subsidy notifications as soon as they are received

- Ensure that all external funding is received from the paying body and, wherever possible, received ahead of the planned expenditure

- Ensure that all conditions associated with external funding are met and that information and evidence required to complete grant and subsidy claims are provided on time

- Ensure compliance with all requirements for the audit of external funding where applicable

Director


Ensure all adequate financial controls are in place before entering into a partnership with another organisation that involves pooling some of the Council’s budgets. A financial risk assessment must also be prepared and monitored over time


Director of

N/A N/A


Decision/Power





Service Manager

Team Manager

Other requirements


Resources

Ensure that Commissioning Group adheres to the timetable and requirements set out by the Section 151 Officer for the closing of accounts, and provide any information and evidence required in relation to this



N/A N/A

Ensure that staff in Commissioning Group who use the Procurement Cards adhere to the requirements of the LBB Purchasing Card (PCard) Guide and Terms and Conditions



N/A N/A

Ensure the proper security of all buildings, stocks, furniture, equipment and cash etc. within their service



N/A N/A

Notify the Section 151 Officer immediately of all new areas of risk and of any change of circumstances likely to affect existing insurance risks within Commissioning Group


N/A N/A


Decision/Power





Service Manager

Team Manager

Other requirements



Agree financial settlement where recommended by the Ombudsman or a court.

N/A N/A

INFORMATION MANAGEMENT

Authorisation of final responses and decision on redactions for Freedom of Information (FOI) requests within Commissioning Group


Head of

Information Management

Information Manager

Statutory requirement to respond within 20 working days

N/A

Approval of responses to Subject Access Requests (SAR) for Commissioning Group


Head of


Information Manager

Statutory requirement to respond within 40 working days

N/A

Business continuity decisions for Commissioning Group


Head of

Information Management (in absence of DCOO)

N/A N/A


Specific Powers of Commissioning Group Officers

Decision/Power Authority of


Chief Executive / COO



Service Manager

Team Manager

Other requirements

DPR

FINANCE

To be the Council’s statutory Chief Finance Officer / Section 151 Officer

Chief Operating Officer

Deputising arrangeme

nt for statutory

purposes - Director of Resources

N/A N/A

To be the Council’s statutory Deputy Finance Officer / Section 151 Officer


Deputising arrangement for statutory purposes –

Head of Finance

N/A N/A

Authorisation to sign off financial implication of committee reports


Chief

Operating


Head of Finance

N/A N/A


Decision/Power Authority of


Chief Executive / COO



Service Manager

Team Manager

Other requirements

DPR

Officer

Authorisation to sign off financial implication of Delegated Powers Reports


Chief

Operating Officer


Head of Finance

N/A N/A

Maintain the Financial Forward Plan Chief Finance Officer /Section 151 Officer

Chief

Operating Officer


N/A N/A

Determine which budget developments are to be held within the central contingency


Chief

Operating Officer


N/A N/A

Approve expenditure on projects requiring matched funding contributions before the external funding has been confirmed


Chief

Operating Officer


N/A N/A

Maintain the Insurance Strategy Chief Finance Officer /Section 151 Officer

Chief

Operating Officer


N/A N/A

Handle all insurance claims, in conjunction with the Chief Operating Officer and/or the insurance company if proceedings are issued


Chief

Operating Officer


Head of Finance

N/A N/A


REVENUES AND BENEFITS

Sign off and submit statutory returns and subsidy claims: NNDR 1 NNDR 3 QRC returns CTB 1 Subsidy claims and estimates

Chief Operating Officer /Section 151 Officer

Revenues

and Benefits Manager

Some returns require physical sign off by Chief Finance Officer /Section 151 Officer

N/A

Authorise write-offs of Council Tax and NNDR

Chief Operating Officer / Section 151 Officer

Revenues


N/A Yes

To consider and authorise all discretionary awards for Council Tax and NNDR


Revenues


N/A N/A

INFORMATION MANAGEMENT

Senior Information Risk Officer (SIRO)/Chief Information Officer responsibilities including decisions on the acceptance of information risk


Chief

Operating Officer


Head of

Information Management (in absence

of Director of Resources)

N/A N/A

In incidence of data breach authorisation to notify the Information Commissioner’s Office (ICO)

Chief Executive Chief

Operating Officer


Head of

Information Management (in absence

Information Manager (in absence of DCOO

Specialist advice to be sought from Data Protection Officer or Information

N/A


of Director of Resources)

and Head of Information Management)

Governance Officer in their absence

In incidence of data breach powers to: - assess risks - decide on data recovery process - decide on notifying affected

parties


Operating Officer


Head of


Information Manager

N/A N/A

Emergency planning – decision on incident response for Silver category incidents Use of resources to mitigate the effects of an emergency (up to £5,0000


Operating Officer


Head of


Emergency

Planning Manager

N/A N/A

Decision on whether a complainant falls under policy as an unreasonably persistent complainant

N/A Head of


N/A N/A

ESTATES

Authorisation of: Acquisitions Lease in (as tenant) Lease out (as landlord) for rent or Consideration Licences, Easements and Consents Compensations, Settlements and Covenants Less than £25,000


Chief Operating

Officer



Head of Estates Management

N/A

Summary DPR


Authorisation of: Acquisitions Lease in (as tenant) Lease out (as landlord) for rent or Consideration £25,001-£100,000


Chief

Operating Officer in

consultation with the

Chairman of the

appropriate Committee

Commercial &



In consultation with the

Chairman of the


N/A Full DPR

Authorisation of Licences, Easements and Consents, Compensations, Settlements and Covenants. £25,001-£100,000


Chief

Operating Officer in

consultation with the

Chairman of the


Commercial &



In consultation with the

Chairman of the


N/A Summary DPR

Authorisation of Acquisitions Lease in (as tenant) Lease out (as landlord) for rent or Consideration

Chief Finance

Officer /Section 151 Officer

- - - - - N/A

Report to Assets, Regeneration and Growth


Licences, Easements and Consents Compensations, Settlements and Covenants, Disposals. More than £100,001

Committee (ARG)

Authorisation of ‘Non-Value’ Variations post Authorisation for: Acquisitions Lease in (as tenant) Lease out (as landlord) for rent or Consideration Licences, Easements and Consents Compensations, Settlements and Covenants

Chief Finance


- - - - - N/A DPR (The type of DPR will depend on the type of DPR which was initially agreed).

Non-Value’ Variations post Authorisation for: Disposals

Chief Finance Officer /Section

151 Officer

Chief

Operating Officer

Commercial &



- - - Report to next Asset, Regeneration and Growth Committee

Summary DPR

Authorisation of disposals Up to £100,000


Chief

Operating Officer

Commercial &


Director of

N/A Full DPR (unless a Less Than Best transaction, which must be reported to


Resources Assets, Regeneration and Growth Committee-ARG)

Authorisation of disposals Over £100,001


- - - - - Assets, Regeneration and Growth Committee Report

Acceptance of: Acquisitions and disposals Less than £10,000 And where acceptance meets Authorisation Criteria and is Compliant


Chief

Operating Officer

Commercial &



Head of Estates

Management

N/A Summary DPR

Acceptance of: Acquisitions and Disposals £10,001 to £25,000 And where acceptance meets Authorisation Criteria and is Compliant


Chief

Operating Officer

Commercial &



N/A Summary DPR

Acceptance of: N/A Summary


Acquisitions and Disposals £25,001-£100,000 And where acceptance meets Authorisation Criteria and is Compliant


Chief Operating

Officer Note to Assets,

Regeneration and

Growth Committee

DPR

Acceptance of: Acquisitions and Disposals More than £100,000 And where acceptance meets Authorisation Criteria and is Compliant

Chief Finance



N/A

Acceptance of: Acquisitions and Disposals Less than £10,000 And where acceptance does not meet Authorisation Criteria or is not Compliant

Chief Finance


Chief

Operating Officer

Commercial &



N/A Summary DPR

Acceptance of: Acquisitions and Disposals £10,001-£25,000 And where acceptance does not meet Authorisation Criteria or is not Compliant

Chief Finance


Chief

Operating Officer

Commercial &



N/A Summary DPR

Acceptance of: Acquisitions and Disposals

Chief Finance

Chief

N/A Full DPR


£25,001 -£100,000 And where acceptance does not meet Authorisation Criteria or is not Compliant


Operating Officer

Acceptance of: Acquisitions and Disposals More than £100,000 And where acceptance does not meet Authorisation Criteria or is not Compliant

Chief Finance



N/A

STREET SCENE

Ensure compliance with The Department for Transport issued "The Secretary of State's Statutory Guidance to Local Authorities on the Civil Enforcement of Parking Contraventions" (the "Statutory Guidance" in February 2008) as updated or replaced. The Statutory Guidance is published by the Secretary of State under section 87 of the Traffic Management Act 2004. Section 87 (2) requires local authorities to have regard to the Guidance in the delivery of Civil Enforcement of Parking Contraventions

Commissioning Director for Environment

Commercia

l & Customer Service Director

Ensure consideration of the Department for Transport guidance issued in November 2010 to all local authorities ("Operational Guidance to Local Authorities: Parking Policy and Enforcement – Traffic Management Act 2004"). The DfT Guidance sets out the policy framework within which the Government believes all local authorities


Commercia



should be setting their parking policies.

Ensure that compliance with the Traffic Management Act 2004 is maintained. With the implementation of Part 6 of the Traffic Management Act 2004 in 2008, this became Civil Parking Enforcement. The Council has been operating decriminalised parking enforcement since 1994.


Commercia


Ensure that The Council’s Parking Enforcement Plan (PEP) forms part of the Council's Local Implementation Plan (LIP) and is consistent with the Mayor’s Transport Strategy (MTS), and supports the Barnet Corporate Plan


Commercia


Ensure that every street lighting column and illuminated traffic sign, or bollard, maintained by the Authority (including funded through the Street Lighting PFI Contract) complies with the current version of any relevant legislation and/or standards, including: The Management of Health and Safety Regulations (1999); The Electricity at Work Regulations (1989); The Electricity Supply Regulations (1988); The Environmental Protection Act (1990); Control of Substances Hazardous to Health Regulations (2002); CDM Regulations (2015); Traffic Signs Regulations & General Directions


Commercia



(TSRGD) (2002); BS5489-1:2013 & BS EN 13201 and all other relevant European and British Standards for road lighting.

REGISTRATION AND NATIONALITY

Authorise any changes to Registration of Births, Deaths and Marriages scheme made under Section 14 of the Registration Service Act 1953


Head of

Customer Strategy and Programmes

N/A Yes


APPENDIX 1: COMMISSIONING GROUP ORGANISATIONAL STRUCTURE

Note: Details of Commissioning Directors Commissioning Leads and Strategic Leads

are set out in the Commissioning Directors individual schemes of authorisation


Director

Director of

Resources

Director of

Public Health

Director of Strategy

Commissioning Director for

Adults & Health

Commissioning Director for

Environment

Chief Operating Officer

Chief Executive

Strategic Lead for

Programmes &

Performance

Head of Communications

Head of Customer Strategy &

Programmes

Partnership Relationship

Manager (Growth & Development)

Partnership Relationship

Manager (Support)


Commissioning Director for Children &

Young People

Commissioning Director for Growth &

Development

Head of Information

Management

Head of

Finance

Head of Safety, Health and Wellbeing

Head of

Insurance

Head of Programmes

Head of Performance

Parking & Infrastructure

Manager

Head of Estates

Documents

Commissioning Group Scheme of Authorisation including Statutory & Regulatory Duties ...barnet.moderngov.co.uk/documents/s39149/Commissio… · · 2017-04-06Commissioning Group Scheme