ࡱ> a` 0ɀ\p jon.duckworth Ba==Ox New Schemeb BH Training,  ;   ; * );;* );;`i qRChief Executive Budget Holder IT Manager HR DirectorSenior HR ManagerSenior Operations ManagerOperations DirectorFinance ManagerSocial Work DirectorArea ReferenceResponsibilityLevel of DelegationTrusteesSource ReferenceAuthority to DelegateRefTD clause 1(g)?Form reasonable opinion that a person is "living independently"TD clause 9(2)?First line opinion on applicants and changes for existing UsersOperations CaseworkerTD clause 3(1)BOperations Manager; Senior Operations Manager; Operations DirectorTD clause 3(1)(a)(Decision to award payments to Candidates%First line weekly and lump sum awardsFForm opinion that liability relates to Qualifying Support and ServicesTD clause 3(1)(c)@Discretion to pay more than the Maximum Sum for particular weeksFirst line decision on UsersTD clause 3(2)Decision to pay compensation3First line decision to award a compensation payment$Complaints & Decision Review Manager.Senior Operations Manager; Operations DirectorTD clause 3(2)(a);Form opinion that a person has suffered financial loss, etc6First line opinion on complaints that criteria are metTD clause 5(1)>Employment of staff on reasonable salaries, terms & conditionsERecruitment of staff on contract stating salaries, terms & conditionsTD clause 5(3)Make, vary & revoke policies.Senior Manager responsible for the policy area8Director with overall responsibility for the policy area!Review per policy approval schemeTD clause 5(4) Line Management below Chief Exec;Creation of policies subject to separate scheme of approvalHNegotiations leading to final proposals; advice to Trustees on proposals1Chief Executive assisted by Directors as relevantTD clause 5(5)Meet administration expensesTD clause 5(6)Retain moneys in bank accounts@Management of bank accounts and receipt/check of interest earned%Procurement Manager; Finance Director AuthorityTD clause 5(8)<Give good receipt for moneys paid or transferred to the Fund3Issue receipts to Users/Debtors for moneys receivedFinance Officer6Finance Manager; Procurement Manager; Finance DirectorTD clause 8(4)(a))Monitor efficient management of the TrustTrustees plus Chief ExecutiveTechnical Accounting ManagerTD clause 8(4)(b)Monitor compliance with COGA5Negotiate and agree COGA and changes to this document5Annual assurance statements on all areas of operation Each DirectorTD clause 8(4)(c) Manage expenditure within budget)Monthly expenditure reviews and forecastsFinance DirectorTD clause 8(4)(d)*Identify and recover overpayments to Users8First line recording of overpayments and pursue recoveryOverpayments CaseworkerDOverpayments Manager; Senior Operations Manager; Operations DirectorTD clause 8(4)(e):Take reasonable steps to safeguard against fraud and theftResponsible officer(s)'Budget Holder as delegated by DirectorsCompliance and Fraud specialistTD clause 8(5)Keep proper accounting recordsAHandling financial items; payments & receipts; accounting recordsTD clause 8(6)CApply accountancy practices and financial systems for 8(4) and 8(5)IMaintain & reconcile accounts system; provide reports to support accounts-Finance Manager; Technical Accounting ManagerTD clause 8(7)Open and maintain bank accountsAOpen accounts and sign agreements and authorisations for the bank0First Cheque signatories as approved by TrusteesTD clause 8(8)Annual external audit=Agree external audit programme and produce Accounts for auditTD clause 8(17)8Keep proper minute books for Trustees and Sub Committees>Produce agenda, papers, and minutes for approval and signatureChief Executive's Secretary>Compliance and fraud prevention, and recommend for prosecutionFPlace orders and authorise invoices subject to separate budgets scheme<Form reasonable opinion that a person is a Group 1 Candidate:First line opinion on qualification as a Group 1 Candidate<Form reasonable opinion that a person is a Group 2 Candidate:First line opinion on qualification as a Group 2 Candidate<Form reasonable opinion that a person is a Group 3 Candidate:First line opinion on qualification as a Group 3 Candidate<Form reasonable opinion that a person is a Group 4 Candidate:First line opinion on qualification as a Group 4 Candidate<Form reasonable opinion that a person is a Group 5 Candidate:First line opinion on qualification as a Group 5 CandidateEExercise discretion to dispense with "residence/presence" requirementHFirst line opinion that discretion can be exercised for reasons providedTD Sch 1 para 2TD Sch 1 para 4TD Sch 1 Pt I, 5TD Sch 1 Pt I, 5(d)(ii)TD Sch 1 Pt I, 6TD Sch 1 Pt I, 8TD Sch 1 Pt I, 10TD Sch 1 Pt 2, 3TD Sch 4 para 1 )Designated Accounting Officer for the ILFADay-to-day responsibility for operation and management of the ILF5First line managers agreed by Directors for each areaISenior Managers; Directors responsible for each area as per ILF Framework6Consolidation Officer for Whole of Government Accounts9Consolidation Manager for preparation of required reportsTD Sch 4 para 4TD Sch 4 para 2;Ensure compliance with DWP, HMT and Cabinet Office guidance(Director for each area; Finance DirectorDCompliance with guidance as applied to expenditure per budget schemeTD Sch 4 para 62Ensure proper accounting records and sign AccountsTD Sch 4 para 8=Ensure proper system of controls and adequate risk managementTD Sch 4 para 10(Ensure compliance with NDPB requirements4Senior Managers; Directors responsible for each area>Ensure DPA and FOIA compliance and produce Publications Scheme:Information owners per asset register; Information ManagerHDirector for each area; Senior IT Manager; Business Development DirectorTD Sch 4 para 12?Ensure Trustees consider financial issues when making decisions(Provision of strategic financial reportsTD Sch 4 para 18TD Sch 4 para 133Compliance with ILF Regularity & Propriety guidance7Ensure "regularity & propriety" in use of Public Funds TD Sch 4 para 14"Keep records of gifts and bequests3Keep records of losses due to fraud and overpaymentLControl Checks per separate scheme; risk management action per risk register>Record gifts and bequests received; provide reports on request2Record fraud, overpayment and writeoff information-Compliance, Fraud and Overpayment specialistsTD Sch 4 para 15GEnsure assets/equipment/staff used economically/effectively/efficientlyGForm reasonable opinion on Group 2 Candidate limited period eligibility?First line assessment of LA input for a period less than a year9Form reasonable opinion on continuing Group 1 entitlementFFirst line opinion on Group 1 qualification after break in entitlement3Day to day management of assets and staff resourcesTD Sch 4 para 16:Ensure effective procedures for the handling of complaints8Recording and first line decision on complaints receivedTD Sch 4 para 17(a)Social Work Coordinator:Day to day ILFA management; quality assurance on ILFA work=Management of ILF Assessors (inc quality and value for money)TD Sch 4 para 17(b/c)=Application process including joint ILFA/LA support proposalsDDay to day application processing (inc assessment of LA/ILF support)TD Sch 4 para 17(d)?Ensure effective HR procedures (inc Equal Opportunities policy)TD Sch 4 para 17(e)AMonthly expenditure forecasts to inform Trustees budget decisionsMS para 3.7.2 (a-c)DProduce Corporate & Business Plans, performance and forecast reportsMS 3.9.1>Prepare Corporate Plan; produce performance and budget reportsMS para 3.7.2 (e):Advise Trustees on performance against aims and objectives5Maintain MIS system and derived performance workbooksMS para 3.7.2 (h)KMaintain a risk management system to inform financial/operational decisions4Produce Corporate Risk Register and review quarterly All Directors)Lead responsibility with Finance Director0Ensure effective project and contract management<5IProcurement exercises and contract reviews for critical service providersProcurement ManagerMS para 3.7.2 (i)MS para 3.7.2 (j)MS para 3.7.2 (k)8Ensure adequate internal management & financial controlsMS para 3.7.2 (l)<Maintain system of delegated authority and compliance review=Day-to-day responsibility for management & financial controlsEProduce delegation scheme; provide assurance statements to Chief ExecMS para 3.7.2 (m)Ensure effective HR proceduresMS para 3.7.2 (n)MS para 3.7.2 (q)MS para 3.7.2 (r) MS para 3.7.2 (y) MS para 4.1AProduce Corporate Plan, agreeing key issues with DWP and TrusteesChief Executive "for the NDPB"DPrepare Corporate Plan (inc proposed financial measures and targets) MS para 4.2@Produce Business Plan, agreeing key issues with DWP and Trustees@Propose Business Plan objectives, financial measures and targets MS para 4.6.1BMake suitable arrangements for internal audit to GIAS requirementsLLiaise on proposed audit programme and provide internal audit quality review MS para 4.6.64Provide annual report on overpayments, fraud & theftEProduce annual report using standard reporting format provided by DWP<Produce annual Reports and Accounts including external audit>Responsibility for staff recruitment, retention and motivationKRecruitment procedures; propose pay, terms & conditions within annual Remit COGA para 4.2 MS para 5.1 MS para 6.1@Provide specified information with monthly Grant in Aid requests COGA para 6.2;Decision that a Group 1 Candidate is a "protected customer" COGA para 6.3FDecision to make payment without the full contribution as per para 6.1 COGA para 7.3JDecision to ignore capital for disability- related purchase over 12 monthsCOGA para 11.1:Writeoff of losses and overpayments under 40,000 per itemTD clause 9(1); DWP approvalHWriteoff or overpayments up to various levels as per DWP approval letter/Overpayments Manager; Senior Operations ManagerCOGA para 11.26Maintain up to date and accurate fixed assets registerTD clause 9(1)@Maintain fixed asset register, including additions and disposals IT TechnicianCOGA para 11.36Asset disposal subject to provisions in this paragraph9Disposals per fixed assets policy and disposal procedures0Senior IT Manager; Business Development Director<IT Manager; Senior IT Manager; Business Development DirectorEProcurement of goods/services, usually by competition, subject to VFMAll procurement exercises COGA para 15/Prompt payment of properly authorised invoices /Make payments on receipt of authorised invoicesCOGA para 17.2COGA para 17.1COGA para 12-14,17.3COGA para 19.1COGA para 20.2-20.4TD Sch 4 para 9.Ensure compliance with DPA & FOIA requirementsBMaintain Framework documents, related guidance & system for review=Responsibility for staff pay, terms and conditions of service COGA para 21&Quarterly Performance Dashboard report*Quarterly Adminstration Expenditure reviewHFinancial & Performance management (Dashboard & Statistical information)'Chief Executive annual Assurance Report!Monthly Trustees Forecast reports0Annual process via Audit Committee to full Board'Monthly papers and minutes for meetings$Quarterly reports to Audit Committee!Ad hoc reports to Audit Committee)Review of this document at least annually#Biannual reports to Audit Committee&Monthly reports with Trustees Forecast Annual report to Audit CommitteePolicy review scheduleAdmin Budget Holders tableSignatory listUser Admin policiesFraud prevention strategyInternal Audit strategy ILF FrameworkExpenditure StrategyControl Checks; Risk RegisterFixed Asset policyComplaints policy Risk RegisterDWP approval letterReport HR Manager(Annual Assurance to the HR Sub-CommitteeZAnnual assurance paper to the HR Sub-Committee and submission of pay proposals as required3Propose pay, terms & conditions within annual RemitManage pension schemeDMonthly regional report, Quarterly Performance and Dashboard report.Quarterly Performance Ex-gratia policyOverpayments Principles Annual Report to HM treasury2Control Checks, OP Procedures, Fraud Response PlanDHM Treasury/ Department of Finance and Personnel (Northern Ireland)4Fraud Response Plan; Overpayment Procedural guidance%Monthly Report to Operations DirectorFinance Procedures DashboardStatement of Internal ControlTrustees papersCommittee papersConsolidation procedures ILF AccountsPublished documentsMonthly Grant/Benefit reports)Audit Committee papers re annual accounts/Reports and change requests to Audit Committee :Annual governance report and Statement of Internal ControlQuarterly Performance reports*Appendix 1 - Trustees Scheme of Delegation Not delegableTD clause 9(12) TD clause 9(1) & 9(2)4Appendix 1 - Trustees Scheme of Delegation [EXTRACT]6Decision on which Threshold Sum applies to a Candidate:First line decision on appeals and requests for exceptionsSenior Management PanelTrustees paper on 9 April 2008TD clause 1(r) HDecision on priority of an application received on or after 1 April 2008Quarterly reports to TrusteesTD Sch 3 para 2 & 8TD Sch 3 para 4 & 10KDecision not to award ILF funding to a recipient of a trust or compensationZ I( B! yj  ^Np r  ] sR,#X _ "#P%&'=(z)t*,@|-.K01 2 4? 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