Scheme of Delegation - Final Template for Catholic Schools
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SOMERSET ROAD EDUCATIONAL TRUST
SCHEME OF DELEGATION
For Exeter House, St Marks and Wyndham Park Academies (schools that form SRET)
Reviewed September 2016 Introduction
Somerset Road Education Trust (SRET) is a Multi Academy Trust (MAT) made up of three schools; Exeter House Special School, St Marks CE Junior School and Wyndham Park Infants’ School. At conversion, each School became an Academy, and currently the terms are being interchanged. The ultimate objective is that each ‘School’ will become known as an Academy.
This Scheme of Delegation clarifies the responsibilities and powers of Governors and members of staff employed at SRET in respect of key aspects of the management of the Academies and ensures compliance with legal requirements and SRET policies.
This Scheme of Delegation is to be reviewed at the first meeting of the Local Governing Body (LGB) at the start of each academic year – and as required throughout the course of the academic year.
(For this document, the term ‘he’ or ‘him’ applies to either gender)
General Objectives of the LGB
1. To provide a strategic view To ensure the Academy is well run overall and for the LGB to act as a ‘critical friend’ To ensure accountability and compliance with all legal obligations and financial requirements To act as a corporate body, with integrity, objectivity and honesty in the best interests of the Academy
Structure
For the academic year 2015, the LGB of each Academy started with the structure it inherited at conversion to an Academy and during the year is to consider its make-up and recommend to the Directors the best structure for 2016-17 and beyond.
Chairing/Clerking Arrangements
Meetings will be chaired by the Chair of Governors, or the Vice Chair of Governors, in the chair’s absence. The appointed Clerk to the Governing Body will take the minutes.
Responsibilities (as headings – each LGB will have these responsibilities identified in the Scheme of Delegation Framework attached as an Annex):
General (eg. procedural) School Self Evaluation/School Improvement Data Analysis and Target Setting Staffing Finance/Budget Premises Pupils/Parents/Community Safeguarding Extended Services Curriculum Committees and their ToR (eg. Resources, Finance, Personnel, etc)
1 2. INTRODUCTION
2.1 As a charity and company limited by guarantee, Somerset Road Education Trust (SRET) (the “Company”) is governed by a Board of Directors (the “Directors”) who are responsible for, and oversee, the management and administration of the Company and the academies run by the Company.
2.2 The Directors are accountable to external government agencies including the Charity Commission and the Department for Education (including any successor bodies) for the quality of the education they provide and they are required to have systems in place through which they can assure themselves of quality, safety and good practice.
2.3 In order to discharge these responsibilities, the Directors appoint people who are more locally based to serve on a board (the “Local Governing Body”) which has been established to ensure the good governance of the academy.
2.4 This Scheme of Delegation explains the ways in which the Directors fulfil their responsibilities for the leadership and management of the Academy, the respective roles and responsibilities of the Directors and the members of the Local Governing Body and the commitments to each other to ensure the success of the Academy.
2.5 This Scheme of Delegation has been put in place by the Directors from the 1 November 2015 in accordance with the provisions of the SRET’s Articles of Association (the “Articles”) and it should be read in conjunction with those Articles.
3. ETHOS AND MISSION STATEMENT
3.1 SRET’s vision is as follows:
SRET is a unique supportive family of three schools where learning is accessible, fun and life-long, and where the teaching is always inspirational.
It is a place where everyone is encouraged to always be the best they can.
2 4. DIRECTORS’ POWERS AND RESPONSIBILTIES
4.1 The Directors have overall responsibility and ultimate decision making authority for all the work of SRET, including the establishing and running of academies. This is largely exercised through strategic planning and the setting of policy. It is managed through business planning, monitoring of budgets, performance management, the setting of standards and the implementation of quality management processes. The Directors have the power to direct change where required.
4.2 The Directors have a duty to act in the fulfilment of SRET’s objects.
4.3 Directors will have regard to the interests of the other academies for which SRET is responsible in deciding and implementing any policy or exercising any authority in respect of the Academies.
4.4 Article 100 provides for the appointment by the Directors of committees to whom the Directors may delegate certain of the functions of the Directors. In further recognition of the Directors’ power to delegate under Articles 101 and 104, responsibility for the running of each Academy from 1 January 2015 will be delegated to the committee established by this Scheme of Delegation and which shall be known as the Local Governing Body of each Academy.
4.5 The constitution, membership and proceedings of the Local Governing Body is determined by the Directors and this Scheme of Delegation expresses such matters as well as acknowledging the authority delegated to the Local Governing Body in order to enable the Local Governing Body to run each Academy and fulfil each Academy’s mission.
5. CONSTITUTION OF THE LOCAL GOVERNING BODY 3 5.1 Members of the Local Governing Body
5.1.1 The number of people who shall sit on the Local Governing Body shall be not less than three but, unless otherwise determined by the Directors, shall not be subject to any maximum.
5.1.2 The Local Governing Body shall, at the start of academic year 2015-16, have the composition that it inherited on converting to being an Academy. During its first year it will review its composition and recommend to the Directors the most appropriate mix for the Academy’s needs from academic year 2016-17 onwards. Groups represented must include: Parent Governors, Foundation Governors (for St Marks only), Community Governors and the Head Teacher.
5.1.3 The Local Governing Body may also have co-opted members appointed under clause 4.3.
5.1.4 The Directors (all or any of them) shall also be entitled to serve on the Local Governing Body and attend meetings of the Local Governing Body. Any Director attending a meeting of the Local Governing Body shall count towards the quorum for the purposed of the meeting and shall be entitled to vote on any resolution being considered by the Local Governing Body.
5.1.5 All persons appointed or elected to the Local Governing Body shall give a written undertaking to the Directors to uphold the object of the Company.
5.2 Appointment of governors to the Local Governing Body
5.2.1 The Local Governing Body may appoint persons to serve on the Local Governing Body, having regard to any recommendations and views of the Directors in relation to ensuring that the people serving on the Local Governing Body between them have an appropriate range of skills and experience and due attention is given to succession planning.
5.2.2 The Local Governing Body may appoint persons who are employed at the Academies to serve on the Local Governing Body through such process as
4 they may determine, provided that the total number of such persons (including the Headteacher) does not exceed one third of the total number of persons on the Local Governing Body. The positions held by those employed at the Academies (e.g. teaching and non teaching) may be taken into account when considering appointments.
5.2.3 Unless the Directors agree otherwise, in appointing persons to serve on the Local Governing Body who are employed at each Academy the Local Governing Body shall invite nominations from all staff employed under a contract of employment or a contract for services or otherwise engaged to provide services to each Academy (excluding the Head Teacher) and, where there are any contested posts, shall hold an election by a secret ballot. All arrangements for the calling and the conduct of the election and resolution of questions as to whether any person is an eligible candidate shall be determined by the Local Governing Body.
5.2.4 The Head Teacher shall be treated for all purposes as being an ex officio member of the Local Governing Body.
5.2.5 Subject to clause 4.2.9, the parent members of the Local Governing Body shall be elected by parents of registered pupils at each Academy and he or she must be a parent of a pupil at the relevant Academy at the time when he or she is elected.
5.2.6 The Local Governing Body shall make all necessary arrangements for, and determine all other matters relating to, an election of the parent members of the Local Governing Body, including any question of whether a person is a parent of a registered pupil at the relevant Academy. Any election of persons who are to be the parent members of the Local Governing Body which is contested shall be held by secret ballot.
5.2.7 The arrangements made for the election of the parent members of the Local Governing Body shall provide for every person who is entitled to vote in the election to have an opportunity to do so by post or, if he prefers, by having his ballot paper returned to the relevant Academy by a registered pupil at that Academy.
5 5.2.8 Where a vacancy for a parent member of the Local Governing Body is required to be filled by election, the Local Governing Body shall take such steps as are reasonably practical to secure that every person who is known to them to be a parent of a registered pupil at that Academy is informed of the vacancy and that it is required to be filled by election, informed that he is entitled to stand as a candidate, and vote at the election, and given an opportunity to do so.
5.2.9 The number of parent members of the Local Governing Body required shall be made up by persons appointed by the Local Governing Body if the number of parents standing for election is less than the number of vacancies.
5.2.10 In appointing a person to be a parent member of the Local Governing Body pursuant to clause 4.2.9, the Local Governing Body shall appoint a person who is the parent of a registered pupil at that Academy; or where it is not reasonably practical to do so, a person who is the parent of a child of compulsory school age.
Wiltshire Governor Services provide letters/forms and proformas to assist in this process.
5.3 Co-opted members of the Local Governing Body
5.3.1 The Local Governing Body may appoint up to [3] persons to be “Co- opted” to the Local Governing Body. A person who shall be “Co-opted” to the Local Governing Body means a person who is to serve on the Local Governing Body without having been appointed or elected to serve on the Local Governing Body. The Local Governing Body may not co-opt a person who is employed at the Academy if thereby the number of persons employed at the Academy serving on the Local Governing Body would exceed one third of the total number of persons serving on the Local Governing Body (including the Headteacher).
6 5.4 Term of office
5.4.1 The term of office for any person serving on the Local Governing Body shall be four years, save that this time limit shall not apply to the Head Teacher and persons who are “Co-Opted” to the Local Governing Body who shall serve for one year. Subject to remaining eligible to be a particular type of member on the Local Governing Body, any person may be re-appointed or re-elected (including being “Co-opted” again) to the Local Governing Body.
5.5 Resignation and removal
5.5.1 A person serving on the Local Governing Body shall cease to hold office if he resigns his office by notice to the Local Governing Body (but only if at least three persons will remain in office when the notice of resignation is to take effect).
5.5.2 A person serving on the Local Governing Body shall cease to hold office if he is removed by the person or persons who appointed him. Whilst at the same time as acknowledging that no reasons need to be given for the removal of a person who serves on the Local Governing Body by a person or persons who appointed him, any failure to uphold the values of the Company and/or each Academy or to act in a way which is appropriate in light of this Scheme of Delegation will be taken into account. A person [(except a foundation member)] may also be removed by the Directors but only after the Directors have given due regard to any representations by the Local Governing Body. This clause does not apply in respect of a person who is serving as a parent member on the Local Governing Body.
5.5.3 If any person who serves on the Local Governing Body in his capacity as an employee at that Academy ceases to work at that Academy then he shall be deemed to have resigned and shall cease to serve on the Local Governing Body automatically on termination of his work at that Academy.
5.5.4 Where a persons who serves on the Local Governing Body resigns his office or is removed from office, that person or, where he is removed
7 from office, those removing him, shall give written notice thereof to the Local Governing Body who shall inform the Directors.
5.6 Disqualification of members of the Local Governing Body
5.6.1 No person shall be qualified to serve on the Local Governing Body unless he is aged 18 or over at the date of his election or appointment. No current pupil of any of the Academies shall be entitled to serve on the Local Governing Body.
5.6.2 A person serving on the Local Governing Body shall cease to hold office if he becomes incapable by reason of mental disorder, illness or injury of managing or administering his own affairs.
5.6.3 A person serving on the Local Governing Body shall cease to hold office if he is absent without the permission of the Chair of the Local Governing Body from all the meetings of the Local Governing Body held within a period of six months and the Local Governing Body resolves that his office be vacated.
5.6.4 A person shall be disqualified from serving on the Local Governing Body if:
5.6.4.1 his estate has been sequestrated and the sequestration has not been discharged, annulled or reduced; or
5.6.4.2 he is the subject of a bankruptcy restrictions order or an interim order.
5.6.5 A person shall be disqualified from serving on the Local Governing Body at any time when he is subject to a disqualification order or a disqualification undertaking under the Company Directors Disqualification Act 1986 or to an order made under section 429(2)(b) of the Insolvency Act 1986 (failure to pay under county court administration order).
5.6.6 A person serving on the Local Governing Body shall cease to hold office if he would cease to be a director by virtue of any provision in the
8 Companies Act 2006 or is disqualified from acting as a trustee by virtue of section 72 of the Charities Act 1993 (or any statutory re-enactment or modification of that provision).
5.6.7 A person shall be disqualified from serving on the Local Governing Body if he has been removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commission or the High Court on the grounds of any misconduct or mismanagement in the administration of the charity for which he was responsible or to which he was privy, or which he by his conduct contributed to or facilitated.
5.6.8 A person shall be disqualified from serving on the Local Governing Body at any time when he is:
5.6.8.1 included in the list kept by the Secretary of State under section 1 of the Protection of Children Act 1999; or
5.6.8.2 disqualified from working with children in accordance with Section 35 of the Criminal Justice and Court Services Act 2000; or
5.6.8.3 barred from regulated activity relating to children (within the meaning of section 3(2) of the Safeguarding Vulnerable Groups Act 2006).
5.6.9 A person shall be disqualified from serving on the Local Governing Body if he is a person in respect of whom a direction has been made under section 142 of the Education Act 2002 or is subject to any prohibition or restriction which takes effect as if contained in such a direction.
5.6.10 A person shall be disqualified from serving on the Local Governing Body where he has, at any time, been convicted of any criminal offence, excluding any that have been spent under the Rehabilitation of Offenders Act 1974 as amended, and excluding any offence for which the maximum sentence is a fine or a lesser sentence except where a person has been convicted of any offence which falls under section 72 of the Charities Act 1993.
9 5.6.11 A person shall be disqualified from serving on the Local Governing Body if he has not provided to the Chair of the Local Governing Body a criminal records certificate at an enhanced disclosure level under section 113B of the Police Act 1997. In the event that the certificate discloses any information which would in the opinion of either the Chair or the Head Teacher confirm their unsuitability to work with children that person shall be disqualified. If a dispute arises as to whether a person shall be disqualified, a referral shall be made to the Secretary of State to determine the matter. The determination of the Secretary of State shall be final.
5.6.12 Where, by virtue of this Scheme of Delegation, a person becomes disqualified from serving on the Local Governing Body; and he was, or was proposed, to so serve, he shall upon becoming so disqualified give written notice of that fact to the Local Governing Body who shall inform the Directors.
5.6.13 This clause 4.6 and paragraph 2 of the Appendix shall also apply to any member of any committee of the Local Governing Body who is not a member of the Local Governing Body.
6. DELEGATED POWERS
6.1 General Provisions
6.1.1 Subject to provisions of the Companies Act 2006, the Articles and to any directions given by the Members of SRET following a special resolution the management of the business of each Academy shall be delegated by the Directors to the Local Governing Body who may exercise all the powers of SRET in so far as they relate to that Academy, in accordance with the terms of this Scheme of Delegation and as shown in the SRET Trust SoD document. No alteration of the Articles and no such direction shall invalidate any prior act of the Local Governing Body which would have been valid if that alteration had not been made or that direction had not been given. Except as provided for in this Scheme of Delegation, the powers given by this Scheme of Delegation shall not be limited by any special power given to the Directors by the Articles or to the Local 10 Governing Body by this Scheme of Delegation and a meeting of the Local Governing Body at which a quorum is present may exercise all the powers so delegated.
6.1.2 In general terms, the responsibility of the Directors in so far as the business of each Academy is concerned is to determine the policy and procedures of that Academy and to consider and respond to strategic issues. Whilst the Directors are free to decide what constitutes a strategic issue, having regard to all the circumstances, unless a matter is identified as a strategic issue and/or is identified as being the responsibility of the Directors under this Scheme of Delegation, the responsibility for such matter will be that of the Local Governing Body.
6.1.3 Except as provided for in this Scheme of Delegation, in addition to all powers hereby expressly conferred upon the Local Governing Body and without detracting from the generality of the powers delegated, the Local Governing Body shall have the following powers, namely:
6.1.3.1 to expend certain funds of the Company as permitted by clause 5.3 in such manner as the Local Governing Body shall consider most beneficial for the achievement of the Object in so far as it relates to the Academy and to invest in cash deposits covered by the FSCS Compensation Scheme in the name of SRET such part of the funds of the Company for which it has responsibility pursuant to this Scheme of Delegation as it may see fit and to direct the sale or transposition of any such investments and to expend the proceeds of any such sale in furtherance of the Object; and
6.1.3.2 to enter into contracts on behalf of SRET in so far as they relate to the Academy.
6.1.4 In the exercise of its powers and functions, the Local Governing Body may consider any advice given by the Head teacher and any other executive officer as well as the Directors
11 6.1.5 Any bank account in which any money of the Company in so far as it relates to the Academy is deposited shall be operated by the Local Governing Body in the name of the Company. All cheques and orders for the payment of money from such an account shall be signed by at least two signatories authorised by the Local Governing Body and in accordance with The SRET Finance Manual
6.2 Ethos and Values
6.2.1 At all times, the Directors and the Local Governing Body shall ensure that each Academy is conducted in accordance with the objects of SRET, and any agreement entered into with the Secretary of State for the funding of the Academy.
6.3 Finance
6.3.1 In acknowledgement of the receipt by the Directors of funds in relation to the Academy; provided by the Secretary of State, donated to the Company and generated from the activities of SRET, the Directors delegate to the Local Governing Body the responsibility to manage and expend all monies received on account of each Academy for the purposes of that Academy, less a percentage of the GAG funding received from the Secretary Of State (an amount to be determined each year by the Directors acting reasonably as part of the annual budgeting process).
6.3.2 Whilst the Local Governing Body shall have the power to enter into contracts on behalf of SRET in so far as they relate to the Academy pursuant to clause 5.1.3, the Local Governing Body shall first obtain the written consent of the Directors to any contracts or expenditure for any single matter above £10,000 (ten thousand), unless it is budgeted expenditure in which case a contract or expense need only be referred to the Directors if it is above £20,000 (twenty thousand).
6.3.3 The accounts of SRET shall be the responsibility of the Directors but the Local Governing Body shall provide such information about the finances of the Academy as often and in such format as the Directors shall [reasonably] require. [Without prejudice to the above, the Local
12 Governing Body shall provide monthly management accounts to the Directors.]
6.3.4 The Local Governing Body shall ensure that proper procedures are put in place for the safeguarding of funds and that the requirements of the Academies Financial Handbook are observed at all times as well as any requirements and recommendations of the Directors and the Secretary of State. A summary of the financial limits with the Finance Handbook are contained in the Scheme Of Delegation FRAMEWORK.
6.3.5 The Local Governing Body shall inform the Directors of any need for significant unplanned expenditure and will discuss with the Directors (and others as the Directors shall require) options for identifying available funding.
6.4 Premises
6.4.1 Subject to and without prejudice to clauses 5.3.2, the maintenance of the buildings and facilities used in respect of the Academy is the responsibility of SRET, who shall have regard at all times to the safety of the users of the buildings and the facilities and the legal responsibilities of the Directors (and/or any others) as owners of such buildings and facilities.
6.4.2 The responsibility for any disposals or acquisitions of land to be used by the Academy will be that of the Directors.
6.5 Resources
6.5.1 Headteacher
6.5.1.1 The Directors shall appoint the Head Teacher (and any other key post it so identifies). The Directors and the Local Governing Body may delegate such powers and functions as they consider are required by the Head Teacher for the
13 internal organisation, management and control of each Academy (including the implementation of all policies approved by the Directors and the Local Governing Body and for the direction of the teaching and curriculum at each Academy).
6.5.2 Other Staff
6.5.2.1 The Local Governing Body shall be responsible for the appointment and management of all other staff to be employed at each Academy provided that the Local Governing Body shall:
6.5.2.1.1 comply with all policies dealing with staff issued by the Directors from time to time;
6.5.2.1.2 take account of any pay terms set by the Directors;
6.5.2.1.3 adopt any standard contracts or terms and conditions for the employment of staff issued by the Directors;
6.5.2.1.4 manage any claims and disputes with staff members having regard to any advice and recommendations given by the Directors.
6.5.2.2 The Local Governing Body shall carry out the performance management of all staff (for the Headteacher, Directors and a Head Teacher from one of the other academies will be involved) and shall put in place procedures for the proper professional and personal development of staff.
6.6 Curriculum and Standards
6.6.1 The Local Governing Body shall be responsible for the setting and review of the curriculum but shall have regard to any views of the Directors in
14 recognition of the Directors’ obligation to the Secretary of State to provide a broad and balanced curriculum.
6.6.2 The Local Governing Body shall be responsible for the standards achieved by each Academy and the pupils attending that Academy but shall follow such advice and recommendations of the Directors as they might issue from time to time.
6.6.3 The Local Governing Body shall at all times adhere to the SRET Admissions Policy as it applies to their Academy.
6.7 Extended Schools and Business Activities
6.7.1 Whilst the undertaking of any activities which would be described as part of each Academy’s “extended schools agenda” or any activities designed to generate business income, would be the responsibility of the Local Governing Body, this shall only be undertaken in a manner consistent with any policy set by the Directors and having regard to the viability of such activities, the impact on each Academy’s activities and any financial implications, such as the threat of taxation in light of SRET’s charitable objects and any threat to funding provided by the Secretary of State.
6.8 Regulatory Matters
6.8.1 The responsibility for the satisfaction and observance of all regulatory and legal matters shall be the Directors but the Local Governing Body shall do all such things as the Directors may specify as being necessary to ensure that SRET is meeting its legal obligations.
6.8.2 Not used
7. OPERATIONAL MATTERS
7.1 The Local Governing Body shall comply with the obligations set out in the Appendix which deals with the day to day operation of the Local Governing Body.
15 7.2 The Local Governing Body will review and adopt and will comply with all policies of the Directors communicated to the Local Governing Body from time to time.
7.3 Both the Directors and all members of the Local Governing Body have a duty to act independently and not as agents of those who may have appointed them and will act with integrity, objectivity and honesty in the best interests of the SRET and the relevant Academy and shall be open about decisions and be prepared to justify those decisions except in so far as any matter may be considered confidential.
7.4 The Local Governing Body will review its policies and practices on a regular basis, having regard to recommendations made by the Directors from time to time, in order to ensure that the governance of each Academy is best able to adapt to the changing political and legal environment.
7.5 The Local Governing Body shall provide such data and information regarding the business of each Academy and the pupils attending that Academy as the Directors may require from time to time.
7.6 The Local Governing Body shall submit to any inspections by the Directors [and any inspections pursuant to section 48 of the Education Act 2005] to assess how well that Academy is being managed in light of the additional responsibilities and expectations of schools which are academies.
7.7 The Local Governing Body shall work closely with and shall promptly implement any advice or recommendations made by the Directors in the event that intervention is either threatened or is carried out by the Secretary of State and the Directors expressly reserve the unfettered right to review or remove any power or responsibility conferred on the Local Governing Body under this Scheme of Delegation in such circumstances.
7.8 Not used
8. ANNUAL REVIEW
8.1 This Scheme of Delegation shall operate from 1 November 2015 in respect of the
16 named Academy. Where applicable, it will be based on the framework Scheme of Delegation that will have been put in place on the incorporation of SRET and will have been attached to SRET’s first Articles of Association.
8.2 Notwithstanding this being the revised Scheme of Delegation to apply in respect of the Academy, the Directors will have the absolute discretion to review this Scheme of Delegation at least on an annual basis and to alter any provisions of it.
8.3 In considering any material changes to this Scheme of Delegation or any framework on which it is based, the Directors will have regard to and give due consideration of any views of the Local Governing Body.
17 APPENDIX
FUNCTIONING OF THE LOCAL GOVERNING BODY
1. CHAIR AND VICE-CHAIR OF THE LOCAL GOVERNING BODY
1.1 The Local Governing Body will elect a Chair and a Vice-Chair at the first meeting of each school year.
1.2 No employee of SRET may be Chair of Vice-Chair of the Local Governing Body.
1.3 The election process for both positions will be managed by the Clerk. Written nominations should be notified to the Clerk up to two weeks before the date of the first Local Governing Body meeting and additional nominations can be taken on the day. Nominations may be self-nominations or for another governor – with their permission – and should be seconded by another governor. If necessary, the election may be taken in secret. In the event of a tie, a second vote will be taken and in the event of a further tie, the decision will be based on the toss of a coin.
1.4 Subject to paragraph 1.5, the Chair or Vice-Chair shall hold office as such until his successor has been elected in accordance with this clause 1.
1.5 The Chair or Vice-Chair may at any time resign his office by giving notice in writing to the Local Governing Body. The Chair or Vice-Chair shall cease to hold office if:
1.5.1 he ceases to serve on the Local Governing Body;
1.5.2 he is employed by the Company whether or not at the Academy;
1.5.3 he is removed from office in accordance with this Scheme of Delegation; or
1.5.4 in the case of the Vice-Chair, he is elected in accordance with this Scheme of Delegation to fill a vacancy in the office of chairman.
1 1.6 Where by reason of any of the matters referred to in paragraph 1.4, a vacancy arises in the office of Chair or Vice-Chair, the members of the Local Governing Body shall at its next meeting elect one of their number to fill that vacancy.
1.7 Where the Chair is absent from any meeting or there is at the time a vacancy in the office of the Chair, the Vice-Chair shall act as the Chair for the purposes of the meeting.
1.8 Where in the circumstances referred to in paragraph 1.5 the Vice-Chair is also absent from the meeting or there is at the time a vacancy in the office of Vice- Chair, the members of the Local Governing Body shall elect one of their number to act as a Chair for the purposes of that meeting, provided that the person elected shall neither be a person who is employed by SRET whether or not at the Academy nor a Director.
1.9 A Director shall act as Chair during that part of any meeting at which the Chair is elected.
1.10 Any election of the Chair or Vice-Chair which is contested shall be held by secret ballot.
1.11 The Chair or Vice-Chair may only be removed from office by the Directors at any time or by the Local Governing Body in accordance with this Scheme of Delegation.
1.12 A resolution to remove the Chair or Vice-Chair from office which is passed at a meeting of the Local Governing Body shall not have effect unless:
1.12.1 it is confirmed by a resolution passed at a second meeting of the Local Governing Body held not less than fourteen days after the first meeting; and
1.12.2 the matter of the Chair’s or Vice-Chair’s removal from office is specified as an item of business on the agenda for each of those meetings.
1.13 Before a resolution is passed by the Local Governing Body at the relevant meeting as to whether to confirm the previous resolution to remove the Chair or Vice-
2 Chair from office, the person or persons proposing his removal shall at that meeting state their reasons for doing so and the Chair or Vice-Chair shall be given an opportunity to make a statement in response.
2. CONFLICTS OF INTEREST
2.1 Any member of the Local Governing Body who has or can have any direct or indirect duty or personal interest (including but not limited to any Personal Financial Interest) which conflicts or may conflict with his duties as a member of the Local Governing Body shall disclose that fact to the Local Governing Body as soon as he becomes aware of it. A person must absent himself from any discussions of the Local Governing Body in which it is possible that a conflict will arise between his duty to act solely in the interests of each Academy and any duty or personal interest (including but not limited to any Personal Financial Interest).
2.2 For the purpose of paragraph 2.1, a person has a Personal Financial Interest if he is in the employment of SRET or is in receipt of remuneration or the provision of any other benefit directly from SRET or in some other way is linked to SRET or that Academy.
2.3 In any conflict between any provision of this Scheme of Delegation and the Articles, the Articles shall prevail.
2.4 Any disagreement between the members of the Local Governing Body and the Head Teacher or any subcommittee of the Local Governing Body shall be referred to the Directors for their determination.
3. THE MINUTES
3.1 The minutes of the proceedings of a meeting of the Local Governing Body shall be drawn up and entered into a book kept for the purpose by the person authorised to keep the minutes of the Local Governing Body; and shall be signed (subject to the approval of the members of the Local Governing Body) at the same or next subsequent meeting by the person acting as chairman thereof. The minutes shall include a record of:
3 3.1.1 all appointments of officers made by the Local Governing Body; and
3.1.2 all proceedings at meetings of the Local Governing Body and of committees of the Local Governing Body including the names of all persons present at each such meeting.
4. COMMITTEES
4.1 Subject to this Scheme of Delegation, the Local Governing Body may establish any subcommittee. The constitution, membership and proceedings of any subcommittee shall be determined by the Local Governing Body but having regard to any views of the Directors. The establishment, terms of reference, constitution and membership of any subcommittee shall be reviewed at least once in every twelve months. The membership of any subcommittee may include persons who do not also serve on the Local Governing Body, provided that a majority of the members of any such subcommittee shall be members of the Local Governing Body or Directors. The Local Governing Body may determine that some or all of the members of a subcommittee who are not Directors or who do not serve on the Local Governing Body shall be entitled to vote in any proceedings of the subcommittee. No vote on any matter shall be taken at a meeting of a subcommittee unless the majority of members of the subcommittee present either are Directors or who serve on the Local Governing Body.
5. DELEGATION
5.1 Provided such power or function has been delegated to the Local Governing Body, the Local Governing Body may further delegate to any person serving on the Local Governing Body, committee, the Headteacher or any other holder of an executive office, such of their powers or functions as they consider desirable to be exercised by them. Any such delegation may be made subject to any conditions either the Directors or the Local Governing Body may impose and may be revoked or altered.
5.2 Where any power or function of the Directors or the Local Governing Body is exercised by any subcommittee, any Director or member of the Local Governing Body, the Headteacher or any other holder of an executive office, that person or
4 subcommittee shall report to the Local Governing Body in respect of any action taken or decision made with respect to the exercise of that power or function at the meeting of the Local Governing Body immediately following the taking of the action or the making of the decision.
6. MEETINGS OF THE LOCAL GOVERNING BODY
6.1 Subject to this Scheme of Delegation, the Local Governing Body may regulate its proceedings as the members of the Local Governing Body think fit.
The following is recommended:
Full Local Governing Body Meetings
There must be at least three meetings of the full governing body each school year.
These meetings will be convened by the Clerk to the Governors and, where possible, the dates will be agreed and published at the beginning of the academic year.
The agenda/reports/papers shall be sent to the governors by the Clerk at least seven days before the meeting.
Minutes should be prepared by the Clerk following each meeting and will be circulated to all governors within 14 days of the meeting. The previous minutes will be agreed at the next meeting and must be approved and signed off by the Chair. The minutes should not include any confidential items such as names of staff, pupils or parents.
All approved minutes must be made available for public inspection (under the Freedom of Information Act) through the Academy office and the website.
Quorum and Voting
5 For all meetings of the full governing body, the quorum will be 50% of the total number of governors (excluding vacancies and rounded up).
All matters are decided by a majority vote and in the event of a tie; the Chair (or Acting Chair) has an additional casting vote.
6.2 Subject to this Scheme of Delegation, every question to be decided at a meeting of the Local Governing Body shall be determined by a majority of the votes of the persons present and entitled to vote on the question. Every member of the Local Governing Body shall have one vote.
6.3 Where there is an equal division of votes, the chairman of the meeting shall have a casting vote in addition to any other vote he may have.
6.4 The proceedings of the Local Governing Body shall not be invalidated by
6.4.1 any vacancy on the Board; or
6.4.2 any defect in the election, appointment or nomination of any person serving on the Local Governing Body.
7. NOTICES
7.1 Any notice to be given to or by any person pursuant to this Scheme of Delegation (other than a notice calling a meeting of the Local Governing Body) shall be in writing or shall be given using electronic communications to an address for the time being notified for that purpose to the person giving the notice. In these Articles, “Address” in relation to electronic communications, includes a number or address used for the purposes of such communications.
6 8. INDEMNITY
8.1 Subject to the provisions of the Companies Act 2006 every member of the Local Governing Body or other officer or auditor of SRET acting in relation to each Academy shall be indemnified out of the assets of SRET against any liability incurred by him in that capacity in defending any proceedings, whether civil or criminal, in which judgment is given in favour or in which he is acquitted or in connection with any application in which relief is granted to him by the court from liability for negligence, default, breach of duty or breach of trust in relation to the affairs of SRET.
To Be Reviewed September 2017
Appendix 1 – Terms of Reference
SRET Committees
Finance Committee
Audit Committee
H & S Committee
Appendix 1
7 Somerset Road Education Trust
Finance Committee - Terms of Reference
1 Role
The finance committee is a committee of the board of directors delegated to provide advice and recommendations to the board on financial matters. Decisions concerning the adoption and implementation of these recommendations must be made by the board of directors.
2 Membership
Chairman of the Committee [Director, Finance] Accounting Officer [AO] SRET Business Manager Chair of finance from each SRET academy Business Managers from each SRET academy SRET director
The chair of the finance committee may not be an employee of a SRET Academy and should be elected annually at a main directors meeting.
The committee may invite or co-opt Associate Members of staff where appropriate.
The quorum for each meeting will be three. [Associate members excluded]
3 Timing
Meetings will be held a minimum of three times a year but additional meetings may be held if required.
The meeting held at the end of the summer term will ratify the budget for the following year prior to approval by the directors.
8 The meeting held in November/December will approve the audited year end accounts, financial statements and accounting policies prior to ratification by the board and onward submission.
4 Functions
1. To ensure that all the requirements of the Academies Financial Handbook are met and to monitor compliance with the finance manual and annually to review this document. 2. To provide leadership on financial issues and assist the development of strategic plans 3. To consider the Academies’ annual indicative funding [as notified by EFA] and assess the implications for SRET, in consultation with the BM and principals in advance of the academic year. Any matters of significance should be drawn to the attention of the board.
4. To receive the Academies’ proposed annual budget from the BM consider and recommend the acceptance/non acceptance to the board of directors at the start of each academic year. This should include the level and use of contingency funds or balances. 5. To receive consider and approve/reject budget reports from SBMs including major variance reports, staffing costs, allocation of curriculum development costs and forecast operational costs. Submit overview report to the board of directors, highlighting any concerns. 6. To receive copies of SRET development plans and review financial implications of these. 7. To consider and recommend approval/rejection of any SRET purchases greater than the amount stipulated in the finance manual. 8. To review the financial statement to form part of the annual report of the Board of directors, for filing in accordance with the Companies act and the Charity Commission requirements. 9. To ensure that adequate insurance cover is in place to support all SRET responsibilities. 10. To receive audit reports from the Audit Committee and agree a plan for implementation. 11. To approve the write off of any debts or liaise with the EFA if their value exceeds the limits set in the Academies Financial Handbook. 12. To approve any special payments or liaise with the EFA if their value exceeds the limits set in the Academies Financial Handbook. 13. To receive an annual review of all Service Contract agreements with a value of over £20,000.
9 14. To review the SRET risk register document annually. 15. To write and regularly review the following documents and policies: SRET Finance Manual SRET Payment & Re-Imbursement policy SRET Governors Expenses Policy SRET Charging and Remissions policy SRET Whistleblowing policy SRET Gifts and Hospitality policy SRET Anti- Fraud and Corruption policy SRET Lettings policy 16. To review these functions annually and propose any amendments to the board.
Somerset Road Educational Trust (the Trust)
Audit Committee
Terms of Reference
10 1 Authority
The Audit Committee is a Committee of the Board of Trustees and is authorised to investigate any activity within its terms of reference or specifically delegated to it by the Board. It is authorised to request any information it requires from any employee, external audit, internal audit or other assurance provider.
The Audit Committee is authorised to obtain outside legal or independent professional advice it considers necessary, normally in consultation with the Accounting Officer and/or Chair of the Board. However, the Audit Committee may not incur expenditure in excess of £2,500 in doing so without the prior approval of the Board of Trustees.
2 Membership
Chair of Committee (Gavin Walker – Director & Member) Angus Mayhew (Director) Neil Curtis (Director)
3 Role
The role of the Audit Committee is to maintain an oversight of the Trust’s governance, risk management, internal control and value for money framework. It will report its findings to the Board and the Accounting Officer as a critical element of the Trust’s annual reporting requirements.
The Audit Committee has no executive powers or operational responsibilities/duties.
4 Duties
The duties of the Audit Committee are to:
3.1 Advise the Board and Accounting Officer on the adequacy and effectiveness of the Trust’s governance, risk management, internal control and value for money systems and frameworks. An annual report will be produced by the Audit Committee in this regard.
3.2 Advise the Board on the appointment, re-appointment, dismissal and remuneration of the external auditor.
11 3.3 Advise the Board on the need for, and then, where appropriate, the appointment, re- appointment, dismissal and remuneration of, an internal auditor or other assurance provider.
3.4 Advise the Board on an appropriate programme of work to be delivered by independent assurance providers (external and internal auditors). This programme of work is to be derived from the Audit Committee’s regard of the key risks faced by the Trust, the assurance framework in place and its duty to report to the Board as detailed in 3.1.
3.5 Review the external auditor’s annual planning document and approve the planned audit approach.
3.6 Discuss with management and with the external auditor all proposed major changes in accounting policy, the presentation of all large risks or uncertainties and all estimates or judgements of management that may be material to financial reporting.
3.7 Receive reports (annual reports, management letters etc) from the external auditor and other bodies, for example the EFA and NAO, and consider any issues raised, the associated management response and action plans. Where deemed appropriate, reports should be referred to the Board or other committee for information and action.
3.8 Regularly monitor outstanding audit recommendations from whatever source and ensure any delays to implementation dates are reasonable.
3.9 Review the Trust’s fraud response plan and ensure that all allegations of fraud or irregularity are managed and investigated appropriately.
3.10 Consider any additional services delivered by the external auditor or other assurance provider and ensure appropriate independence is maintained.
3.11 Ensure appropriate cooperation and coordination of the work of the external and internal auditors.
3.12 Meet with the external auditor without management present at least annually, and meet with the internal auditor without management present if required.
4 Administration
4.1 The audit committee will meet at least three times a year.
12 4.2 The Audit Committee will consist of at least two but ideally three members of the Board. Additionally, up to two external co-opted members may also be appointed. The Chair of the Board cannot be a member of the Audit Committee.
4.3 The Audit Committee will be quorate if two members are present and 50% of members are Trust Board members.
4.4 The Accounting Officer, the Chief Financial Officer and other members of the Trust staff may be invited to attend, but will have no voting rights.
4.5 Administrative support will be provided by the Clerk to the Board of Trustees if required.
4.6 Agendas will be agreed in advance by the Chair of the Audit Committee (based on, but not limited to, a pre-agreed annual schedule of activity) and papers will be circulated to members and attendees at least 5 working days in advance of the meeting.
4.7 Minutes of meetings will be taken and once approved in draft by the Chair of the Audit Committee, be submitted to the next scheduled meeting of the Board of Trustees.
4.8 The Audit Committee will review these terms of reference and self- assess its performance against these terms of reference on an annual basis.
Annex 1
One responsibility of the Audit Committee is to ‘review risks to internal financial controls’. This means that the Trust will need to look at the risks faced that specifically impact on internal financial controls. Some or all of the following will require coverage in an internal audit programme of work:
budgeting purchasing (such as access to ledger, changes to standing data and approved suppliers) staff expenses EFA funded income other income payroll & personnel (including verifying existence of employees, access to standing data and complete personnel information) cash handling cashflow / treasury management capital spend/procurement
13 effective recording of fixed assets within accounting records capital project monitoring and reporting production of management information for governors production and submission of information for the EFA IT back-ups and security over electronic data insurance levels and policies in place review of specific systems (such as Parent Pay and WisePay).
SRET Health and Safety Committee
Terms of Reference
1 Role
14 The H&S Committee is a committee of the Board of Directors delegated to provide advice, have powers to make decisions and provide recommendations where appropriate to the Board on Health and Safety matters.
2 Membership
Director for H&S (Chair Angus Mayhew) Each School Business Manager (SBM) Each Headteacher Chair Of Trust Site Manager (SM)
The Chair of H&S Committee must not be an employee of a SRET academy and should be elected annually at a Directors’ Meeting. The committee may invite or co-opt Associate Members where appropriate. The quorum for each meeting will be five. [Associate Members excluded.]
3 Timing
Meetings will be held a minimum of four times a year (Sep; Dec; Mar; Jun) but additional meetings may be held if required. Minutes of the meeting will be discussed, agreed and circulated and shared at the next LGB and Director level to keep those with a governance role informed of changes/actions and forewarned of future issues.
4 Functions
17. Ensure premises (land and buildings) are suitable and that any special requirements are met to the required standard (Non-statutory advice on standards for school premises, DfE, March 2015) 18. Ensure premises meet all statutory requirements e.g. Health and Safety at Work Act 1974, Equality Act 2010 etc 19. Review Property Data Surveys annually and monitor the condition of premises
15 20. Chair to conduct an school inspections with relevant staff – this is in addition to programmed H&S Inspections with H&S governors (March time – to help with any budget setting for the following year) 21. Recommend to Directors relevant policies/procedures/risk assessment as the need arises e.g. advise on new policy, review annual policies 22. Oversee risk assessment and management of campus issues e.g. security, parking, vehicular movements etc 23. Ensure value for money, in accordance with EFA standards, is discussed and achieved 24. Review annually campus arrangements for cleaning, catering, grounds, maintenance contracts/contractors and advise the Board of changes 25. Oversee arrangements for regular activities/maintenance e.g. fire drills, PE equipment checks, weekly checks etc 26. Ensure each school completes and submits an annual H&S Audit for Local Authority and acts appropriately on recommended actions 27. Discuss and enact campus wide issues and solutions e.g. clearing guttering, outside lighting, access, security etc 28. Provide leadership/expertise on issues for the campus and assist the development of strategic plans/decisions e.g. CIF bids, John Ivie Centre 29. Work alongside existing LGBs by sending and receiving reports 30. Receive relevant information on H&S allocations, actual spends across each school and review financial implications of these. 31. Receive copies of 5 Year Strategic Plan and SDPs at the beginning of each year to consider any H&S implications 32. Write and regularly review all relevant H&S documents and policies including but not exhaustive to:
SRET Health and Safety SRET Accident Investigation SRET Manual Handling SRET Working at Height SRET Working at Height Risk Assessment SRET Whistleblowing (regarding H&S)
33. Review accidents and near misses on site 34. Review off-site activities/trips 35. Consider an environmental strategy to create a supportive workplace and raise awareness for children 36. Monitor and review extended provision e.g. Breakfast Club, sports clubs (lunchtime and after school) and After School Klub (ASK) 37. Generate and review a SRET Asset Management Plan 38. Generate and review the Campus Travel Plan annually and engage with the local community, residents, Highways, Police etc as required 39. Review training needs, explore economies of scale and fail safes/redundancies 16 40. Review functions annually and propose any amendments to the Board of Directors
17