Police and Crime Commissioner. Scheme of Delegation

Transcription

1 Police and Crime Commissioner Scheme of Delegation

2 SCHEME OF DELEGATION IMPLEMENTED: 1 st October, 2014 REVIEW DATE: 31 st March 2015 PROCEDURE OWNER: Chief Executive and Chief Finance Officer to the Police and Crime Commissioner APPROVED BY: Police and Crime Commissioner PROTECTIVE MARKING: Not Protectively Marked IS THE PROCEDURE New Revised IF REVISED, PLEASE COMPLETE TABLE BELOW VERSION NO DATE SUMMARY OF CHANGES AUTHOR(S)

3 Table of Contents 1. Introduction and Background Scope Roles & Responsibilities The Police and Crime Commissioner for Greater Manchester The Chief Finance Officer to the Commissioner Budget Holders Budget Managers Terms and Definitions Scheme of Delegation General Principles of Delegation Delegations from the Commissioner Deputy Police and Crime Commissioner Chief Finance Officer to the Commissioner Chief Executive Monitoring Officer Urgent Provisions Associated Documents Consultation & Statutory Compliance Consultation and Review Statutory Compliance Data Protection Act (1998) Freedom of Information Act (2000) Equality Act Appendices Appendix 1 Scheme of Financial Delegation Financial Planning and Budgetary Control Contract Standing Orders Ordering and Payment of Goods and Services Ordering and Payment of Goods and Services Feeder Systems Ordering and Payment of Goods and Services Imprest Accounts Payments to Employees Banking and Income Collection Management of Assets and Risks Ex-Gratia Payments External Funding Sponsorship Urgent Matters Appendix 2 Cheque Signatories Appendix 3 - Delegations to Deputy Police and Crime Commissioner Appendix 4 - Delegations to the Police and Crime Commissioner s Chief Executive. 18

4 8.4 Appendix 5 - Delegations to the Police and Crime Commissioner s Chief Finance Officer Appendix 6 - Terms of Reference for Committees and Panels Audit and Accounts Committee Human Resources Governance Panel Justice and Rehabilitation Executive Board Ethics Committee Local Advisory Panel for the Policing of Protests April 2014 Page 1

5 1. Introduction and Background The Commissioner is required, on an annual basis, to produce an annual governance statement. As part of this process the Commissioner should have a code of corporate governance which describes the strategies, arrangements, instruments and controls to ensure good governance. This Scheme of Delegation provides a framework which enables business to be carried out lawfully and efficiently, ensuring that decisions are not unnecessarily delayed and are taken at the appropriate level It forms part of the overall corporate governance framework for the Commissioner. This document should be read in conjunction with the following documents that comprise the Integrated Scheme of Governance: Code of Governance; Financial Regulations; Contract Standing Orders; and Scheme of Consent. This Scheme details the formal delegations by the Commissioner to his officers and staff and will be reviewed at least annually. 2. Scope The Scheme of Delegation aims to clarify those powers which, for the benefit of good business practice, are given to the Chief Finance Officer to the Commissioner and other senior officers and staff. This Scheme of Delegation applies only to the internal functions of the Office of the Police and Crime Commissioner and does not apply to the Chief Constable and GMP who will have their own Scheme of Delegation. Any further delegations of these powers, to enable decisions to be made at the most appropriate level, are detailed in Appendix 1. The Commissioner may limit these powers, consent to additional delegations or remove any powers (apart from those powers that are given by law). Any powers or duties placed on officers and staff should be exercised lawfully in accordance with this Scheme of Delegation, the Contract Standing Orders, Financial Regulations and relevant policies, procedures, plans, strategies and budgets. This Scheme does not identify all the statutory duties which are contained in specific laws and regulations, however it provides the framework in which the various duties and powers are exercised. The authorised officers and staff are responsible for ensuring that the members of staff they supervise are aware of and comply with the provisions and obligations of this scheme. 3. Roles & Responsibilities 3.1 The Police and Crime Commissioner for Greater Manchester The Commissioner has a statutory duty and electoral mandate to ensure an efficient and effective police service and to hold the police to account on behalf of the public. He is the legal contracting body who owns all the assets and is responsible for approving the capital and revenue budgets, monitoring financial outcomes and approval of the Strategic Financial Outlook. April 2014 Page 1

6 He is also responsible for approving the overall framework of accountability and control, and monitoring compliance. 3.2 The Chief Finance Officer to the Commissioner The Chief Finance Officer to the Commissioner has a fiduciary duty by virtue of his appointment as the person responsible for proper financial administration under the Police Reform and Social Responsibility Act The Act includes requirements and formal powers to safeguard lawfulness and propriety in expenditure. The Chief Finance Officer to the Commissioner is responsible for: The day to day financial management of the budget allocated to the Commissioner in accordance with the Financial Regulations and to account to the Commissioner for the management of those funds; Control of all financial systems and procedures; and The preparation and dissemination of the Commissioner s Financial Instructions, providing detailed guidance on the operation of specific financial processes controlled by the Commissioner. 3.3 Budget Holders To achieve best use of resources and align financial and operational responsibility, budgets have been allocated to Budget Holders by the Commissioner. Budget Holders are accountable to the Commissioner for the budgets that have been allocated to them. They are responsible, with the support of the finance team, for managing their budgets in line with the agreed policies and guidelines, and reporting on budgetary performance. 3.4 Budget Managers Budget Managers are responsible for the day to day management of the budgets that the Budget Holders have allocated to them. They must monitor their budgets closely, only authorise payments covered by the budget and not make any commitments, which would lead to the budget being overspent, without obtaining the approvals required by Scheme of Financial Delegation. April 2014 Page 2

7 4. Terms and Definitions Annual Revenue Budget Budget Holders Budget Managers Capital Budget Carry Forward Contract Delegation Ex-Gratia Payment Forecast Quotation Risk The revenue budget is a plan, expressed in monetary terms, covering a financial year (1st April to 31st March). It enables the Commissioner to incur expenditure and forms the basis on which to monitor his financial performance. Budget Holders are members of staff who have been allocated a budget to run the areas for which they are responsible. This does not involve expenditure which exceeds the approved budget. Budget Managers are managers of specific areas, who have been allocated a budget to exercise the activities for which they are responsible. This does not involve expenditure which exceeds the budget approved in accordance with the Scheme of Financial Delegation. The capital budget relates to the acquisition or enhancing of fixed assets, such as buildings, equipment and IT with a minimum cost of 20,000 and an expected useful life in excess of one year. All vehicles are also capitalised irrespective of the value. A carry forward is the process of transferring resources between accounting years. This may increase or decrease the resources available to Budget Holders in the following year and is subject to the approvals contained in the Scheme of Financial Delegation. A contract is an agreement between two parties for the supply of goods and/or services. The terms and conditions applied to the contract provide clarity and protection for all parties involved. The assignment of authority and responsibility to another person to carry out specific activities or functions. The person who has delegated the work remains accountable for the outcome of the delegated work An ex-gratia payment is a payment made by the Commissioner where no legal obligation exists. A forecast is a prediction (based on latest available information and reasonable assumptions) of what a Budget Holder thinks his/her financial position will be at some point in time in the future (i.e. financial year end). A quotation is a document that a vendor or service provider gives to a customer, to describe specific goods and services that can be provided and its cost. Risk is the chance or possibility of loss, damage, injury or failure to achieve objectives caused by an unwanted or uncertain action or event. April 2014 Page 3

8 Sensitive Issues Sponsorship Strategic Financial Outlook Tender Any issues that arise which may have a potential reputational risk for the Commissioner must be reported to the Commissioner before any decision can be made. Supporting an event, activity or organisation by providing money or benefit in kind of value to the sponsored event. This is usually in return for some form of benefit by association with the police (e.g. logos on police cars). The Strategic Financial Outlook is a medium term (4 year) estimate of the annual income and expenditure requirements for the Commissioner. A tender is a formal sealed bid or written offer to carry out work, supply goods or buy assets at a stated fixed price. It will usually contain detailed information on requirements and terms associated with a potential contract. The Commissioner The Police and Crime Commissioner for Greater Manchester. Unofficial Funds GMP Unofficial funds are funds approved by the Commissioner to be held for exceptional purposes. Greater Manchester Police. April 2014 Page 4

9 5. Scheme of Delegation 5.1 General Principles of Delegation This Scheme of Delegation provides authorised staff with the legal authority to carry out specific duties on behalf of the Commissioner. In carrying out these duties they must comply with all other statutory and regulatory requirements and relevant professional guidance including: Police Reform and Social Responsibility Act 2011 and other relevant legislation issued under this Act; Financial Regulations; Contract Standing Orders; Home Office Financial Management Code of Practice; and CIPFA Statement on the role of the Chief Financial Officer to the Police and Crime Commissioner. The Chief Finance Officer to the Commissioner (appointed under Schedule 1, paragraph 6(1)(b) of the Police Reform and Social Responsibility Act 2011) has statutory powers and duties relating to his/her position and therefore, does not rely on delegation for these powers or duties. With exception to these statutory powers, any person to whom a power is delegated under this Scheme may sub-delegate that power, with the approval of the Chief Executive and/or the Chief Finance Officer to the Commissioner. These sub-delegations are shown in Appendix 1. The formal responsibility and accountability for the effective discharge of these sub-delegated powers remains in law with the person to whom the power was delegated by the Commissioner. Giving delegation to authorised officers and staff under this scheme does not prevent them from referring a matter to the Commissioner for a decision if it is considered appropriate, (for example, because of sensitive issues or any matter that may have a significant financial, legal or reputational implication). The Commissioner may ask that a specific matter be referred to him for a decision and not be dealt with under powers of delegation. When authorised staff are considering a professional or technical matter that is within the sphere of competence or another member of professional staff, they should consult with the appropriate person before authorising any action. All decisions authorised officers and staff make under delegated powers given to them by the Commissioner must be recorded and be available for inspection by the Commissioner. Consideration must be given to any issues that arise from delegations granted within this scheme which may have a potential reputational risk for the Office of the Police and Crime Commissioner. Any such issues must be reported to the Commissioner, prior to any decision being made or where this is not possible, within 24 hours or as soon as practically possible. Each decision/action taken by any officer should have regard to legal and other responsibilities including, health and safety, duty of stewardship and morality. In addition, the Commissioner is ultimately accountable for the police fund. Delegations for approvals relating to the police fund are set out in this scheme. The Commissioner may chose to delegate certain responsibilities to committee or panel. These responsibilities are detailed in the terms of reference for that committee/panel as set out in Appendix 6. April 2014 Page 5

10 In the event that a public enquiry is to be overseen by the Commissioner, this Scheme of Consent/Delegation will apply, except where the authorisation/instruction is given by Central Government Departments ordering the enquiry. It should be noted that the final decision maker for all such enquiries will be the Government Department concerned. Any resources relating to such an enquiry would need to be reflected and recorded appropriately. If financial, this will be reflected in the statement of accounts and all other resources/decisions will be recorded at the Resource Management Group of Greater Manchester Police which meets fortnightly. In addition, a six monthly value for money review is undertaken by HMIC. In the event of the Commissioner s death, the Deputy Police and Crime Commissioner will have delegated authority to carry out all his statutory functions, with the exception of those detailed in paragraph below. Should the Police and Crime Panel appoint an Acting Commissioner, the powers of authority will still remain with the Deputy Commissioner until such time as a new Commissioner is elected. 5.2 Delegations from the Commissioner It is recognised that, unless a power or function of the Commissioner must, as a matter of law, be exercised personally by him; these functions may be exercised by staff that have been given delegated authority to act on his behalf. This Scheme is a record of the formal delegations that are in effect at the time of its publication. It does not attempt to list all matters which form part of everyday management responsibilities. Detailed financial management responsibilities of the Chief Finance Officer to the Commissioner, including a number of delegated powers, are set out in the Financial Regulations Deputy Police and Crime Commissioner In the absence of the Police and Crime Commissioner (defined as leave or illness) the Police and Crime Commissioner delegates decisions in relation to the exercise of his statutory functions for the Deputy Police and Crime Commissioner (except those which cannot be delegated; these are listed in paragraph below). (Further details on these delegations are listed at 8.2) Chief Finance Officer to the Commissioner Delegations to the Chief Finance Officer to the Commissioner: To ensure that the financial affairs of the Commissioner are properly administered having regard to probity, legality and appropriate standards; To assist the Commissioner in planning the Commissioner s budget; To undertake the day to day management of the Commissioner s budget, in accordance with the Financial Regulations; and To commit expenditure within the approved budget to meet the policies and objectives agreed in the Police and Crime Plan. To maintain the group bank accounts for the Commissioner. To undertake the day to day management of the Commissioner s treasury management strategy. The Principal Accountant is authorised to undertake the functions of the Chief Finance Officer (in their absence) as directed by the Police and Crime Commissioner. (Further details on these delegations are listed at 8.4) April 2014 Page 6

11 5.2.3 Chief Executive Delegations to the Chief Executive: To undertake the day to day management of the Human Resources section, including Payroll and Pensions, in accordance with the contract regulations; To authorise, in line with the staff terms and conditions of employment, the suspension or dismissal of staff; To approve the appointment or secondment of staff To bring national agreements on salaries, wages and conditions into effect, subject to the requirement to report to the Commissioner on any issues which have major financial implications; To grant essential or casual car user allowances The Partnership Manager (Policing and Policy) is authorised to undertake the functions of the Chief Executive (in their absence) as directed by the Police and Crime Commissioner. (Further details on these delegations are listed at 8.3) Monitoring Officer Delegations to the Monitoring Officer: To institute, defend or participate in legal actions to protect the interests of the Commissioner Urgent Provisions If any matter which would normally be referred to the Commissioner (or Deputy Commissioner) for a decision arises and cannot be delayed, the matter may be decided by the appropriate statutory officer. The statutory officers are the Commissioner s Chief Executive and Chief Finance Officer. Urgent decisions taken must be reported to the Commissioner within 24 hours or as soon as practically possible. 6. Associated Documents CIPFA Statement on the role of the Chief Financial Officer to the Police and Crime Commissioner and the Chief Finance Officer to the Commissioner; Commissioner s Financial Instructions; Contract Standing Orders; Financial Regulations; Home Office Financial Management Code of Practice; Police Reform and Social Responsibility Act 2011; and Scheme of Consent. April 2014 Page 7

12 7. Consultation & Statutory Compliance 7.1 Consultation and Review This document has independently been reviewed by the Internal Audit section. 7.2 Statutory Compliance Data Protection Act (1998) The Scheme of Delegation has been reviewed for compliance with the Data Protection Act 1998 by the Commissioner s Chief Finance Officer, in consultation with the Internal Audit Team Freedom of Information Act (2000) This document will be available on the Commissioner s website and will be available to the public on request Equality Act 2010 Equality issues may arise in the exercise of specific functions (i.e. procurement of goods and the award of contracts) but these are subject to competition. Specific policies and procedures will need to be followed and the Commissioner recognises his obligations arising from the Equality Act Appendices April 2014 Page 8

13 8.1 Appendix 1 Scheme of Financial Delegation 1. All employees are to ensure these financial delegation limits are complied with 2. All arrangements are subject to separation of duties to reduce fraud and malpractice 3. Where these limits are inadequate to deal with the actual circumstances, details are to be referred to the Chief Finance Officer to the Commissioner, for consideration 4. These financial delegations do not prevent an officer from referring any decision to the Commissioner if it is necessary because of sensitive issues or significant financial or reputational implications Financial Planning and Budgetary Control Activity Authorising Limit Principal Authoriser Deputy Authoriser Approve Revenue and Capital More than 500,000 Commissioner Deputy Commissioner Business Cases Approve Revenue and Capital Less than 500,000 (Minor Chief Finance Officer Principal Accountant Business Cases Business Cases) Increases to Approved Revenue and Capital Major Business Cases Increase of up to and including 10% on Business Cases with a total value more than 5,000,000 Commissioner Deputy Commissioner Increases to Approved Revenue and Capital Minor Business Cases If Revised Value less than 500,000 Chief Finance Officer Principal Accountant Monitor and Approve Forecast All Forecasts Chief Finance Officer Principal Accountant Outturns (Revenue) Monitor and Approve Forecast All Forecasts Chief Finance Officer Principal Accountant Outturns (Capital) Year End Revenue Carry All Commissioner Deputy Commissioner Forwards Approve Slippage in Capital No Financial Impact on the Chief Finance Officer Principal Accountant April 2014 Page 9

14 Programmes Approve Journal Adjustments and Accruals Add, Change and Delete Account Codes and Cost Centres Following Year All Levels Chief Finance Officer Principal Accountant All Chief Finance Officer Principal Accountant Note: Minor project is up to 500,000. Major Project greater than 500, Contract Standing Orders Activity Authorising Limit Principal Authoriser Deputy Authoriser Approve Tenders (for goods and 500,000 and above Commissioner Deputy Commissioner services above 500,000) Approve Quotations (for goods Less than 500,000 Chief Finance Officer Principal Accountant and services below 500,000) Contract Extensions and Value to Date + Estimated Commissioner Deputy Commissioner Variations * see note Value of Extension 500,000 and above Value to Date + Estimated Chief Finance Officer Principal Accountant Value of Extension Less than 500,000 Approve Exemptions * see note More than 50,000 Commissioner Deputy Commissioner Less than 50,000 Chief Finance Officer Principal Accountant * (NOTE: Delegation for all GMP contracts, variations and exemptions above 50,000 (but less than 500,000) is given to the Procurement Governance Group) Page 10

15 8.1.3 Ordering and Payment of Goods and Services Activity Authorising Limit Principal Authoriser Deputy Authoriser Approve Purchase Orders and 500,000 and above Commissioner Deputy Commissioner Pay Only Invoices/Credit Notes Between 20,000 and 500,000 Chief Finance Officer Principal Accountant Less than 20,000 Budget Holder Budget Manager Approve Purchase Order and Invoice Authorisation Limits All Chief Finance Officer Principal Accountant Ordering and Payment of Goods and Services Feeder Systems Activity Authorising Limit Principal Authoriser Deputy Authoriser Not applicable at this stage as the Commissioner does not use GMP s feeder systems Ordering and Payment of Goods and Services Imprest Accounts Activity Authorising Limit Principal Authoriser Deputy Authoriser Approve New Imprest All Chief Finance Officer Principal Accountant Accounts Approve Increases and All Chief Finance Officer Principal Accountant Reductions to Imprest Accounts Review and Authorise Imprest All Line Manager Claims Authorise Payments from Cash to 20 Line Manager Imprest Authorise Cash Withdrawals All Budget Holder Budget Manager from the Imprest Bank Account (to Maintain Float Limit) Authorise Cash Advances All Budget Holder Budget Manager Page 11

16 8.1.6 Payments to Employees Activity Authorising Limit Principal Authoriser Deputy Authoriser Authorise Overtime Claims All Chief Executive Chief Finance Officer Authorise Travel and All Line Manager Peer Line Manager Subsistence Claims Authorise Bonus, All Payments Commissioner Deputy Commissioner Performance-related and Honoraria Payments Authorise Termination / All Payments Commissioner Deputy Commissioner Voluntary Early Retirement Payments Authorise the Implementation No Major Financial Implications Chief Executive Chief Finance Officer of National Agreements on Salaries, Wages and Conditions Negotiate and Authorise the All Commissioner Deputy Commissioner Implementation of Local Agreements on Salaries, Wages and Conditions Authorise Essential and All Chief Executive Chief Finance Officer Casual User Car Allowances Authorise Employee Debt Write Off s (Excludes Write Off Requests Resulting from Theft or Fraud) All Commissioner Deputy Commissioner Page 12

17 8.1.7 Banking and Income Collection Activity Authorising Limit Principal Authoriser Deputy Authoriser Approve External Invoices More than 20,000 Chief Finance Officer Principal Accountant and Credit Notes (for Goods and Services Provided by the Less than 20,000 Budget Holder Principal Accountant Commissioner) Excluding Sponsorship Initiate Debt Recovery All Chief Finance Officer Principal Accountant Procedures (in line with Financial Regulations) Authorise Debt Write Off Individual Items less than 10,000 or Chief Finance Officer Principal Accountant (Excludes Write Off Requests Resulting from Theft or Fraud) Less than 100,000 in Total for the Financial Year Authorise Debt Write Off All Commissioner Deputy Commissioner Resulting from Theft or Fraud Authorise Clear Down of Balance Sheet Authorise the Opening of Unofficial Bank Accounts Management of Assets and Risks Individual Items less than 10,000 or Less than 100,000 in Total for the Financial Year Chief Finance Officer Principal Accountant All Chief Finance Officer Principal Accountant Activity Authorising Limit Principal Authoriser Deputy Authoriser Buy / disposal of Assets All Assets over 50,000 and any Commissioner Deputy Commissioner Land and Property Buy / disposal of Assets Write off Stock Discrepancies / Disposals of Obsolete Stock All Assets (Excluding Land and Property) Individual Items less than 10,000 or Less than 100,000 in Total Chief Finance Officer Chief Finance Officer Principal Accountant Principal Accountant Page 13

18 , Equipment and Materials for the Financial Year Disposal of Surplus Items of Estimated Amount Chief Finance Officer Principal Accountant Equipment Less than 10,000 Lease Assets All Leases Chief Finance Officer Principal Accountant Exercise the Powers and Duties of the Police (Property) Regulations 1997 Authorise and Remove Access to Finance Systems Approve Financial Settlement of Civil Damage and Cost Claims All Chief Finance Officer Principal Accountant All Chief Finance Officer Principal Accountant Total Value (Claims + Legal Costs) More than 50,000 Total Value (Claims + Legal Costs) Less than 50,000 Commissioner Monitoring Officer Deputy Commissioner Partnership Manager (Policing and Policy) Approve the Settlement of Employment Tribunal Cases for Staff Under the Direction and Control of the Commissioner Approve Financial Assistance to Officers and Staff (under the direction and control of the Commissioner) in Legal Proceedings taken by or against them whilst performing police duties All Cases Commissioner Deputy Commissioner All Monitoring Officer Partnership Manager (Policing and Policy) Page 14

19 8.1.9 Ex-Gratia Payments Activity Authorising Limit Principal Authoriser Deputy Authoriser Ex-Gratia Payments * see note Total Value (Claims + Legal Costs) More than 50,000 Commissioner Deputy Commissioner Total Value (Claims + Legal Costs) Less than 50,000 Monitoring Officer Partnership Manager (Policing and Policy) * The Chief Constable s Chief Finance Officer will be required to produce a quarterly report on the amounts approved below 50, External Funding Activity Authorising Limit Principal Authoriser Deputy Authoriser Approve External Funding Matched Funding Chief Finance Officer Principal Accountant from Central Government Less than 50,000 and Other Public Sector Bodies Sponsorship Activity Authorising Limit Principal Authoriser Deputy Authoriser Approve Individual Sponsorship for Community and Award Events (providing it does not imply that the Commissioner endorse the sponsoring organisation or its products) In Kind and/or Value Less than 10,000 Partnership Manager (Policing and Policy) Partnership Manager Urgent Matters Page 15

20 Activity Authorising Limit Principal Authoriser Deputy Authoriser Financial and Related Issues All Chief Finance Officer Principal Accountant Operational Issues All Chief Executive Partnership Manager (Policing and Policy) Appendix 2 Cheque Signatories Bank Account Signatory Limit Authorised Signatory Drawings Account All Pre-Printed Chief Finance Officer Cheques All Other Cheques Chief Executive Chief Finance Officer Imprest Account Imprest Account Certified Amount Signatory Limit Authorised Signatory Chief Finance Officer Used for petty cash and miscellaneous cheques below Page 16

21 8.2 Appendix 3 - Delegations to Deputy Police and Crime Commissioner Introduction In the absence of the Police and Crime Commissioner (defined as leave or illness) the Police and Crime Commissioner delegates decisions in relation to the exercise of his statutory functions to the Deputy Police and Crime Commissioner (except those which cannot be delegated; these are listed in paragraph 8.2.2) The Police and Crime Commissioner cannot give delegation to his deputy to carry out the following functions: (a) issuing a police and crime plan; (b) appointing the Chief Constable, suspending the Chief Constable, or calling upon the Chief Constable to retire or resign; (c) calculating a budget requirement The Deputy Police and Crime Commissioner can give delegation to the Chief Executive to carry out any of those functions (with the exception of those, which, as a matter of law, can only be exercised personally by the Commissioner or Deputy) in his/her absence (defined as leave or illness) The Police and Crime Commissioner also delegates the powers listed below to the Deputy Police and Crime Commissioner for him to exercise on the Police and Crime Commissioner s behalf in accordance with this scheme Support the Police and Crime Commissioner in holding the Chief Constable to account for the exercise of his duty to have regard to the Police and Crime Plan and the Strategic Policing Requirement by monitoring the performance of GMP To consider complaints submitted to the Police and Crime Commissioner. April 2014 Page 17

22 8.3 Appendix 4 - Delegations to the Police and Crime Commissioner s Chief Executive Introduction The Chief Executive is the head of the Police and Crime Commissioner s staff, and is also the Monitoring Officer for the Police and Crime Commissioner. The formal delegations, listed below, are those given to the Chief Executive, which are in effect at the time of the publication of this scheme. General Prepare the Police and Crime Plan in consultation with Police and Crime Commissioner and GMP Prepare an annual report for submission to the Police and Crime Commissioner Provide information to the Police and Crime Panel, as reasonably required to enable the panel to carry out its functions The Partnership Manager (Policing and Policy) is authorised to undertake the functions of the Chief Executive (in their absence) as directed by the Police and Crime Commissioner. Legal To act as Monitoring Officer under section 5(1) of the Local Government and Housing Act The Partnership Manager (Policing and Policy) is authorised to undertake this function, in his/her absence, as directed by the Police and Crime Commissioner To sign contracts on behalf of the Police and Crime Commissioner (and Deputy Police and Crime Commissioner) in accordance with any decisions either has made in line with this scheme. The Partnership Manager (Policing and Policy) is authorised to undertake this function, in his/her absence, as directed by the Police and Crime Commissioner To consider whether, in consultation with the Chief Finance Officer to the Police and Crime Commissioner, to provide indemnity to the Police and Crime Commissioner (and Deputy Police and Crime Commissioner) in accordance with the Local Authorities (Indemnities for Members and Officers) Order 2004 and to deal with or make provision to deal with other matters arising from any proceedings relating to them To consider and approve, in consultation with the Chief Finance Officer to the Police and Crime Commissioner, provision of indemnity and/or insurance to individual staff of the Police and Crime Commissioner in accordance with the Local Authorities (Indemnities for Members and Officers) Order Financial The financial management responsibilities of the Chief Executive are set out in the financial regulations To manage the budget of the Office of the Police and Crime Commissioner, along with the Chief Finance Officer to the Police and Crime Commissioner, particularly to: Page 18

23 order goods and services and spend on items provided for in the revenue budget. ask for and accept quotations and tenders for goods and services provided for in the revenue budget manage, along with the Chief Finance Officer to the Police and Crime Commissioner, any spend on capital schemes originated by the Police and Crime Commissioner To sign cheques on behalf of the Police and Crime Commissioner and Deputy Police and Crime Commissioner (following approval of the Police and Crime Commissioner or Deputy Police and Crime Commissioner) in consultation with the Chief Finance Officer to the Police and Crime Commissioner. Human Resources To appoint and dismiss, in consultation with the Police and Crime Commissioner, employees who are employed by the Police and Crime Commissioner, except the role of Chief Executive (this remains with the Police and Crime Commissioner) To make recommendations to the Police and Crime Commissioner with regard to the terms and conditions of employment of those employed by the Police and Crime Commissioner, in consultation with the Chief Finance Officer to the Police and Crime Commissioner, except those relating to the Chief Executive (this remains with the Police and Crime Commissioner) To undertake the management of staffing resources for all staff employed by the Police and Crime Commissioner in line with agreed policies and procedures Settlement of employment tribunal cases and grievances of staff (in consultation with the Police and Crime Commissioner) who are employed by the Police and Crime Commissioner, except those relating to the Chief Executive (this remains with the Police and Crime Commissioner), with the exception of those cases where: it may involve a high profile claimant there is a particular public interest in the case there is a risk that the Police and Crime Commissioner or GMP will be exposed to serious public criticism or serious weaknesses in the organisation or policies and procedures will be revealed To settle appeals against decisions of the Senior Administrator of the Local Government Pension Scheme, in line with the Occupational Pension Schemes (Internal Dispute Resolution Procedures) Regulations To appoint Independent Custody Visitors or other volunteers for the Commissioner s office and terminate appointments if necessary. Other To affix the common seal of the Police and Crime Commissioner if required: where agreements grant or convey an interest in land when it is determined by the Police and Crime Commissioner (or Deputy Police and Crime Commissioner if appointed) there is a particular need for the seal to be attached. Page 19

24 The Commissioner s Partnership Manager (Policing and Policy) is authorised to undertake this function, in his/her absence, as directed by the Police and Crime Commissioner To sign, on behalf of the Police and Crime Commissioner, any indemnity needed to enable him/her to perform any legal duties. However, if giving an indemnity could have significant financial implications, that indemnity can only be signed with the approval of the Chief Finance Officer to the Police and Crime Commissioner To consider, with the Police and Crime Commissioner, any complaint made against the Chief Constable, and where appropriate, to make arrangements for appointing a person to investigate the complaint In relation to a grievance against the Chief Constable, to take the appropriate action to investigate the grievance, applying the appropriate procedure, and reporting the outcome to the Police and Crime Commissioner To authorise people to make, defend, withdraw or settle any claims or legal proceedings on the Police and Crime Commissioner s behalf, in consultation with a legal advisor (and both Chief Finance Officers if there is significant financial implications) To respond to consultations on proposals affecting the Police and Crime Commissioner after first taking the views of the Police and Crime Commissioner, the Chief Finance Officers and/or the Chief Constable, as appropriate To get legal or other expert advice and to appoint professionals whenever this is considered to be in the Office of the Police and Crime Commissioner s best interests and for his/her benefit as office holder, after taking in to account the views of the Police and Crime Commissioner and both Chief Finance Officers if there are significant financial implications To make sure, in consultation with the Chief Constable, appropriate arrangements are made to gather the community s views on the policing of Greater Manchester and preventing crime. Page 20

25 8.4 Appendix 5 - Delegations to the Police and Crime Commissioner s Chief Finance Officer Introduction The Scheme of Governance identifies the role of the Chief Finance Officer to the Police and Crime Commissioner. As the financial adviser to the Police and Crime Commissioner there is a statutory responsibility to manage his/her financial affairs as set out in sections 112 and 114 of the Local Government Finance Act 1988, and the Accounts and Audit (England) Regulations The Chief Finance Officer to the Police and Crime Commissioner must ensure that the financial affairs of the Police and Crime Commissioner, and GMP are properly administered having regard to their probity, legality and appropriate standards. In conjunction with the Chief Finance Officer to the Chief Constable, he/she will report any financial issues or failures of control to the Police and Crime Commissioner and/or Chief Constable as appropriate. The formal delegations, listed below, are those given to the Chief Finance Officer to the Police and Crime Commissioner, which are in effect at the time of the publication of this scheme. The Principal Accountant is authorised to undertake the functions of the Chief Finance Officer (in their absence) as directed by the Police and Crime Commissioner To approve and monitor the arrangements for the treasury management function, including the day to day management, the production of the treasury management strategy, supporting policies and procedures, the production of the minimum revenue provision statement and the prudential indicators To approve the arrangements for securing and preparing the Police and Crime Commissioner s accounts, and the consolidated accounts, and seek assurances that there are appropriate arrangements in place for the preparation of GMP s accounts To seek assurances that there are appropriate arrangements in place within GMP for its financial management To be responsible for all banking arrangements, together with creating, closing or authorising all bank accounts To undertake the day to day financial management of the Police and Crime Commissioner s revenue and capital budgets To commit expenditure within the approved budget (in consultation with the Police and Crime Commissioner) to meet the policies and objectives agreed with the Police and Crime Commissioner and reflected in the Police and Crime Plan To manage the financial arrangements in relation to any grants awarded by the Police and Crime Commissioner or Deputy Police and Crime Commissioner To be responsible for investing and borrowing money, as necessary, in line with the treasury management strategy To authorise payments, without having to get approval and regardless of whether or not provision has been made in the revenue budget in relation to: payments we have to make by law payments ordered by the court payments due under any lawful agreement entered into by the Police and Crime Commissioner. Page 21

26 To act as Money Laundering Reporting Officer under the Proceeds of Crime Act 2002 and Money Laundering Regulations To sign cheques of behalf of the Police and Crime Commissioner or Deputy Police and Crime Commissioner, (following their approval) in consultation with the Chief Executive To prepare and annually review draft financial and contract regulations, in consultation with GMP, for approval by the Police and Crime Commissioner, or Deputy Police and Crime Commissioner To determine when assets are surplus to requirements or obsolete and arrange for disposal in line with Appendix A, subject to there being a framework in place to ensure the disposal is appropriate, and that there is an auditable trail Provide for an adequate and effective internal audit service in accordance with the relevant legislation and Codes of Practice To report to the Police and Crime Commissioner and the external auditor any unlawful or potentially unlawful spending by any police officer or employee regardless of whose direction and control that person is under To ensure that the Office of the Police and Crime Commissioner is represented at joint Police and Crime Commissioner/GMP financial meetings (currently Resources Board, Revenue Review Group, Capital Review Group, Finance Governance Group and Finance and Insurance Working Group) and any relevant new or successor groups, and that information from such meetings is fed back to the Office of the Police and Crime Commissioner. The Chief Finance Officer to the Police and Crime Commissioner or officer attending on his behalf is able to defer a decision for the consideration of the Police and Crime Commissioner. If this situation occurred an officer from GMP would have an opportunity to discuss any concerns with the Police and Crime Commissioner. Page 22

27 8.5 Appendix 6 - Terms of Reference for Committees and Panels Audit and Accounts Committee Accounts/Financial Reporting To review the financial statements and the external auditor s opinions and reports and to monitor actions taken in response to issues raised by external audits. To review the Statutory Statement of Accounts including: changes in compliance with accounting policies and procedures unadjusted miss-statements in the financial statements major judgemental areas significant adjustments resulting from the audit Internal Control Environment Be satisfied as to the effectiveness of the internal control framework in operation within the office and Greater Manchester Police (GMP) and advising them as appropriate. Be satisfied that both organisations assurance statements, including the Statement on Internal Control, properly reflect the risk environment and any actions required to improve it. Corporate Risk Management Approve the office s and GMP s corporate risk management strategy and framework and provide assurance that an appropriate, effective framework is in place for assessing and managing the key risks (financial and non financial) to both organisations. Compliance, Whistle blowing and Fraud Review the adequacy of the Commissioner s and Chief Constable s arrangements for its employees and its contractors to raise concerns, in confidence about possible wrongdoing in financial reporting or other matters. Ensure that these arrangements allow proportionate and independent investigation of such matters and appropriate follow up action. Review the procedures for detecting fraud. Internal Audit Advise the office and GMP on the appropriate arrangements for internal audit and approving the Internal Audit Strategy. To review (but not direct), the Internal Audit Programme of work and monitor performance against it. To review summary Internal Audit reports and receive the Annual Report from the Commissioner s Chief Finance Officer. Ensure appropriate action is taken in response to audit findings, particularly in areas of high risk. Ensure that there is an effective relationship between internal auditors, external auditors and other relevant bodies. Page 23

28 To receive reports from Internal Audit on the outcome of any work in relation to completed investigations and recommendations of the Independent Police Complaints Commission. External Audit Advise the office and GMP on the appointment of external auditors. Endorse the external audit programme and associated fees. Review the External Auditor s Annual Governance Report and any other relevant reports including progress on the implementation of agreed recommendations. Receive the Annual Audit Letter. Other Matters The Committee shall: Have access to sufficient resources to undertake its duties, including access to assistance as required. Be provided with appropriate and timely training, both in the form of an induction for new members and on an on-going basis for all members. Arrange for periodic reviews of its own performance and at least annually, review its constitution and terms of reference to ensure it is operating at maximum effectiveness and recommend to the office and GMP any changes it considers necessary. Page 24

29 8.5.2 Human Resources Governance Panel Membership 6 x Independent Members Chief Executive to the Police and Crime Commissioner Chief Finance Officer to the Chief Constable or an Assistant Chief Constable Appeals To advise the Police and Crime Commissioner on employment appeals at the final stage. To conduct the final stage of dealing with grievances relating to the Commissioner s office staff. To decide upon the Commissioner s office staff appeals against being dismissed Requests for Financial Assistance To consider applications for financial help for police officers and staff involved in legal proceedings To receive, consider and decide upon all applications and requests from special constables, Police Community Support Officers or their representatives for death or disability benefits. General To deal with negotiable matters recorded as a failure to agree from recognised trade unions. To adhere to the provisions of the Equality Act 2010 including the public sector equality duty and the requirement to have due regard to equality as set out in the Act. Other Matters The panel shall: Have access to sufficient resources to undertake its duties, including access to assistance as required. Be provided with appropriate and timely training by the Office of the Police & Crime Commissioner, both in the form of an induction for new members and on an on-going basis for all members. Arrange for periodic reviews of its own performance and at least annually, review its constitution and terms of reference to ensure it is operating at maximum effectiveness and recommend to the office any changes it considers necessary. Page 25

30 8.5.3 Justice and Rehabilitation Executive Board Membership Core Tony Lloyd (Chair) Jim Taylor Peter Fahy Roz Hamilton Geoff Little Support Alison Connelly Jeanette Staley Chris Hankinson Jeff Pollard James Binks Jennet Peters GM Police and Crime Commissioner Chief Executive Rochdale MBC (lead AGMA Chief Executive) Chief Constable GMP Chief Executive GM Probation Trust Deputy Chief Executive Manchester City Council (representing GM Public Service Reform) Head of Governance & Policy GM PCC Office Chief Executive s Office Rochdale MBC GM Police Transforming Justice Programme Manager GM PSR Strategic Lead GM PSR TR Lead GM PSR Others to be invited as required by the sequenced plan, including GM partners A strategic leadership group for the whole of the criminal justice system linking to wider public service reform, which brings together the Transforming Justice and Transforming Rehabilitation agendas Use the Public Service Reform methodology to strategically plan a GM-wide reform agenda for Justice and Rehabilitation, developing new delivery and investment models based on robust evaluation Prepare for Transforming Rehabilitation by providing leadership with: - GM s overall bid strategy and the basis for engaging potential primes - Engagement with MoJ on the design of the competition - Ensure we are identifying the right priority cohorts for working with primes - Engagement with all local public services to ensure services are integrated, coordinated and sequenced effectively - Future of Integrated Offender Management (IOM) Ensure there is a clear plan for spending Financial Incentive Mechanism payments effectively the year 1 payment received and any year 2 payment Drive the development of multi-agency Investable Propositions for priority themes e.g. Intensive Community Orders, women offenders, and resettlement Understand the interactions, opportunities and risks for how Justice and Rehabilitation links with other reform themes, for example Troubled Families Receive reports and commission work from the Justice and Reform Programme Board, which is in turn supported by the Data & Design Group. Also receive reports and commission work from the IOM Futures Board Link to the GM Police & Crime Steering Group, which provides oversight of the wider police and crime agenda. Through joint membership of the PCC and Barbara Spicer. This will ensure effective alignment of TJ & TR with community safety and crime reduction activities, and integration with local partners including Police & Crime Leads Group Page 26

31 8.5.4 Ethics Committee Insert Page 27