Southend University Hospital NHS Foundation Trust NHSI Board Committee/ Panel

Transcription

1 Appendix A - Scheme of Delegation Authorised Approvals Scheme of Financial Delegation Southend University Hospital NHS Foundation Trust NHSI Board / Financial of HR 3 Business Planning, Budgets, Budgetary Control & Monitoring 3.1 Approval of Business Plans Budgets SFI Section Five Year Financial Strategy Annual Plan (including budget) year Business Plan produced as required Detailed Annual Budget (within overall budget set by Board) 3.2 Budgetary Delegation SFI Section Responsibility for managing within budgets Virement between revenue budgets above 50,000. NB Between directorates needs agreement of all affected ADs Virement between revenue budgets below 50,000. NB Between directorates needs all AD agreement Virements between schemes in the same capital programme stream under 50, Virements between schemes in the same capital programme stream over 50,000 IAC Virements between the different capital programme streams IAC Virements from/to Capital to/from revenue (NPV) above 500, Virements from/to Capital to/from revenue (NPV) up to 499,999 IAC 4 Pay Establishment Control SFI Section Establishment Control Authority to recruit to funded posts on the establishment with permanent staff (after confirmation that funding exists by Manager) Authority to recruit staff where no funding exists Authority to convert budgeted establishment from one pay category to another (non clinical) Authority to convert budgeted establishment from one pay category to another (medical) Authority to convert budgeted establishment from one pay category to another (nursing related posts) Authority to convert budgeted establishment from one pay category to another (other clinical posts) 4.2 Pay Determining remuneration terms of service of s Remuneration Staff T&C PRIDE framework Determining remuneration terms of service of Chairman Non- s Council of Governors Granting of additional increments to staff outside of appraisal process Vacancy Control All requests for re-evaluation in line with HR policy Vacancy Control Funding of Local Clinical Excellence Awards Awarding of Local Clinical Excellence Awards CEA Authority to approve forms affecting pay for the staff being managed eg starters & leavers, monthly/weekly positive return forms, overtime, travel subsistence expenses. NB Forms in relation to the budget holder must be approved by their manager Approval of the framework for relocation packages for new staff Approval of relocation expenses incurred (budget holder refers to the holder of the relocation budget) Ex gratia Payment to staff above 50,000 Remuneration Ex gratia payments to staff between 5,000 to 49,999 eg settlement agreement Ex gratia payments to staff below 5,000 eg settlement agreement Authority to agree local pay rates terms conditions - annual agreement with staff side Authority to agree local pay rates terms conditions -in year variations of pay for individuals or groups 4.3 Leave Approval of annual leave carry over from one year to the next within Trust policy Staff T&C; PP Paid unpaid maternity leave following Trust procedure Staff T&C; PP12 Maternity Leave Paternity Leave - in accordance with current policy Staff T&C; PP33 Page 1 of 5

2 Southend University Hospital NHS Foundation Trust NHSI Board / Financial of HR Leave of absence or time off in lieu - in accordance with current policy Staff T&C; PP Leave without pay - in accordance with current policy Staff T&C; PP Staff paid or unpaid leave of absence Staff T&C; PP Extension of sick leave pay beyond existing agreed levels Approval of Payment of accrued leave unable to be taken (eg sickness) unless a leaver Return to work part-time on full pay to assist recovery (in conjunction with HR Business Partners on advice from Occ Health) 4.4 Redundancy HM Treasury Guidance Approve redundancy for all directors very senior managers (VSMs) Remuneration All other employees (payment to employee NHS Pension agency) above 50,000 Remuneration All other employees (payment to employee NHS Pension agency) between 25,000 50, All other employees (payment to employee NHS Pension agency) below 25, Ill Health Retirement Approval of retirement on the grounds of ill-health under the Sickness Absence Management Refer S Engagement of Consultancy Honorary Contracts Non Consultancy Services where commitment in any one financial year is above 100, Non Consultancy Services where commitment in any one financial year is between Tender rules S5.2 50,000 99, Non medical consultancy services where commitment in any one financial year is between 25,000 49,999 or where no budget exists Tender rules S Non medical consultancy services where commitment in any one financial year below 25,000 where budget exists Honorary Contracts for medical staff Honorary Contracts for all staff except medical staff x Honorary Contracts for minors (eg work experience) in conjunction with HR Business Partner Trust Risk Manager 4.7 Engagement of temporary staff Approval above agency cap limit (break-glass provision) Booking of bank agency to cover vacancies Approval to book bank agency in excess of vacancy cover 5 Non Pay - Revenue, Capital Charitable SFI Section Requisitioning Ordering Approval of requisitions for revenue spend within available budget, in line with Trust SFIs procurement framework but over current EU thresholds Approval of requisitions for revenue spend (excluding hospitality) within available budget, in line with Trust SFIs framework below EU thresholds but over 100, Approval of requisitions for revenue spend (excluding hospitality) within available budget, in line with Trust SFIs framework between 30,000 to 99, Approval of requisitions for revenue spend (excluding hospitality) within available budget, in line with Trust SFIs framework below 30, Approval of requisitions for revenue spend (excluding hospitality) where no budget exists over 500,000, in line with Trust SFIs framework Approval of requisitions for revenue spend (excluding hospitality) where no budget exists between 100, ,999, in line with Trust SFIs framework Approval of requisitions for revenue spend (excluding hospitality) where no budget exists between 25,001 99,999, in line with Trust SFIs framework Approval of requisitions for revenue spend (excluding hospitality) where no budget exists between 5,001 to 25,000, in line with Trust SFIs framework Approval of requisitions for revenue spend (excluding hospitality) where no budget exists up to 5,000, in line with Trust SFIs framework Receipting of Goods Services delivered to main stores Goods Receipting s Page 2 of 5

3 Southend University Hospital NHS Foundation Trust NHSI Board / Financial of HR Receipting of Goods Services where direct to end user Placing of Orders (excluding drugs) Purchasing Department Placing of Orders for drugs Pharmacist Consortium purchasing - when purchased by a third party organisation on behalf of the Trust excluding medicinal products Consortium purchasing - Medicinal Products when purchased by a third party organisation on Pharmacist behalf of the Trust Engagement of any staff type not on payroll but within existing budgets Engagement of any staff type not on payroll where no budget exists 5.2 Quotation, Tendering Contract Procedures SOs S Approval of requistion order value below 5,000 (see 5.1) 2 written quotations Approval of requistion order value between 5,000 29,999 (see 5.1) 3 written quotations Approval of requisiton order value between 30,000 but less than EU limit (see 5.1) At least 3 formal tenders Approval of order value exceeding EU limit At least 5 tenders Approval of waiving of competitive quotations below 10,000 of Approval of waiving of competitive quotations between 10,000 49,999 of Approval of waiving of competitive quotations above 50,000 of Approval of waiving of competitive quotations where OJEU applies Opening of postal tenders Award approval of revenue contracts below 30,000 following advice from of Award approval of revenue contracts between 30,000 but below EU limit following advice from of Award approval of revenue contracts above EU limit Award approval of revenue contracts above 500, Capital Schemes SFI S Capital Programme - Approval of annual plan Production of business case proposal for capital schemes SFI S Sponsorship of business case proposal for capital schemes Approval of spend included in the approved Capital Programme above 1m SFI S Approval of spend included in the Capital Programme between 100,000 1m Approval of spend included in the Capital Programme between 30, ,000 with IAC approval Approval of spend included in the Capital Programme below 30,000 with IAC approval Additions (including emergencies) to capital programme increasing the overall plan over 500, Additions (including emergencies) to capital programme increasing the overall plan below 500, Variation to agreed schemes above 50, Reallocation of funds within the approved capital programme Technical fees outside of framework agreements Award approval of capital contracts up to 30,000 with Purchasing lead advice 3 quotations required Award approval of capital contracts between 30, ,000 with Purchasing Lead Advice Award of capital contract above 100, Award of capital contract above 1m Schemes considering the involvement of PFI Claims against the contractor with legal advice where appropriate above an estimated 500,000 5 Tenders required Claims against the contractor with legal advice where appropriate between an estimated 25, , Claims against the contractor with legal advice where appropriate between an estimated 5,000 24, Claims against the contractor with legal advice where appropriate up to an estimated 4, Release of retention Approval of finance operating leases, hire purchase agreements, any deferred payment scheme etc above 1,000,000 Page 3 of 5

4 Southend University Hospital NHS Foundation Trust NHSI Board / Financial of HR Signing of finance operating leases, hire purchase agreements, any deferred payment scheme etc above 1,000,000 once approved by the Board Signing of finance operating leases, hire purchase agreements, any deferred payment scheme etc between 50,000 1,000, Signing of finance operating leases, hire purchase agreements, any deferred payment scheme etc below 50,000 Deputy of Approval of Property leases (including property rental) above 500, Approval of Property leases (including property rental) up to 499, Signing of Property leases (including property rental) on behalf of the Trust where approval has already been given Placing of orders - please follow 5.1 Purchasing Dept 5.4 Expenditure from Charitable Funds SFI S Expenditure approval above 500,000 Charitable Funds Expenditure approval between 30, , Expenditure approval between 5,000 29, Expenditure approval up to 5, Petty Cash Disbursements SFI S Expenditure approval (per request) over Expenditure approval (per request) above 25 Assistant of - Financial Services Expenditure approval (per request) up to Reimbursement of patients monies / property held on deposit General Office Manager 6 Good housekeeping, Governance & Legal Issues 6.1 Write off Disposal of Assets SO 9 SFI S14& Current collective value up to 4,999 (with advice from finance) Current collective value between 5,000 99,999 (except items below) with advice from finance Current collective value over 100,000 with advice from finance Disposal of medical equipment devices with advice from finance where no intrinsic value else see to MEMS manager Disposal of mechanical engineering plant non medical electrical equipment up to 5, Disposal of mechanical engineering plant non medical electrical equipment between 5, ,000 Disposal of mechanical engineering plant non medical electrical equipment over 100, Disposal of l buildings (including site demolition) if it affects authorisation by NHSI or is above 500, Disposal of l buildings (including site demolition) up to 500, Disposal of computers other IT equipment where no intrinsic value else see to IT 6.2 Write off Disposal of Stock Disposal of all stock items over 100,000 original cost in any one month Disposal of all stock items between 5, ,000 original cost in any one month Disposal of all stock items up to 5,000 original cost in any one month Disposal of Ray films held as stock with advice from Manager of Radiology Disposal of medicinal products drugs in a month up to 5,000 Pharmacist Disposal of medicinal products drugs in a month between 5, , Disposal of medicinal products drugs in a month over 100, Write off Disposal of Consumables Current collective value below 2,000 with advice from SO Current collective value between 2,000 19,999 (except items below) with advice from of SFI S14& Current collective value over 20,000 Resources Disposal of medical equipment devices of SFI S Disposal of computers other IT equipment IT SFI S Losses Compensation SFI S16 Page 4 of 5

5 Southend University Hospital NHS Foundation Trust NHSI Board / Financial of HR Approval to write off losses cash due to theft, fraud, overpayment etc over 10, Approval to write off losses cash due to theft, fraud, overpayment etc under 10, Approval to write off aboned Capital Schemes above 250, Approval to write off aboned Capital Schemes below 250, Approval to write off or negotiate reduced income from commissioners above 2.5m Approval to write off or negotiate reduced income from commissioners below 2.5m Approval to write off other bad debts, losses claims aboned under 50, Approval to write off other bad debts, losses claims aboned above 50,000 Audit Compensation payments made under legal obligation to s Remuneration Compensation payments made under legal obligation to staff (if over 50,000 must be reported to Remuneration Cttee) Compensation payments to patients (other than clinical negligence), visitors or public (over 5,000 must be reported to Board) Extra Contractual payments to Contractors above 500, Extra Contractual payments to Contractors between 50, , Extra Contractual payments to Contractors below 49, Ex-Gratia Payments Patients staff for loss of personal effects below 1, Patients staff for loss of personal effects between 1,000 4, Patients staff for loss of personal effects between 5,000 49, Patients staff for loss of personal effects above 50, Payments for clinical negligence (not covered by NHSLA) Any payment above 50,000 must be reported to the Trust board For personal injury claims involving negligence where legal advice has been obtained guidance applied. Any payment above 50,000 must be reported to the Trust board HM Treasury Guidance 6.7 Insurance Policies Risk Management Authority to enter into insurance agreements 6.8 Receiving Casual Gifts Hospitality by staff (incl. courses, conferences collective receipts) Bribery Act Authorisation of receipt of gifts or hospitality below 500 Line Manager Authorisation of receipt of gifts or hospitality above 500 (or where value unknown) 7 Income, Cash Investments 7.1 Setting of Fees Charges SFI S Private Patient charges Deputy of Other Patient related Services Deputy of Clinical service for which a tariff is not published Rents leases Other non clinical services 7.2 Banking Arrangements SFI S5& Approval of banking arrangements Authorising the delegation of the maintenance operation of bank GBS accounts in the name of the Trust, including signatories payments 7.3 Investment of Funds Hospital funds in accordance with investment policy Treasury Man Charitable funds Charitable Funds Charitable Funds Trustees SO/SFI Page 5 of 5