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Scheme of Reservation and Delegation & Operational Scheme of Delegation

The Scheme of Reservation and Delegation sets out how NHS South West London ICB makes decisions, including which are taken by the Board and which are delegated to committees or staff. It ensures clear accountability, proper use of public money, and compliance with national rules.

Scheme of Reservation and Delegation and Operational Scheme of Delegation (413kB pdf)

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Introduction

The arrangements made by NHS South East London Integrated Care Board (SEL) and NHS South West London Integrated Care Board (SWL) for the reservation and delegation of decisions are set out in this integrated Scheme of Reservation and Delegation (SoRD).

Each ICB remains accountable for all its functions, including those that it has delegated, however acknowledging that the current clustering arrangements in place between SEL and SWL, as the consequent Board roles held by individuals across both ICB Boards, the delegations are combined within a single document for ease of reference.

Given the individual statutory status of each ICB, delegations may differ between ICBs. These are clearly noted in the document and must be adhered to.

This SoRD may be amended from time to time to reflect changes in legislation, ICB policy or operational requirements.

The ICB will coordinate regular reviews of financial, procurement and contracts signing financial delegations for positions and limits.

This document should be read in conjunction with Board committee terms of reference, which detail the responsibilities within the remit of each committee. Specific delegations from the Board to committee are shown in the tables below.

A revised version is submitted to the Senior Management Team and Audit, Risk and Assurance Committees for endorsement before submission to the respective ICB Boards for approval.

Accountability

ICB employees are reminded of their accountability under this Scheme of Reservation and Delegation, and the associated obligations.

As an officer of the ICB with delegated authorities, as detailed in this document, you have personal accountability for:

  • Complying with all the authority limits set out in this document, noting that variations exist between SEL ICB and SWL ICB delegated limits, and applying these appropriately.
  • Delivering your service within the budgetary limits set, unless express agreement to a variance to budget is reached with the respective delegated officers in advance.
  • Regularly monitoring income and expenditure against agreed budgets, including meeting your management accountant on a monthly basis.
  • Highlighting any significant actual or forecast variances to your executive director (or the CFCO if you are an executive director yourself) and finance business partner as early as possible in order that mitigating actions can be developed and implemented.
  • Ensuring awareness and compliance to the ICBs counter fraud, bribery and corruption policies within your teams at all times.
  • Ensuring adherence to the respective ICBs Standard of Business Conduct Policy.
  • Complying with all organisational policies and procedures.
  • Ensuring appropriate local systems are in place to ensure these delegations are operated effectively.
  • Providing the necessary reports to respective ICB committees, to enable those committees to conduct their assurance duties as required.

Failure to adhere to organisational policies and procedures, including adherence with the delegated authority limits within the Scheme of Reservation and Delegation and Operational Scheme of Delegation may result in disciplinary action in line with the organisations Policy.

Section A

NHS South East London ICB & NHS South West London ICB Integrated Scheme of Reservation & Delegation

DecisionReserved or delegated to BoardChief ExecutiveChief Finance and Compliance OfficerCommittees and Sub-committees
STRATEGY
Agree the vision and values and overall strategic direction of the ICB✓
Agree the overall South East London and South West London Neighbourhood strategy✓
Agree joint working on estates, procurement, supply chain and commercial strategies to maximise value for money across the system and support wider goals of development and sustainability✓
GOVERNANCE ARRANGEMENTS
Prepare the ICB’s overarching Scheme of Reservation and Delegation✓
Approval of the group’s overarching Scheme of Reservation and Delegation.✓
Prepare the ICB’s operational scheme of delegation.✓
Approval of the ICB’s operational scheme of delegation.✓ (as part of SoRD)
Consideration and approval of applications to NHS England on any matter concerning changes to the ICB’s constitution or standing orders.✓
Prepare detailed financial policies that underpin the ICB’s standing financial instructions✓
Approve policies required to ensure ICB meets statutory or legislative guidance✓
Approve operational policies required to provide internal direction (which do not relate to specific statutory or legislative guidance)Senior Management Team
Approve any changes to the ICB’s committee structure✓
Approval of the arrangements for discharging the ICB’s statutory financial duties.✓In consultation with Audit, Risk and Assurance Committee
Exercise or delegation of those functions of the ICB which have not been reserved to the board or other committee or sub-committee or [specified] employee✓
Authority to make decisions relating to operational matters, within the financial limits specified in the Operational Scheme of Delegation, where not explicitly delegated elsewhere or defined elsewhere in the Scheme of DelegationSenior Management Team
APPROVAL OF PLANS
Approval of the NHS Joint Forward plan✓
APPROVAL OF BUDGETS AND FINANCE MATTERS
Approval of the ICB’s annual corporate budgets✓
Approval of a comprehensive system of internal control, including budgetary control, that underpins the effective, efficient and economic operation of the ICBAudit, Risk and Assurance
Committee
Approval of the ICB’s annual report and annual accountsAudit, Risk and Assurance Committee
OPERATING STRUCTURES AND HR MATTERS
Approval of the ICB’s operating structure (in relation to organisational structures within the ICB)✓
Approval of terms and conditions, pensions, remuneration, fees and allowances payable to board members, employees and to other persons providing services to the ICB outside of agenda for changeRemuneration Committee
Approval of the use of any Redundancy Scheme (RS)Remuneration Committee
Approval of TUPE or other staff transfer schemesRemuneration Committee
Approval of the arrangements for discharging the ICB’s statutory duties as an employer✓
Leading system implementation of people priorities including delivery of the People Plan and People Promise by aligning partners across the ICS to develop and support ‘one workforce’, including through closer collaboration across the health and care sector, with local government, the voluntary and community sector and volunteers✓
CLINICAL QUALITY AND PATIENT SAFETY
Approve arrangements to minimise clinical risk and maximise patient safetyPatient Safety Committee
Approve arrangements to secure continuous improvement in quality and patient outcomesStrategic Commissioning Committee
Approve arrangements for supporting NHS England in discharging its responsibilities in relation to securing continuous improvement in the quality of general medical services.Patient Safety Committee
RISK & ASSURANCE MATTERS
Approval of the ICB’s counter fraud and security management arrangementsAudit, Risk and Assurance Committee
Approval of the ICB’s risk management arrangements.Audit, Risk and Assurance Committee
Approval of changes to the provision or delivery of assurance services to the ICB including internal audit and counter fraudAudit, Risk and Assurance Committee
Approve the appointment (and where necessary dismissal) of external auditors (and where necessary change/removal) of external auditAudit, Risk and Assurance Committee acting as Auditor Panel
CORPORATE MATTERS
Approve ICBs publication scheme✓
Approval of the ICB’s contracts for corporate support (for example finance provision)✓
COMMISSIONING, CONTRACTING AND RISK POOLING
Approve arrangements for risk sharing and or risk pooling with other organisations (for example arrangements for pooled funds with other Integrated Care Boards or pooled budget arrangements under section 75 of the NHS Act 2006).✓
Approval of the ICB’s contracts for any contracting / commissioning support including in respect of any commissioning functions delegated by NHSE✓
Approval of a new pooled budget, with a South East or South West London local authority✓
Approve decisions delegated to joint committees established under section 75 of the 2006 Act.✓
Approve primary care commissioning arrangements in South East and South West London (Bexley, Bromley, Greenwich, Lambeth, Southwark, Lewisham and Kingston, Richmond, Croydon, Wandsworth, Merton, Sutton)SEL: Strategic Commissioning Committee
Approval of the arrangements for promoting integration and co-ordinating the commissioning of services with other integrated care boards, provider collaboratives, place and/or with the local authority/ies, where appropriate✓
Approval of the arrangements for discharging the ICB’s statutory duties associated with its commissioning functions for promoting improvement in the quality ofStrategic Commissioning Committee
services and promoting the involvement of each patient, patient choice, public engagement and consultation
Approval of the arrangements for discharging the ICB’s statutory duties associated with its commissioning functions to promote reductions in inequalities✓

Section B

NHS South East London ICB & NHS South West London ICB

Integrated Operational Scheme of Delegation (schedule of matters delegated to officers and committees)

Introduction

  1. This Operational Scheme of Delegation has been developed in conjunction with the organisation’s Standing Financial

Instructions and will provide guidance for the ICB.

  1. The delegation shown below is the lowest level to which authority is delegated. Authority can be delegated upwards with no further action being required. However, delegation to lower levels is only permitted with written approval of the Chief Executive Officer. Decision making with a financial impact must be carried out in accordance with the ICB’s Standing Orders, Prime Financial Policies and detailed financial procedures. All financial limits in this schedule of matters delegated to Officers are subject to sufficient budget being available.
  2. The Standing Financial Instructions set out the financial responsibilities of the various Committees, Groups and individuals within the ICB.

Levels of Delegation

  1. The Operational Scheme of Delegation covers only matters delegated by NHSE to the ICB and those matters reserved for the ICB Board its committees, Executive Officers and/or Partners.
  2. Further delegation may be approved:
    1. by the ICB Board in approving specific management policies.
    2. by the ICB Chief Executive.
    3. as part of Financial Procedures approved by the Chief Finance and Compliance Officer (CFCO).
  3. Each Executive Director will need to consider the arrangements for authorisation of expenditure against delegated budgets and further delegation of management/professional responsibilities.
  4. In accordance with the Scheme of Delegation the ICB Board exercises financial supervision and control by:
    1. Authorising the operational plan.
    2. Requiring the submission and approval of budgets within approved allocations / overall income.
    3. Defining and approving essential features in respect of important procedures and financial systems (including the need to obtain value for money).
    4. Defining specific responsibilities placed on members of the ICB Board, its Committees, Partners and employees as indicated in the Scheme of Delegation.
  5. Once the ICB Board, has reviewed and approved the Operating Plan and any supporting financial plan / budget, the Board, will delegate approval to the Chief Executive; the Chief Finance and Compliance Officer and other Executive Directors and employees to commit these resources for the purpose set out in the plan subject to the financial thresholds set out in this document.
  6. Levels of Sub-Delegation

The Delegation of financial limits are also linked to the position/role of the staff member and the Levels outlined in Schedule 1 will be those set on the financial system.

  1. Types of Delegation Authority

The types of financial delegation outlined in this document include:

  1. Expenditure approval delegations.
  2. Invoices and credit note requests.
  3. Business case approval delegations.
  4. Procurement delegations.
  5. Contracts signing delegations.
  6. Other non-financial delegations.

Principles

  1. General Delegation Principles
  2. Delegates Must:
    1. Act within your authority by ensuring you hold the relevant delegation
    2. Understand your authority by referring to relevant guidance, limitations and directions.
    3. Act with the ICB’s values in mind.
    4. Avoid conflicts of interest.
    5. Consider the ICB’s business needs.
    6. Seek expert advice when making a decision.
    7. Make decisions objectively, reasonably and fairly.
  3. Delegates Must Not:
    1. Exercise delegations in respect of someone outside of your immediate line of control.
    2. Exercise powers in respect of a position higher than your own.
    3. Exercise a delegation in respect of yourself (i.e. confer a personal benefit).
    4. Exercise a delegation on behalf of an absent employee unless it is within the scope of your delegated authority, or you are officially acting in the position.
  4. Compliance
    1. All delegates are required to comply with manuals and directives issued by the ICB.
    2. Delegated authority is subject to internal controls and to any overriding National laws.
  5. Responsibility
    1. Delegations are made to positions, not to persons, and are specific to the position’s work unit and/or role. Ultimate

responsibility for performance of the functions or exercise of the authority or power rests with the authority holder.

  1. Where an authority holder delegates an authority to an individual position, the person occupying that position becomes personally accountable for the delivery of that authority.
  2. The delegation to a position is unique and is not transferable by the delegate.
  3. Delegations extend to the Officer substantively appointed to that position and any person acting in that position for a specified period unless otherwise excluded in the terms of the temporary appointment. Delegations do not extend to volunteers.
  4. Where the Scheme of Delegation specifies a delegate, the position to which the delegate reports is also deemed to have the delegated authority except where otherwise determined by legislation, policy or a Chief Executive instruction.
  5. Where the permanent Officer takes leave, it is their responsibility to instruct the relieving Officer (and the finance department) of the level of delegation that is attached to the position and the responsibilities associated with the delegation for the agreed period. In case of the Chief Executive Officer their responsibility would be delegated to the Deputy Chief Executive Officer in the first instance for any leave.
  1. Application
    1. Delegates are expected to exercise their powers, authorities, duties or functions delegated to them in a responsible, efficient, consistent and cost-effective manner.
    2. Discretion is to be utilised by the delegate in determining whether to exercise a delegation or refer the matter to a higher authority.
    3. When an Officer is exercising their financial delegation, they are required to clearly provide their name, position and date when signing.
  2. Financial Delegation Principles
  3. Delegates Must:
    1. Only approve expenditure in cost centres under the delegate’s authority.
    2. Only approve expenditure where there is sufficient budget to cover the cost.
    3. Only approve expenditure on goods and services related to official work and business use.
    4. Only approve expenditure where all relevant ICB’s procedures and policies have been followed.
    5. Only approve expenditure to the financial limit of the delegation.
    6. Only approve expenditure where evidence exists that goods have been received and/or services have been performed in accordance with and at the rate/s of an agreed contract or arrangement.
    7. Employees are to note that an expenditure approval is to be given prior to any commitment being made, contract signed, or purchase order raised.
  4. Delegates Must Not:
    1. approve a gift or settlement of any legal claim unless specifically delegated this authority.
    2. transfer the financial delegation granted by the ICB Chief Executive to another employee.
    3. break one purchase down into several smaller items to avoid breaching the financial limit of the delegation.
    4. approve expenditure on capital works, contracts or special payments unless specifically delegated this authority.
    5. exceed their delegation limits even if automated systems permit this to occur.
    6. Approve any expenditure incurred by the delegate on travel, meals, conferences and other similar expenditure.
    7. Assume the financial delegation of an absent delegate if you are not authorised to do so.
  5. Suspension, Revocations and Reductions in Financial Delegations
    1. The terms of any financial delegation cannot be exceeded under any circumstances.
    2. Financial delegations cannot be sub-delegated once granted by the ICB Chief Executive.
    3. Improper performance of responsibilities may result in disciplinary action being taken against the employee concerned.
    4. The power to revoke, suspend or reduce financial delegations granted to positions within the ICB rests with the Chief

Executive in respect of delegations made.

  1. If circumstances arise which warrant the suspension, revocation or reduction of a financial delegation, full details must be forwarded to the ICB’s Chief Finance and Compliance Officer. The ICB’s Chief Finance and Compliance Officer will submit an appropriate recommendation to the Chief Executive for consideration.
  2. If the recommendation is approved, the delegation will be amended to reflect that reduction, suspension or revocation.
  3. Reviewing and Maintaining the Scheme of Delegations
    1. This Scheme of Delegation may be amended from time to time to reflect changes in legislation, ICB policy or operational requirements.
    2. The ICB will coordinate regular reviews of financial, procurement and contracts signing financial delegations for positions and limits. A revised version is submitted to the Senior Management Team (SMT) and Audit, Risk and Assurance Committee for endorsement before submitting it to the ICB Board for approval.
REFDELEGATED MATTERSAUTHORITY DELEGATED TO
1Bank Accounts Maintenance and operation in accordance with banking mandates.All banking must be managed in accordance with organisational Standing Financial Instructions (SFIs) and Standing Orders (SOs).
2ICB Budgets All ICB staff have the responsibility of keeping expenditure to within agreed budgets. The following delegated authority to spend is only extended to where the approved budget is available: At individual budget level (Pay and non-Pay) At a service level For the totality of service covered by directorate For the totality of the budget delegated to Place The totality of the ICB budget In the event of an urgent unpredicted need for expenditure which does not have allocated budget, no expenditure must be committed to without prior discussion with the Chief Finance and Compliance Officer or Chief Executive. Management of budgets – variations to agreed budgets: Approving expenditure where there is a variation to budget, or in the tender price up to 10% or £100,000 whichever is the higher. Approving expenditure where there is a variation to budget or in the tender price greater than 10% or £100,000 and less than 20% or £250,000, whichever is the higher. Approving expenditure where there is a variation to budget or in the tender price greater than 20% or £250,000, whichever is the higher. Budget Virements: At individual budget level within a service up to £10,000 At individual budget level within a service over £10,000 and < £100,000Budget Holders Head of Service/Departmental Manager Executive Director Place Executive Director Chief Executive Chief Finance and Compliance Officer or Chief Executive Officer Chief Finance and Compliance Officer and Chief Executive Officer ICB Board Budget Holders Executive Directors
Between services up to £500,000 Services greater than £500,000 Virements should not be used to create new budgets. Virements are not permitted between pay and non-pay budgets. The virement must be signed by both the budget holder from whom the budget is transferring and the budget holder to whom the budget is transferring.Chief Finance and Compliance Officer or Chief Executive Officer ICB Board
3Business Case and Investment Approvals Business cases for investments must be prepared for changes to services and/or expenditure including capital or revenue, procurement of services and pathway redesigns. Business cases seeking external funding must be approved by the relevant body prior to making the external request for funds. The following delegated authority is only extended to where the approved budget is available: Capital: Estimated cost up to £2.50m Estimated cost up to £5.00m Estimated cost up to £10.00m Estimated cost up to £24.99m Above £25.00m The ICB is required to have oversight of significant investment (no matter whether they are revenue or capital or a combination) made by partners in the system to ensure they align with the ICS and ICP strategy and provide value for money. These business cases typically relate to additional funds made available by NHSE for specific projects and the strategic investments as part of the system-wide capital plan. On agreeing they align to the system priorities, are affordable and value for money the ICB will be expected to write a letter of support for the scheme. Where the NHS makes allocations to individual organisations within the ICS/allocation values are updated in year e.g. pay awards. These would be excluded from requiring a business case.Chief Finance and Compliance Officer Chief Executive Officer CFO and CEO/SMT SMT ICB Board
Prior to the ICB reviewing and agreeing its support to any cases it is expected these will have been through individual partner organisations governance (in line with their SFIs and Scheme of Delegation). The appropriate approval process for a business case is determined by the value of the business case. Business cases should follow national guidance in their construct: Letters of Support Estimated cost up to £5m Estimated cost up to £10m Estimated cost up to £20m Estimated cost up to £50m Above £50m Revenue: Annual values L1 – <£50k L2 – £50k-£250k L3 – £250k-£2.5m L4 – £2.5m – £10m L5 – £10m – £25m L6 – >£25m Where expenditure is not fully budgeted for, the capital limits will apply – for example the CFCO will have delegated authority up to £2.50m.CFCO CFCO and CEO CFCO, CEO and SMT SMT and SCC SMT, SCC and ICB Board Decision Owner Committee Involvement Budget Holder None Director Exec visibility Exec Director SMT reporting SMT Notify SCC SCC SMT (prior to SCC) Board Final Approval
4Capital Schemes The financial limits for quotations, tendering and contract procedures are set out below in section 30 and apply to capital expenditure. In addition, the following delegations apply to capital schemes: Selection of architects, quantity surveyors, consultant engineer and other professional advisers within EU regulations Financial monitoring and reporting on all capital scheme expenditure Granting and termination of leases with annual rent <£100,000 Granting and termination of leases with annual rent >£100,000 The ICB capital plan is developed and then reviewed by Senior Management Team before being approved by the ICB Board prior to publication. ICB capital includes: Primary care improvement grants Primary care ICT grants Buildings and equipment Leases (under IFRS16) – including the authority to extend or exit tenancy agreements for ICB offices It excludes tenancy agreements and void costs that should be managed in line with non-pay revenue investments/spends unless specifically listed below: preparation and signature of all tenancy agreements/ licences Extensions to existing leases Letting of premises to/from outside organisations Approval of rent based on professional assessment ICB capital projects are subject to the DHSC and Cabinet office rules for approval as in the Procurement Section. Authority to approve capital expenditure in excess of the total capital budgetChief Executive or Chief Finance and Compliance Officer on recommendation of estates director Chief Finance and Compliance Officer Chief Finance and Compliance Officer SMT Chief Finance and Compliance Officer Chief Finance and Compliance Officer Chief Finance and Compliance Officer and Chief Executive Chief Finance and Compliance Officer Approval of an increase in the total capital budget above the value signed off by ICB Board would breach CDEL and is not permitted.
Charitable and Endowment Funds NHS Greenwich Charitable Fund Approval of Charity purpose, vision and strategic objectives Approval of annual charitable funds budget Approval of annual report and assuring compliance Day to day control and management of charitable fund Approval of grants: Up to £10k £10k to £200k £200k+NHS South East London ICB (SEL ICB) is the Corporate Trustee for NHS Greenwich Charitable Funds. SEL ICB Board Chief Finance and Compliance Officer Chief Finance and Compliance Officer Place Executive Lead (Greenwich) Associate Director of Finance (Greenwich & Lewisham) Place Executive Lead (Greenwich) Chief Finance and Compliance Officer (on recommendation from Charitable Funds Committee)
5Clinical Trials Authorisation of Clinical TrialsChief Executive Officer and Medical Director.
6Discretionary Grants to Local Authorities and Voluntary Bodies Discretionary grants to local authorities and voluntary bodies should only be awarded in exceptional circumstances. The expectation of the ICB is that all contractual commitments are made through the normal procurement process for contracts and in line with the approval limits set out in section 30 below.For all agreements to provide grants/ MOUs to third parties including local authorities and voluntary bodies: Chief Finance and Compliance officer or Chief Executive or Chief Commissioning Officer
7Commissioning Expenditure – purchase of Healthcare from all bodies Service Level Agreements (SLAs) SLAs within the annual budget: Signing of annual local contracts/voluntary sector contracts and SLAs up to £5m Signing of annual local contracts/voluntary sector contracts and minor SLAs over £5m Authorisation of monthly invoices in excess of agreed SLA value. Contract Exclusions (NHS and Non-NHS) Individual Funding Requests (IFRs) Approval of Requisitions in line with approved IFR Approval of Purchase Order All other contract exclusions For any other funded commissioning arrangements under this category not included above: Agreement of Named Placements (not Continuing Healthcare Placements) Up to £50,000 and within approved budget Above £50,000 or in excess of available resources Continuing Healthcare Packages To recognise the current differences between the processes in SEL ICB and SWL ICB, different authority limits shown below for each ICB:Executive Director Chief Executive and Chief Finance and Compliance Officer Deputy Chief Executive/ Chief Finance and Compliance Officer and reported to SMT for information. IFR Lead after IFR panel approval of expenditure Procurement Operations Manager Executive Director Chief Finance and Compliance Officer, or Chief Executive Officer, or Chief Commissioning Officer Head of service Executive Director
SWL ICB
Delegation for all placements, value relates to the period of award up to the next review point.
Up to £1,500 per week or £75,000 per annum Up to £4,000 per week or £200,000 per annum Up to £10,000 per week or £500,000 per annum Above £10,000 or over £500,000 per annumDeputy director of CHC Operational Place lead On recommendation of the Deputy Director of CHC Chief Nursing and Quality Officer On recommendation of the Operational Place lead Senior Management Team On recommendation of the Chief Nursing and Quality Officer
SEL ICB
Agreement of named placements up to £1,650 per week between £1,651 and £3,450 per week for values exceeding those above Signing of Contract for placements Approval of invoices within package contract value as per ISFE limits Authorisation of monthly invoices in excess of contract valueCHC teams within boroughs Head of service Executive Director Head of service up to value of £100,000 and Executive Director for over £100,000 As per ISFE limits set per user Executive Director
Joint commissioning with Local Authorities
Where services are being commissioned jointly with local authorities, delegated responsibility for the arrangements will by held by the Place Executive Leads, with assurance and co-ordination delivered by the Neighbourhood Delivery Committee.Place Executive lead holds delegated responsibility, with assurance and oversight through Neighbourhood Delivery Committees.
8Complaints (Patients and Relatives) Overall responsibility for ensuring that all complaints are dealt with effectively Responsibility for ensuring that complaints are investigated thoroughly Medico – Legal Complaints – Co-ordination of their managementChief Executive Relevant Executive Director Director of Corporate Services
9Condemning & Disposal of capitalised equipment Items obsolete, redundant, stolen, and irreparable or cannot be repaired cost effectively. Note: these write-offs, once agreed, will impact on individual budgets – there is no central provision. A bad debt write-off for these purposes is the writing off of any income due to the ICB whether or not invoiced – it does not include adjustments relating to invoices raised in error.Approval for disposal to be made by two officers – the Chief Finance and Compliance Officer plus either the Chief Executive or Director of Corporate Services. All disposals to be reported to the next meeting of the Audit Risk and Assurance Committee.
10(a) 10(b)Payments to Independent Contractors – GP contract payments including pensions SEL ICB ONLY Notifying GP practices of approved annual allocation Approval of regular monthly instalments schedules of approved reimbursements: <£20,000,000 as per SE London schedule >£20,000,001 as per SE London schedule Further reimbursement of expenditure within approved allocation, including Out of Hours (OOH) Community Schemes and Local Incentive Schemes expenditure: Up to £10,000 £10,001 to £50,000 Over £50,000 Payments to Independent Contractors – Primary Care Dental, Ophthalmology and Community Pharmacy Approval of regular monthly instalments schedules of approved reimbursements: less than £20,000,000 as per SE London schedule greater than £20,000,001 as per SE London schedule Approval of contract changes on dental systemExecutive Director Head of service and Associate Director of Corporate Finance As above plus Director of Operational Finance Borough Head of Primary Care (or equivalent) Borough Director of Primary Care (or equivalent) Executive Director Director or Chief Commissioning Officer and Associate Director of Corporate Finance Director or Executive Director and Director of Corporate Finance
Director or Executive Director
11Medicines Optimisation Authorisation of New Drugs: Estimated total yearly cost per drug of up to £25,000 per 100,000 population (£500,000 for South East London based on 2 million population) Estimated total yearly cost per drug above £25,000 per 100,000 population (£500,000 for South East London based on 2 million population)Chief Pharmacist SCC on the recommendation of medicines optimisation team Where NICE guidance is not followed, this should be reported to the Board at the next opportunity.
12Legal matters Engagement of legal advice Where costs are estimated to exceed £100k, SMT to be alerted. Legal settlementsApproval by an Executive Director and Director of Corporate Services. Chief Executive and Chief Finance and Compliance Officer approval
13Engagement of Agency Staff All agency Costs of £600 or more per day (excluding VAT) or over 6 months in duration (regardless of cost) will require approval by NHSE via submission of a business case.For SEL ICB Prior to engaging any agency/interim staff, staff must follow the Hiring of Interim Resources Policy and comply with the NHS England and ICB guidance. All requests for agency staff (regardless of the daily rate and length of contract) require the approval of the VR panel before any appointment can be made. Prior endorsement is required from finance and HR. For booking of agency/interim staff and approval of invoices, within budget: Up to £10,000 – budget holder £10,001 to £50,000 – head of service Over £50,000 – Executive director The sums above exclude VAT, agency fees and expenses. For booking of Bank or Agency Staff – in excess of budget:
Employment of fixed term contractors is approved by Executive Director – following approval by the VR panel Fixed Term contractors should be considered where the requirement is time limited. In all cases HR advice should be taken prior to recruitment to understand any ICB liability that may be incurred at the end of the assignment. Approval is via the VR panel.
14Extended Role Activities Approval of Nurses to undertake duties/procedures which can properly be described as beyond the normal scope of Nursing Practice.Chief Nursing and Quality Officer
15Facilities for staff not employed by the ICB to gain practical experience Professional Recognition, Honorary Contracts and other Memorandums of Understanding Non-Medical Work experience studentsChief Nurse or Medical Director (as appropriate) – HR to be advised An ICB Director – HR to be advised
16Review of fire precautions at ICB sitesDirector of Corporate Services in conjunction with local authority/landlord as appropriate
17Hospitality and Gifts Responsibility for implementing arrangements to ensure Conflicts of Interest and Gifts and Hospitality policy is adhered to. Limits as determined in the ICBs Conflicts of Interest/ Standards of Business Conduct Policy.Director of Corporate Services
18Arrangements for Internal and External Audit – including the implementation of Audit RecommendationsAll audit plans will be approved by the ICB’s Audit, Risk and Assurance Committee on the recommendation of the Chief Finance and Compliance Officer or Director of Operational Finance.
19Approval of any proposed non-audit based professional services to be delivered by the ICB’s external auditorChief Finance and Compliance Officer AND the Chair of the Audit, Risk and Assurance Committee Prior endorsement required by: Senior Management Team Approval noted by the Audit, Risk and Assurance Committee
20Insurance Policies including NHSLA Negotiation and agreement of premiums Ensuring the ICB has arrangements in place for the provision of adequate insurance cover for the ICB that are not indemnified through the NHS ResolutionDirector of Corporate Services Chief Executive and Chief Finance and Compliance Officer, via Director of Corporate Services
21Certification of invoices where no Purchase Order or contractual arrangement is in place Up to £10,000 £10,001 to £50,000 £50,001 to £250,000 £250,001 to £1,000,000 £1,000,001 to £5,000,000 £5,000,001 to £10,000,000 Up to £500.0m Up to £1.0bnBudget managers at Bands 6 and 7 Budget managers at Band 8a and 8b Assistant/Associate Directors at Band 8c and 8d Directors at Band 9 ICB Operational Director of Finance Borough, Place Directors or equivalent (VSM) Deputy Chief Executive Officer Chief Executive Officer and Chief Finance and Compliance Officer
22Losses, Write-off & Compensation Losses and Cash due to theft, fraud, overpayment etc. Fruitless Payments (including abandoned Capital Schemes) Claims Abandoned Damage to buildings, fittings, furniture and equipment and loss of equipment and property in stores and in use due to culpable causes (e.g. fraud, theft, arson) or other Compensation payments made under legal obligation Extra Contractual payments to contractors Ex-gratia Payments to Patients and staff for loss of personal effects Ex-gratia payments for Clinical negligence (negotiated settlements following legal advice) – up to £250,000 including claimant’s legal costs Ex-gratia payments for personal injury claims involving negligence where legal advice obtained and followed Other ex-gratia payments except cases of maladministration where there is no financial loss by claimant – up to £50,000 Write back of Non-NHS Debtors < £250,000 Write back of Non-NHS Debtors > £250,000Chief Finance and Compliance Officer Chief Finance and Compliance Officer Chief Finance and Compliance Officer Chief Finance and Compliance Officer Chief Finance and Compliance Officer and Chief Executive Chief Finance and Compliance Officer Chief Finance and Compliance Officer Chief Finance and Compliance Officer Chief Finance and Compliance Officer Chief Finance and Compliance Officer Chief Finance and Compliance Officer Audit, Risk and Assurance Committee
23Maintenance & Update of ICB Financial ProceduresChief Finance and Compliance Officer
24Management Consultants All contracts for management consultants will require agreement in line with any ICB process and reporting to NHS England in addition to the process below. All contracts for management consultants over £50,000 require a business case to be submitted to NHS England for approval prior to any appointment being made. All requests for management consultancy must be assessed as being consistent with IR35 compliance before any appointment can be made. Obtaining at least 3 quotations / carrying out competitive interviews, within budget, where aggregate commitment in any one year or total commitment is to £24,999. Obtaining at least 3 competitive tenders / quotes or undertaking competitive interviews within budget, where aggregate commitment in any one year is £25,000 or more Authorising contracts of engagement following the above. Authorisation of consultants in excess of budget.Executive Director Executive Director Executive Director Chief Finance and Compliance Officer or Chief Executive
25Personnel & Pay This is subject to compliance with all ICB recruitment processes, e.g. submission to VR/recruitment panel. Authority to fill funded post on the establishment with permanent staff Authority to appoint staff to post not on the agreed establishment All requests for upgrading/re-grading to be dealt with in accordance with ICB procedures and recruitment panel approval.Pre-approval by Director, Finance lead and HR. Once confirmation/approval received from VR panel/RSC, JD and advert to be sent to the Resources team by recruiting manager. HR to be informed. As above for a). Chief Executive approval will be required should there be no recruitment panel in place. Once approval received, finance department and workforce department to be informed of outcome for budgetary and ESR purposes.
Approval of the extension of staff on fixed term contracts within budget. Pay Staff appointments – Executive directors and other directors referenced on the ICB Board Approval of remuneration arrangements (including additional allowances above basic salary) – all staff levels excluding Executive Directors and Directors referenced in the Board Approval of remuneration arrangements for Executive Directors and other Directors referenced on the ICB Board Authority to complete standing data forms affecting pay, new starters, variations and leavers Authority to authorise overtime/flexible working Authority to authorise travel & Subsistence expenses on Workforce Approval of staff timesheets – both substantive and temporary staff Leave Approval of Annual Leave Approval to carry forward annual leave Payment of Annual Leave in exceptional circumstances Special leave for bereavement up to 5 days Extended Special Leave for bereavement Special leave arrangements carers leave – up to 3 days in any six-month period carers leave – up to 5 days in any six-month period Leave without pay Time off in lieu Maternity and Paternity Leave – paid and unpaid Sick Leave (in exceptional circumstances) Extension of sick leave – in line with contract of employment Extension of sick leave – any non-contractual payments Return to work part-time on full pay to assist recoveryFixed term contracts should only be extended in specific circumstances. In all cases this should be discussed with HR and the relevant financial officer prior to submission of a request to the VR/recruitment panel. e) Chief Executive and Chair Human Resources and finance leads and relevant executive director Remuneration Committee Budget holder and Associate Director of Corporate Finance. HR to be informed. All staff change forms must be approved by a Director and either the Chief Financial Officer or Director of Corporate Finance. Line Manager (with guidance from a Director) Line Manager Line Manager f) Line Manager Annual leave carry over will be approved in line with the annual leave policy for each respective ICB. Chief Executive Head of Service Executive Director vi) Head of Service. HR to be informed Executive Director. HR to be informed Executive Director Line manager Automatic approval as per guidance and ICB Policy; HR to be informed. g) To seek advice from the Director of HR before any extension is agreed Remuneration Committee Executive Director with advice with advice from occupational health and HR.
Study Leave Study leave outside the UK ii) All other study leave (UK) i) Removal Expenses, Excess Rent and House Purchase (to be agreed prior to advertising posts). Authorisation of payment of removal expenses incurred by officers taking up new appointments (providing consideration was promised at interview): Up to £2,000 Over £2,000 Grievance Procedure All grievance cases must be dealt with strictly in accordance with the applicable ICB Grievance Procedure and the advice of HR Authorised Car & Mobile Phone Users Requests for new posts to be authorised as car users Requests for new posts to be authorised as mobile telephone users Redundancy Authorisation to agree voluntary redundancy and determine compulsory redundancies in accordance with policy Ill Health Retirement Decision to pursue retirement on the grounds of ill-health. Employment of voluntary workers / work experience. Approval of expense claim within assigned delegation limit (refer schedule 1) and claim is allowable per the NHS Terms and Conditions of Service handbook Approval of expense claim above assigned delegation limit (refer schedule 1) and claim is allowable per the NHS Terms and Conditions of Service handbookh) Chief Executive in line with ICB training policy Executive Director in line with ICB training policy Executive Director, and notification to HR Chief Executive and notification to HR As per applicable (i.e. SEL or SWL) ICB procedure k) As per applicable ICB policy As per applicable ICB policy Remuneration Committee with support from HR and appropriate permission/approvals from NHS England. Chief Finance and Compliance Officer to be consulted at all times. Chief Executive or Executive Director following advice from HR and occupational health. An ICB Director with advice from HR Employees line manager Executive Director
26Petty Cash DisbursementsThe ICB has no petty cash function.
27Quotation, Tendering & Contract Procedures For Health Care services of any Contract Value, The Health Care Services (Provider Selection Regime) Regulations 2023 (PSR) and supporting Statutory Guidance, must be followed. PSR Provider Representations: Decisions following escalation of Representations made against a Provider Selection Regime decision, to the NHSE Independent Patient Choice and Procurement Panel PSR Urgent Awards or Urgent Contract Modifications: Where: a new service needs to be arranged rapidly in an unforeseen emergency or local, regional or national crisis, e.g., to deal with a pandemic. urgent quality/safety concerns pose risks to patients or the public and necessitate rapid changes. an existing provider is suddenly unable to provide services under an existing contract (for example, a provider becomes insolvent or experiences a sudden lack of critical workforce) and a new provider needs to be found. An urgent award or modification must only be made when all the below apply: the award or modification must be made urgently the reason for the urgency was not foreseeable by and is not attributable to the relevant authority. delaying the award of the contract to conduct a full application of the regime would be likely to pose a risk to patient or public safety. Urgent Awards or Urgent Contract Modifications must not be used if the urgency is attributable to the ICB not leaving sufficient time to make procurementSMT Approved by the Chief Finance and Compliance Officer (up to £100,000) and Chief Finance and Compliance Officer and Chief Executive (£100,000 and over); reported to the Audit, Risk and Assurance Committee. Where the Chief Executive is requesting an Urgent Award or Urgent Contract Modification, approval is by the Chair and the Chief Finance and Compliance Officer.
decisions and run a provider selection process– poor planning is not an acceptable reason to use these provisions.
With the exception of Section (i) below, relating to Contract Variations, the remainder of this section (30) only applies to non-healthcare services.
For non-health care services the following applies:
This section does not apply to Management Consultants (see section 26) (or other services included elsewhere within this schedule) Goods/services up to £24,999 – (Minimum of 1 written quote required) Goods/services from £25,000 – £75,000 (Minimum of 3 written quotations required) Goods/services from £75,000 – £100,000 (Minimum of 3 competitive tenders required) Goods/services from £100,000 – £200,000 (Minimum of 3 competitive tenders required) Goods/services over £200,000 – (Minimum of 4 competitive tenders required) Waiving of quotations and tenders subject to Standing Financial Instructions Opening Tenders and Quotations Authorisation of payments to public partnership schemes under existing contracts Contract variations Variation of +/- 20% of contract value and less than £100,000 Variation of over 20% of contract value and/or more than £100,000Head of Service Associate Director or Director Executive Director Chief Finance and Compliance Officer Chief Executive Approved by the Chief Finance and Compliance Officer (up to £100,000) and Chief Finance and Compliance Officer and Chief Executive (£100,000 and over); reported to the Audit, Risk and Assurance Committee. Where the Chief Executive is requesting the tender waiver, approval is by the Chair and the Chief Finance and Compliance Officer. Two senior officers/managers designated by the CEO/CFCO and not from the originating department. Chief Finance and Compliance Officer Executive Director ii) Chief Finance and Compliance Officer
Exceptions and instances where formal tendering/quotes need not be applied:
Where:
a) the estimated expenditure or income does not, or is not reasonably expected to, exceed £24,999 or
where the supply is proposed under special arrangements negotiated by the DH in which event the said special arrangements must be complied with. Formal tendering procedures may be waived by the Chief Executive and Chief Financial Officer in the following circumstances: in very exceptional circumstances where formal tendering/quoting procedures would not be practicable or the estimated expenditure would not warrant formal tendering procedures, and the circumstances are detailed in an appropriate record; where the requirement is covered by an existing contract; where PASA agreements or Public Sector Framework Agreements are in place; where a consortium arrangement is in place and a lead organisation has been appointed to carry out tendering activity on behalf of the consortium members; where the timescale genuinely precludes competitive tendering but failure to plan the work properly would not be regarded as a justification for a single tender; where specialist expertise is required and is available from only one source; when the task is essential to complete the project, and arises as a consequence of a recently completed assignment and engaging different consultants for the new task would be inappropriate; there is a clear benefit to be gained from maintaining continuity with an earlier project. However in such cases the benefits of such continuity must outweigh any potential financial advantage to be gained by competitive tendering; for the provision of legal advice and services providing that any legal firm or partnership commissioned is regulated by the Law Society for England and Wales for the conduct of their business (or by the Bar Council for England and Wales in relation to the obtaining of Counsel’s opinion) and are generally recognised as having sufficient expertise in the area of work for which they are commissioned. The Chief Executive, Chief Financial Officer, Chief of Staff will ensure that any fees paid are reasonable and within commonly accepted rates for the costing of such work. where allowed and provided for in the Capital Investment Manual.
The waiving of competitive tendering procedures should not be used to avoid competition or for administrative convenience or to award further work to a consultant originally appointed through a competitive procedure, except in exceptional circumstances. The Chief Executive & Chief Financial Officer will abide by the anti-bribery policy for the ICB at all times when approving tender waivers. Where it is decided that competitive tendering is not applicable and should be waived, the fact of the waiver and the reasons should be documented and reported to the Audit Committee. Selection of preferred tenderer(s)/compliant direct contract award under either the Public Procurement Regulations 2015 or the Provider lection Regime Regulations 2023 This delegation has application when a formal competitive tender process is conducted. At the conclusion of the tender evaluation stage, the evaluation team will make a decision on the award of contracts and will prepare a recommendation report that recommends the preferred tenderer(s). The report will detail the factors (including price, quality, and timing) that define the tender that provides the best overall value for money, and provide a comparison with the details of the nearest competing bids, where appropriate, with reasons for their rejection. The Delegated Officers have authority to approve the recommendation report. Following approval award, post-tender negotiations can be initiated with the successful tenderer to improve the successful offer, where appropriate, and the formal contract should be prepared. Where a purchase exceeds the limit set in the Public Contracts Regulations 2015, but only a single provider is identified having advertised our requirements, approval must be sought from the Chief Finance and Compliance Officer together with one other executive prior to award of the contract.
Capital
RevenueChief Finance and Compliance Officer
Up to £2,500,000 (if within delegated budget)
Contract and Procurement group
Over £2,500,000 to £5,000,000 (if within delegated budget)Prior endorsement required by Place, Primary Care Executive or Department as appropriate
Senior Management Team
Over £5,000,000 up to £25,000,000Prior endorsement required by: Contract and Procurement group Place, Primary Care Executive or Department as appropriate
Strategic Commissioning Committee
Prior endorsement required by: Senior Management Team, Contract and Procurement group Place, Primary Care Executive or Department as appropriate
Over £25,000,000
ICB Board
Prior endorsement required by: Contract and Procurement group, Senior Management Team AND Strategic Commissioning Committee
Authority to approve acceptance of late tenders Tender received within two hours after the specified tender closing timePlace, Primary Care Executive or Department as appropriate
Tender received more than two hours after the specified tender closing timeExecutive director or manager
Commercial contractsChief Finance and Compliance Officer
A commercial contract could take the form of a deed, contract, agreement, release, discharge, indemnity, guarantee, consent, instrument, and any other documents which binds the ICB legally to another party by imposing an obligation on each party Less than £2,500,000 Over £2,500,000 up to £7,500,000 Over £7,500,000 and Better Care Fund investment/ Section 75 agreementChief Executive OR Chief Finance and Compliance Officer OR Chief Commissioning Officer Prior approval required by: Contracting and Procurement Group Chief Executive OR Chief Finance and Compliance Officer OR Chief Commissioning Officer Prior approval required by: Contracting and Procurement Group ICB Chair or Chief Executive or Chief Finance and Compliance Officer or Chief Commissioning Officer Prior approval required by: Strategic Commissioning Committee
28Research Projects Authorisation of Research ProjectsSMT in conjunction with the Chief Nursing and Quality Officer
29Register of Interests The keeping of a Declaration of Interests RegisterDirector of Corporate Services.
30Commercial Sponsorship Sponsorship of events, including courses, conferences and meetings by external bodies should only be approved if it can be demonstrated that the event will result in clear benefits for SEL ICB and the wider NHS.Approval by the Chief Executive or Chair only and entry in declarations of interest register required.
31Extension of Contract Where an extension to an existing contract (both NHS and non-NHS) is required and is allowable in the contract and is within budget, details should be provided of the term of extension and the monetary value of the extension. Before any contract extension is agreed, a review will be required that demonstrates positive assurance in respect of value for money, performance and quality. Set up of new suppliersApproval of the contract extension (including the review of the contract) is as per the delegated limits as set out in section 8 above. There is no automatic delegated approval for contracts to be extended. Instead, a contract tender waiver (for non-healthcare services) or Urgent Award/Urgent Contract Modification (for healthcare services) would need to be produced and approved in accordance with the limits set out in section 30 above. Requests need to be submitted to the Financial Controller, with supporting evidence. Once approved the request will be forwarded to the national SBS team for actioning.
32Raising of sales orders Authorisation of sales orders for goods or services provided by the ICB: Up to £10,000 (credit memo up to £10,000) £10,001 to £100,000 (credit memo £10,001 up to £50,000) £100,001 to £250,000 (credit memo £50,001 to £250,000) £250,001 to £500,000 (credit memo £250,001 to £1,000,000) £500,001 to £1,000,000 £1,000,001 to £2,500,000 (credit memo up to £5,000,000) £500,001 to £2,500,000 (credit memo up to £10,000,000) Up to £5,000,000 (credit memo up to £500.0m) Up to £1.0bn (credit memo up to £1.0bn) No delegated financial responsibilityBudget managers at Bands 6 and 7 Budget managers at Band 8a and 8b Assistant/Associate Directors at Band 8c and 8d Directors at Band 9 ICB Finance Directors ICB Finance Directors Borough Directors or equivalent (VSM) Deputy Chief Executive Chief Executive and Chief Finance and Compliance Officer System Administration
33Sealing of DocumentsTwo of the following are required to seal documents: Chief Executive Officer Chief Finance and Compliance Officer Chief Medical Officer Chief Nursing Officer
34Disposal of Records Physical records, either on site or held in archive by a third party, should be disposed of in accordance with the ICBs approval Records Retention Schedule.Director of Corporate Services
35Authority to sign non legally binding administrative arrangements This delegation has application when the ICB is entering into non-legally binding administrative arrangement with one or more other parties. The non-legally binding administrative arrangements could relate to one of the following: Memoranda of Understanding (either intra-ICB, with other NHS organisations, or with a commercial third party) Service level agreements (intra/Inter ICB, other NHS Organisations) Operating level agreements (intra/Inter ICB, other NHS Organisations)Chief Executive or Chief Finance and Compliance Officer or Chief Commissioning Officer

Section C

Delegation levels Revenue

LevelValueDecision OwnerCommittee Involvement
L1<£50kBudget HolderNone
L2£50k-£250kDirectorExec visibility
L3£250k-£2.5mExec DirectorSMT reporting
L4£2.5m-£10mSMTNotify SCC
L5£10m-£25mSCCSMT prior review and recommendation
L6>£25mBoardFinal Approval

Capital

Value
<£2.5mChief Finance and Compliance Officer
£2.5m – £5mCEO
£5m – £10mCFCO and CEO / SMT
£10m – £25mSMT
>£25mBoard