Finance admin sessions

1. Finance admin sessions CFL Finance 13th & 14th November 2013

2. Guest inputs Pensions - Teachers • Diane Whyte • Vicki Langston Pensions – LGPS • Freda Townsend Audit and Governance • Helen Garvey – Audit & Governance Manager • Patrick Austwick – Deloitte Internal Audit HR/Liberata Payroll • Cathy Brearley • Suresh Uppu • Paul Fitzpatrick

3. Schedule AM 13/11/13 • 09.30 - 10.15 Finance Team • 10.15 - 10.40 Pensions – Teachers/LGPS • 10.40 - 11.00 Break • 11.00 - 11.20 Audit and Governance • 11.20 - 11.30 AOB • 11.30 - 12.00 Croydon HR / Liberata Payroll • Schedule PM 14/11/13 • 13.30 - 14.15 Finance Team • 14.15 - 14.40 Pensions – Teachers/LGPS • 14.40 - 15.00 Break • 15.00 - 15.20 Audit and Governance • 15.20 - 15.30 AOB • 15.30 - 16.00 Croydon HR / Liberata Payroll

4. Proposed finance agenda • Team update • Various • 13/14 • Funding 14/15 • AOB

5. Update on the CFL finance team • Restructure completed June 2013. • In terms of the direct support to schools there is a dedicated team under the direct leadership of the Head of Finance. • A senior schools finance advisor • Two schools finance advisors • Two finance officers

6. CFL Finance Team Structure – Autumn 2013 CFL Head of Finance 1FTE Lisa Taylor • Finance Manager 1FTE 0 • SCFS, Learning and Inclusion * • – Janet Baidoo • Finance Manager 1FTE • Educ Funding & Community and Support Services (CSS) • Ian Geary • Management Accountant 1FTE • CALAT and CSS • Jan Elliott • Management Accountant 1FTE • Funding • Ingrid Auguste • Management Accountant 1FTE • Social care & family support • Fatmata Mustapha • Management Accountant 1FTE • Social Care and Family support • Kay Oshin Management Accountant 1 FTE – consolidation -Jude Mawanda • Management Accountant 1FTE • Learning and Inclusion • Margaret Oliso • Finance Officer 0.5FTE • CALAT and CSS • Lorraine Wallace • Finance Officer 1FTE • Schools funding and pensions • Greg Boyce • Finance Officer 1FTE • Schools funding • David Morris • Finance Officer 1FTE • Schools funding • Nicholas Vargas • Finance Officer 1FTE • Social Care and Family support • Tracey Pearson • Finance Officer 1FTE • Social care and family support • Bamidele Akinfenwa Finance Officer 1FTE - Learning and Inclusion Vera Ladega • Finance Officer 0.4FTE • Funding and consolidation • Shirley Cross • Finance Support Officer 0.22 FTE • Systems • Cathy Horne • Finance Support Officer 0.36FTE • Schools funding • Sarah Pearce Senior Schools Finance Advisor 1FTE John Fennell • Finance Support Officer 1FTE • Early Years • Celda Legister Schools Finance Advisor 1FTE Jane Frith Schools Finance Advisor 1FTE Patrick Leavy Finance Officer 1FTE Louise Watts Finance Officer 1FTE Vanessa Newton Apprentice 1FTE Jessica King

7. Update on the CFL finance team – schools support • John Fennell – appointed November 2013 • Jane Frith schools finance advisor • Patrick Leavy schools finance advisor – appointed November 2013 • Ingrid Auguste reverting back to her management accountant role. Ingrid will be keeping a small number of schools and will also be available to provide back up and support when required. • Vanessa Newton finance officer • Louise Watts finance officer • Martin Dean will be leaving us at the end of this term.

8. Update on the CFL finance team – funding • Ian Geary is the finance manager leading the funding and pensions processes • The members of the team areGreg Boyce, David Morris, Nick Vargas, Celda Legister, Sarah Pearce and Cathy Horne. • They will deal with teachers pensions, the development of the funding formula for primary and secondary schools and the allocation of funds to all types of schools and PVIs. • Apprentice – Jessica King. • CIPFA Trainee – Don Robertson.

9. Update on the CFL finance team – high needs • Janet Baidoo is the finance manager leading the funding for high needs and early years • Janet will deal with development of the changes in high needs and early years funding formula to all types of provision

10. Funding Presented by Ian Geary

11. Funding Sheets…1 • This is the remittance advice for our funding payment to you each month • It shows: • Capital funding • De-delegated monies (ie expenditure taken from gross funding) • Delegated funding (both Schools Block and Early Years Block) • SEN and High Needs funding • Other grants

12. Funding Sheets…2 • Schools Block • This shows each formula factor for your school (AWPU + AEN + lump sums + rates) • This should not change during the year – it is based on pupils counted in the preceding October census (Oct 2012) • Early Years Block • This shows the early years free provision for your school • Free provision does change, based on the pro-forma returns completed each period

13. Funding Sheets…3 • High Needs Block (HNB) • For mainstream schools, this will be the top up amounts to meet the needs of statemented pupils • It is the cost over a £6,000 threshold, which is the 12 hours per week at £12.55 per hour, and will be shown per pupil • Notional funding is not extra funding: it is part of the Schools Block sums on the previous slide • Special Schools / PRUs get Place funding as well as top up funding. This is because they don’t get AWPU + AEN in the usual way • Please check the names and hours of pupils!

14. Funding Sheets…4 • High Needs monies for Out of Borough pupils: • The responsibility has now changed • Schools need to contact the other LA to get the top-up funding paid directly to the school • Pupil Premium Grant (PPG) • Again – responsibility has changed • PPG for Looked After Children is paid to responsible LA – you need to contact that LA to get funding for a CLA in your school who is not a Croydon child

15. Schools block – growth fund • This is a separate part of the schools block, agreed by Schools Forum • Provides revenue funding for:- bulge classes- expansion programmes- amalgamations- and similar instances where the funding formula doesn’t cope well with structural changes to schools • Most now funded in 2013-14, but let the team know if you think you are owed it

16. Funding 2014/2015 • Consultation held during September & October • Main changes: - mobility - prior attainment - lump sum • What is not changing is level of funding and MFG reduction of -1.5%

17. Funding 2015/2016 • Expect a national formula for primary and secondary schools and possibly some further convergence for early years and high needs. • I predict there will still be some local/regional differences but these may only be for a transition. • The Department for Education will launch their consultation early in the New Year

18. Funding 2013/2014 • Any questions about - funding sheet codes?- early years?- high needs? • De-delegation – should be thought of as expenditure, rather than lower funding • New funding: sports grant – return needed

19. Various

20. Timetable of returns

21. Balances/Deficits • Schools Forum are looking at schools with apparent excessive balances and reviewing the balance analysis produced within the year end returns • If in deficit then need to apply for a licensed deficit and follow the procedure for deficit returns

22. 3 year budgets • Schools should be projecting balanced budgets for the next 3 years • Make estimates • The HCSS FPS.web software is Croydon personalised

23. Returns • Electronic or active spreadsheet so we can pull out the data from the cells • Signed • Confusion over quarterly returns There are two - a normal quarterly return - an analysis of balances

24. Returns • Dates need to be adhered to. This is an Audit requirement and each school’s date of return is recorded and will be checked by Internal Audit. • We do issue dates in advance and many are also on the Fronter calendar and Finance Matters.

25. Returns - SFVS • Please encourage your Headteacher and Governing Body to start looking at this NOW • They must be:- updated from March 2013 do not just submit last year’s with no changes- agreed by governing body- fully signed before 31 March 2014- received by 31 March 2014 • Internal Audit check every SFVS when you are audited

26. Returns – Book B (Contracts) / Bank Statement March 2014 • Please start completing your Book B now. It is for all your contracts /SLA’s 2013/14. This is one of the most important documents in the academy conversion process so should be kept up to date. • March 2014 bank statement must be signed, scanned and returned promptly – this includes any deposit accounts linked to your main account and they both must be recorded in Book A. • Audit requirement both internal and external Thank you to all the schools that returned the audit queries promptly during the Summer.

27. Other external / internal audit queries Please ensure you do have a signed staff contract on file in school for every member of staff. If you do not have one please approach HR or see if your staff member has a copy they can bring in.

28. Setting the 2014/2015 budget • Electronic budget plans by 31 March 2014 • Signed budget plans by 1 May 2014

29. Schools.finance@croydon.gov.uk0208 760 5610

30. LGPS and Teachers Pensions Presented by Freda Townsend Local Government Pension Scheme Diane Whyte Teachers Pensions Vicki Langston Teachers Pensions http://www.croydonpensionscheme.org/ http://lgps2014.org/

31. Audit and Governance Presented by Helen Garvey

32. Information Management Helen Garvey - Audit & Governance Manager

33. Data Protection Act 1998 • The Data Protection Act 1998 (DPA) gives people rights over personal data that is held about them. • This includes all information held on paper, computer records, data bases, emails etc.

34. Is it Data? Can a living individual be identified from the data, or, from the data and other information - if yes then it is Data: Personal Data: information which relates to a living individual who could be identified from that information e.g. name, address, date of birth, employment details, housing benefit details and National Insurance number, family information etc; and/or Sensitive Personal Data: information about a living individual which indicates their racial origin, political/religious beliefs, physical/mental health, sexuality, criminal convictions or trade union membership.

35. Processing Data Personal Data: generally consent of the data subject is may not be required to process their Personal Data as long as there is compliance with the 8 Data Protection principles. Sensitive Personal Data: generally requires the explicit consent of the data subject before their Sensitive Personal Data can be processed.

36. 8 Data Protection Principles • Fairly & lawfully processed • Held & processed for limited & specifically registered purposes • Adequate, relevant & not excessive • Kept accurate & up to date • Kept for no longer than is necessary • Processed in line with data subject’s access rights • Kept secure against unauthorised access, loss, disclosure or destruction • Not transferred outside of the E.U. without an adequate level of protection

37. Points to consider… • Has your school got an up to date information management policy? • Do you have a record retention schedule for schools? • How long do you keep data for? • Who can access pupil data (particularly data not currently in use)?

38. Points to consider… • Is personal data securely destroyed? • Do you use encrypted memory sticks and laptops only? • Do staff email personal data to their personal email accounts? • Do you use data only for the purposes you are registered for? • How would you report data loss?

39. Subject Access Request (SAR) • Any data subject can request information held about them from a data controller - this is called a SAR. • All requests must be in writing and there is a statutory fee of £10 for each request; and a reply must be provided with 40 days of the request subject to applicable exemptions in the Act. • Third Parties - (member of the family, solicitor etc) acting on behalf of a data subject requests information on their behalf. Check!

40. Wrongful disclosure • A data controller will be in breach of Data Protection rights owed to any data subject, where their personal data is disclosed to a third party without the requisite consent. • Where this happens, an individual can lodge a complaint with the Information Commissioner’s Office (ICO) and can also go to court to seek damages for breach of their Data Protection rights.

41. Education (Pupil Information) (England) Regulations 2005 (EPIR) • In addition to DPA, pupils and parents also have separate rights to access to the Educational Record under - EPIR. • The definition is wide and includes any information about current and past pupils that is processed by or for a school’s governing body or teacher. • It includes a 'curricular record', defined in Section 4 of the Regulations as a formal record of a pupil’s academic achievements, other skills and abilities and progress in school. Except for information the teacher has solely for their own use.

42. Education EPIR Under the EPIR information may be withheld if it relates to: • information which might cause serious harm to the physical or mental health of another individual • Cases where the disclosure would reveal a child is at risk of abuse • Information about third parties • Information contained in adoption and parental order records • Information given to a court in proceedings under the Magistrates’ Courts (Children and Young persons) Rules 1992 • Copies of examination scripts; providing examination marks before they are officially announced

43. EPIR • Not all information about pupils is contained in their educational records. • Where a request is made under DPA, a pupil or parent will be entitled to all the information (subject to exemptions) relating to the pupil and this is not limited to the educational records. • Requests - in writing to the Board of Governors. Records should be made available for inspection parent free of charge within 15 days of the request being made. • Where a request for copies of these records is made should be disclosed within 15 days following payment of fee - 1 to 19 pages, £1.20; 29 pages will cost £2; maximum of 500+ pages £50.

44. Words of warning Every e-mail sent, every note on a piece of paper etc could fall within the remit of these pieces of legislation. It is not where the information is held that is important i.e. e-mails sent via personal email addresses about school business are also covered. The preventing disclosure following a request may in the given the circumstances be a criminal offence.

45. Enforcement Failure to comply with any part of these pieces of legislation may lead to a complaint being made to the Information Commissioner’s Office (ICO), who may choose to investigate; possibly resulting in an Enforcement notice requiring the School to take remedial action. Failure to comply with an Enforcement Notice may result in the ICO referring the matter to the High Court - who can choose to treat the matter as a contempt of court.

46. When things go wrong… • Brent Council's data loss gaffes revealed • A civil liberties protection group has revealed a catalogue of personal data loss gaffes by Brent Council. • Other incidents in Brent include: • - Brent Council documentation stolen from an employee's car. • - Brent data found on a 'highway' in recycling bags • - Brent meeting minutes sent to wrong parent • - Documents sent to wrong recipients in post A receptionist who unlawfully obtained her sister-in-law’s medical records in order to find out about the medication she was taking has been found guilty of an offence under section 55 of the Data Protection Act. She was given a two year conditional discharge and ordered to pay £614 prosecution costs. ICO fines Surrey County Council for data breaches Surrey has been fined £120,000 by the ICO for a "serious breach" of the DPA after sensitive personal information was emailed to the wrong recipients on three occasions.

47. Where to find Guidance Data Protection - http://www.ico.gov.uk/for_organisations/data_protection.aspx Educational Records - http://www.ico.gov.uk/for_the_public/topic_specific_guides/schools/pupils_info.aspx General Guidance for Schools - http://www.ico.gov.uk/for_organisations/sector_guides/education.aspx

48. Thank you! Governance@croydon.gov.uk 0208 7605489

49. Croydon HR / Liberata Payroll Presented by Cathy Brearley Suresh Uppu Paul Fitzpatrick