Northern Ireland Education & Library Boards. Assessment of Best Practice in Schools

Transcription

1 Northern Ireland Education & Library Boards Assessment of Best Practice in Schools May 2012

2 Assessment of Best Practice in Schools Introduction This revised booklet has been developed by Education and Library Boards (ELBs) to assist Principals in fulfilling their role as school managers and at the same time give reassurance to ELBs and others that best practice is being carried out in their schools. As before, the questionnaire mirrors the key functions included in the formal school audit review and is being issued to assist Principals and Governors in the effective management of their schools. By completing the document Principals and Governors will be able to reassure themselves and others of their application of best management practice and also identify areas where they feel further assistance and advice would be useful. To assist in this process a copy of the completed document should be returned to the Head of Internal Audit together with the signed declaration. Internal Audit will review the document to confirm examples of best management practice and to provide assistance and support where this is required. This may be achieved through the supply of policies and procedures or by visiting the school if required. The assessment should only need to be completed once during the term of office of the Board of Governors, supported by an annual declaration that the best management practice continues to be applied. Further guidance may also be provided should there be significant changes to the responsibilities of the Principal and/or the Board of Governors during the term of the office. If there are any issues that you wish to discuss or if you require further assistance please do not hesitate to contact Alan McClurg at or Alan.McClurg@belb.co.uk Jonathan Adams Head of Internal Audit Belfast Education and Library Board 40 Academy Street Belfast BT1 2NQ

3 DECLARATION I understand that under the Scheme for the Local Management of Schools I have responsibility for ensuring that an effective system of internal control is maintained and operated within the school. The system can provide only reasonable and not absolute assurance that: good practice procedures are carried out; assets are safeguarded; transactions are authorised and properly recorded; and material errors or irregularities are either prevented or would be detected within a timely period. I declare that the responses given in this assessment are correct to the best of my knowledge. Name of School: Principal: Print Name: Signature: Date: Chairperson of the Board of Governors: Print Name: Signature: Date:

4 TABLE OF CONTENTS SECTION Page No. 1 CORPORATE GOVERNANCE 1 2 FINANCIAL MANAGEMENT 3 3 ASSET MANAGEMENT 4 4 PROCUREMENT 5 5 SECURITY AND INTEGRITY OF DATA AND OTHER INFORMATION 6 6 HUMAN RESOURCES MANAGEMENT 8 7 INCOME 10 8 PETTY CASH 11 9 PRIVATE SCHOOL FUNDS USE OF CREDIT CARD WITH PRIVATE SCHOOL FUNDS USE OF PREMISES MILK AND MEALS TRANSPORT CHILD PROTECTION HEALTH AND SAFETY ALTERNATIVE/ADDITIONAL FUNDING SCHOOL CENSUS 29

5 1. CORPORATE GOVERNANCE ISSUE: Procedures should be in place to ensure that management and control structures established within the school, including the levels of responsibility, associated delegation of duties and performance monitoring are satisfactory 1.1 Does the Board of Governors produce an Annual Report? 1.2 Please enter the date of approval by the Board of Governors: Date: 1.3 Is the Board of Governor s Annual Report made available to parents and staff? 1.4 Does the school have a Development Plan and has it been approved by the Board of Governors? 1.5 Please enter the date of approval by the Board of Governors: Date: 1.6 Have key objectives and associated targets and resource allocations been clearly set out within the Plan or other related documents and have these been approved by the Board of Governors? 1.7 Is there evidence of periodic review and corrective action, if necessary, by the Board of Governors? 1.8 Has the Board of Governors issued a statement of the school s curriculum policy? 1.9 Has this policy been reviewed within the past 24 months? 1.10 a) Is there a system in place for the Principal and Staff to regularly meet parents of pupils and discuss progress? b) Does the Principal regularly meet staff to discuss issues affecting the school? c) Does the Board of Governors receive regular reports from the Principal on such matters? 1.11 Do the minutes of the Board of Governors meetings meet the requirements of Article 62 of the Scheme for Management? 1.12 Is a system in place to supply a copy of the minutes to the board in accordance with the Scheme for Management? 1.13 Does the Annual Report include the following as required by the Scheme for Management:- a) An LMS outturn statement? b) The names of each member of the Board of Governors and their category of membership? c) The date of termination of office of the Board of Governors? d) Identifies the Chair and Vice-Chair of the Board of Governors and it s Secretary? e) Details of private school funds, gifts or bequests? f) Details of the application of other monies received by the school? 1

6 g) Arrangements made for the security of pupils, staff and school premises? h) Arrangements made for special education and disabled pupils? 1.14 Have members of the Board of Governors been trained on the operation of Performance Review and Staff Development (PRSD)? 1.15 Has PRSD been appropriately implemented within the school? 1.16 Have relevant objectives and performance targets been set for the Principal and Vice Principals within the PRSD? 1.17 Do Governors complete an annual review of performance and is this used to determine pay increments for Principals and Vice Principals? 1.18 Has a register of interests for Governors been established? 1.19 If an interest is declared is this properly recorded in the register and the minutes of the meeting at which the declaration was made? 1.20 Is the register of interests reviewed annually by the Chairman? 1.21 Has a register of interests been established by the Principal for relevant staff? 1.22 Is the register reviewed annually? 1.23 Is a whistleblowing policy in place and has a copy been made available to all staff? 1.24 Does the school have an incident log where significant occurrences are recorded and which can be used to demonstrate that appropriate action has been taken? 1.25 Does the Board of Governors receive a report of all significant occurrences? 1.26 Has the Board of Governors formally delegated responsibility for administration of the Schools Salary Policy to a properly constituted Finance Sub-Committee? 1.27 Are salary appeals heard by a Salary Appeals Committee? 1.28 If so, is the Salary Appeals Committee comprised of Governors not involved in the original salary decision? 2

7 2. FINANCIAL MANAGEMENT ISSUE: The Board of Governors should have strategic control over financial management to ensure that expenditure plans reflect the school s aims and objectives, actual against budgeted expenditure is within accepted parameters, expenditure records are properly updated in a timely manner and best value for money is achieved. 2.1 a) Has the Board of Governors formally delegated the operational responsibility for the finances of the school to a properly constituted Finance Sub Committee with an appropriate Terms of Reference? b) Was this recorded in the minutes? 2.2 a) Has the Board of Governors formally delegated day to day financial management and expenditure control to the Principal within an appropriate limit on delegated authority? b) Has this been formally stated in a statement of delegated authority approved by the Board of Governors? 2.3 Is the School Development Plan formally linked to the Financial Plan/Budget in a manner which focuses resources on priority objectives? 2.4 a) Is the reconciliation process between the C2K system and the Board expenditure report performed regularly? b) Is it done monthly? 2.5 a) Is a General Ledger Fund Review report produced every month? b) Is this used to monitor the budget? 2.6 Are the Trial Balance, Transaction List, Reconciliation Reports etc. completed and retained at the school? 2.7 a) Is the Board of Governors or Finance Sub Committee presented with copies of the monthly spending and actual v budget reports for their information and approval? b) Does this information include forecasts of likely outturn at year end and details of any corrective action which the Board of Governors may need to take to remain within budget? Does the Board of Governors review and confirm Period 12 Financial Reports? 2.8 a) Does the school have a deficit or surplus budget greater than 5%? b) If Yes, has the Board of Governors produced an action plan to reduce this to below 5% within an acceptable timeframe? 2.9 Have all staff involved in operating and maintaining the financial systems of the school been properly and adequately trained? 3

8 3. ASSET MANAGEMENT ISSUE: Schools often have attractive or portable items of equipment and supplies. Arrangements should be in place to identify attractive and portable items of equipment as school property and to ensure that the location of all equipment and supplies is recorded 3.1 Are formal inventory records maintained using: a) the C2K inventory module? b) other computer application; or c) in book form? 3.2 Are the following details recorded: a) Description b) Serial Number c) Source of funding (i.e. delegated budget, school funds) d) Location e) Purchase Date f) Purchase Cost 3.3 Is the inventory record updated upon receipt of new or disposal of obsolete equipment? 3.4 Is access to modify the inventory restricted to authorised staff only? 3.5 Are all attractive or portable items and those with a value in excess of 50 identified with a security mark as belonging to the board/school? 3.6 Is there a record for equipment borrowed by pupils and / or staff? 3.7 Does the school have a policy on borrowing equipment and are all loans in compliance with the policy? 3.8 a) Is an official form completed for all items awaiting sale or disposal? b) Are items approved for sale or disposal held securely until they are uplifted? c) Are these items appropriately signed out of school on hand over and paperwork retained to form the necessary audit trail? d) Is there a nominated officer with the responsibility for ensuring that any credit due to the school from the sale of assets is received? 3.9 Is the integrity of the inventory record monitored regularly and signed by the Principal and verified annually by the Board of Governors? 3.10 Has the school appropriate licences for all software used in the school? 4

9 4. PROCUREMENT ISSUE: Proper procedures for the placing of orders and payment for goods and services should be in place to ensure that adequate division of duties exist and to ensure that the requirements of the Board s LMS scheme have been fully complied with. 4.1 Has the school adopted the procurement practices contained in the LMS Scheme - Regulations and Procedures manual or developed in house written procedures which have been issued to staff? 4.2 Are key staff properly trained on the procurement process? 4.3 Is there adequate segregation of duties to ensure that no one person is responsible for ordering, receipt of goods and payment of invoices and updating of inventory? 4.4 Is proper safeguard given to authorisation passwords? 4.5 Are all purchase orders marked with the LMS stamp and signed to confirm the order is properly authorised? 4.6 Are official LMS requisitions always issued for goods and services? 4.7 Are confirmation orders issued to suppliers after goods have been ordered by telephone, etc? 4.8 Are all purchases made from the Board s list of approved suppliers? 4.9 Where the value is over 1,500 are the Board s standing orders complied with in respect of quotations and tenders? 4.10 If the school does seek quotations does it fully comply with the quotation procedure as documented in the LMS Financial Procedures Manual? 4.11 Are delivery notes checked against the original purchase order? 4.12 Are goods received checked against delivery notes before they are signed? 4.13 Is the inventory record updated to record any new purchase of valuable or desirable goods before the invoice is passed for authorisation? 4.14 Are quotations, purchase orders, delivery notes, copy invoices and payment authorisation documentation retained at the school for at least 6 years + the current year? 4.15 Are cancelled/spoiled orders retained at the school for at least 2 years? 4.16 Are orders, which are outstanding and over six months old, reviewed and removed from the C2K system where necessary? 4.17 Are all invoices date stamped upon receipt and promptly forwarded to the Board to permit payment within the prompt payment target of 30 days from receipt of invoice? 5

10 5. SECURITY AND INTEGRITY OF DATA AND OTHER INFORMATION ISSUE: The processing, storage, retention and destruction of data and other information should be secure, reliable and compliant with relevant legislation. 5.1 Has the Principal or C2K Coordinator defined and authorised the access rights for staff for all modules? 5.2 Do the access rights enforce adequate separation of duties? 5.3 Are the access rights reviewed and updated whenever necessary? 5.4 Has each user a different ID and password? 5.5 Are procedures in place to ensure that the passwords are kept confidential? 5.6 Are procedures in place to ensure that passwords are changed regularly? 5.7 Do third party contractors ever require access to the C2K system? 5.8 If so, is access restricted, where possible, on a "need to know" basis? 5.9 Are they issued with individual usernames and passwords which are specific to them? 5.10 If not, are they given the username and password of the Principal or other member of staff? 5.11 Do you perform a daily backup to DAS device of both Curriculum data and SIMS data on the C2K system? 5.12 Are the DAS devices rotated in accordance with C2K guidelines? 5.13 Is the unused DAS device stored in a fireproof safe or secure location separate from the NAS device? 5.14 Has the school renewed its Data Protection notification in the past year? 5.15 Please record your Registration Number: Reg No: 5.16 Are the Principal and Board of Governors aware of and fully meet their specific responsibilities under the Freedom of Information Act? 5.7 Are the Principal and Board of Governors aware of and fully meet their specific responsibilities under the Data Protection Act? (Advice from the Board FOI/DPA Officer is available if required) Are personal or sensitive records held securely when not in use? 5.19 Does the Board of Governors receive an annual assurance that all personal records and sensitive data are securely destroyed as soon as it is no longer needed? 5.20 Does the school have laptops and external storage devices eg USB memory pens, CDR/W, external hard-drives? 5.21 Is personal data stored or processed on any of the devices? 5.22 Are all laptops and external devices encrypted and password protected? 6

11 5.23 Are staff given guidance on what devices they should use and what security precautions they should take when using either laptops or external devices outside the school environment? 5.24 Are laptops and other devices stored securely when not in use? 5.25 Are all laptops and devices regularly inspected and cleaned to remove personal data when no longer required? 5.26 When hardware or external devices become obsolete and no longer useable are they disposed of through the board? 5.27 Are paper records, reports or forms containing personal or sensitive data stored securely at all times? 5.28 Are paper records, reports or forms containing personal or sensitive data disposed of in accordance with the DE Disposal Schedule and in compliance with the DP Act? 5.29 Have staff been trained or been given written guidance in respect of handling, storage and secure disposal of personal or sensitive data? 7

12 6. HUMAN RESOURCES MANAGEMENT ISSUE: Staff are the most important and expensive resource funded from a school s budget. Systems should be in place to ensure that:- a) an effective and sustainable staffing structure is maintained; b) staff are properly remunerated, trained and developed. 6.1 As part of the annual budget setting exercise does the Board of Governors consider the efficiency and affordability of the staffing structure, taking current and projected enrolment into account, and confirm the 3 year rolling School Financial Plan? 6.2 Is their decision formally recorded in the minutes? 6.3 Is the cost of the staffing structure monitored in-year through use of the monthly financial reports? 6.4 Has all staff savings identified in the 3 year Action Plan been secured? 6.5 Does the Principal review and authorise timesheets: a) For teaching staff? b) For Non-teaching staff? c) Is this function delegated to another authorised signatory? 6.6 a) Do members of staff authorise their own timesheets during holiday periods? b) Are these entries independently verified at the time or retrospectively? 6.7 Has a health, safety and welfare risk assessment for each post in the school been carried out? 6.8 Has a whole school staff training needs analysis and delivery plan been completed? 6.9 Does each member of staff maintain a training and development log? 6.10 Does the Principal monitor performance to ensure that each member of staff has been properly trained and equipped to carry out their work safely, professionally and competently? 6.11 Have any training needs gaps been referred to the board where appropriate? 6.12 Does the Board of Governors regularly receive and consider a training performance and needs report? 6.13 Has the Board of Governors received training in the appointment, termination or disciplining of staff? 6.14 Has the Board of Governors adopted the Managing Attendance at Work policy and Teacher Attendance Procedure? 6.15 Do the Board of Governors receive regular reports on teachers' sickness absence? 8

13 6.16 Are return to work interviews always held? 6.17 Are return to work forms completed for all non-teaching members of staff on their return from sickness? 6.18 Do teachers complete a Self Certification Certificate to cover the first 7 days of any absence through sickness? 6.19 Does the school maintain contact with members of staff during illnesses? 6.20 Does the School effectively monitor sick pay and verify that the beginning of half and no pay is properly reflected in the monthly finance reports? 6.21 Has a governor been designated with responsibility for health, welfare and attendance 6.22 Please record the name of designated Governor: Name: 6.23 Is attendance management a standard agenda item at Board of Governor meetings? 6.24 Are appropriate arrangements in place to monitor the remuneration and performance of substitute teachers? 6.25 Are timely referrals made to Occupational Health when appropriate? 9

14 7. INCOME ISSUE: Cash is a vulnerable asset which must be adequately protected and accounted for. The system in place should ensure that written procedures are provided to control cash handling and require adequate segregation of duties and supervision of staff. 7.1 Where individual members of staff receive monies is a record kept of all monies received? 7.2 Where are cash receipts held prior to lodgement? (You can tick more than one if appropriate) a) Locked safe b) Locked filing cabinet c) Locked cash box d) Other (please state below) 7.3 Are separate staff members responsible for the collection and banking of monies? 7.4 Are regular and timely lodgements made to the bank or post office? 7.5 Does another member of staff independent of the process (preferably the Principal) :- a) reconcile the records of sums received with the sums recorded on the bank lodgement slips b) reconcile the sums recorded on the bank lodgement slips with the sums recorded in the monthly school budget reports 7.6 Have cash handling procedures been issued to and acknowledged by all relevant members of staff? 7.7 Has appropriate training been provided to all persons involved with the collection, recording, lodging and reconciling of income? (Advice on procedures is available from Internal Audit). 7.8 Are receipts always provided and securely retained together with invoices and financial documentation for 7 years? 10

15 8. PETTY CASH SSUE: Petty cash should only be used for approved purposes in a safe, secure and verifiable manner. 8.1 Does the school have a petty cash float? If no, please go to next section. 8.2 Is the petty cash float operated from: a) the LMS budget b) private school fund (Please record the value of the allocated float) 8.3 Is the float operated in accordance with Chapter 6 of the Financial Procedures Manual? 8.4 Is the cashing of personal cheques through petty cash prohibited? 8.5 Are staff allowed to borrow money from the float for personal use? 8.6 If the petty cash float is funded from the private school account, are cash receipts used to top-up the float rather than being lodged to the bank account? 8.7 Is a cash book maintained for all petty cash income and expenditure? 8.8 Are reimbursements limited to minor items of expenditure? 8.9 Are petty cash receipts for all reimbursements always provided? 8.10 Is the petty cash float secured when in use? 8.11 Please select the relevant means of security from the list below: a) Locked Safe b) Locked Filing Cabinet c) Locked Cash Box d) Locked drawer e) Other (please detail) 8.12 Where is the petty cash float secured when not in use: a) in a locked safe? Or b) filing cabinet? Or c) Other (please detail) 8.13 How often is the petty cash float reconciled? 8.14 Is the reconciliation completed by someone other than the person in charge of the petty cash float? 11

16 8.15 Are requests for petty cash reimbursements authorised by :- a) the Principal? b) other independent member of staff? 8.16 Has appropriate training and written guidance been provided to all persons responsible for the administration of the petty cash system? 12

17 9. PRIVATE SCHOOL FUNDS ISSUE: School fund accounts should be prepared, independently reviewed and submitted for the approval of the Board of Governors on a regular basis and adequate cash handling and book-keeping procedures should be applied to school fund transactions. 9.1 How many school private fund bank accounts exist? (Please record) No of Accs: 9.2 Do all bank accounts carry the name of the school? 9.3 Have cash handling procedures been issued to and acknowledged by all relevant members of staff? 9.4 Are the school fund accounts administered and all monies dealt with in accordance with established procedures and guidance? 9.5 a) Are all monies held centrally? b) If not, please state below where monies are held and by whom? Where: By Whom: 9.6 Is all money received fully recorded and receipts issued? 9.7 Is all income received lodged to the school private fund bank account(s)? 9.8 How is income secured? Please tick as appropriate. a) Locked Safe b) Locked Filing Cabinet c) Locked Cash Box d) Locked drawer e) other (please detail): 9.9 Is a spreadsheet/ledger maintained to record all income and expenditure associated with the private fund account(s)? 9.10 Are regular and timely lodgements made to the bank, building society or post office? 9.11 Is more than one signature required on each cheque? 9.12 Are requests for purchases approved in advance by:- a) the Principal? b) other independent member of staff? 9.13 Are cheque payments from private school fund used to make large individual purchases in respect of equipment or educational visits? 9.14 a) Are payments due to individuals providing services to schools made through the Board s payroll system? b) If not, has the individual provided an Inland Revenue self-employed certificate? 9.15 Is there adequate segregation of duties in the administration of school funds? 13

18 9.16 Are receipts always provided and securely retained together with invoices, bank statements, spreadsheets and ledgers for 7 years? 9.17 Does another member of staff independent of the process (preferably the Principal):- a) reconcile the records of sums received with the sums recorded on the bank lodgement slips b) reconcile the sums recorded on the bank lodgement slips with the sums recorded in the school spreadsheet/ledger c) reconcile the sums recorded in the school spreadsheet/ledger with the monthly bank statement 9.18 Has appropriate training and written guidance been provided to all persons responsible for the administration of the private fund account system? 9.19 Are income and expenditure accounts prepared for each private fund account? 9.20 Is each account independently audited? By whom? (Please record) Name: 9.21 Is each account and audit certificate presented to the Board of Governors for their information and recorded in the minutes? Date of Presentation: (Please record) Date: 9.22 Are these accounts or a statement of the outcome of the audit included in the annual report in accordance with the Scheme of Management? 14

19 10. USE OF CREDIT CARD WITH PRIVATE SCHOOL FUNDS ISSUE: The procurement of a school credit card should be formally approved by the Board of Governors. The system in place should ensure that written procedures are provided to control the issue and security of credit cards, approved transactions and internet purchases and record keeping Does the school have a: a) credit card? Or b) debit card? Or c) both a credit and a debit card? If no, please go to the next section How many cards are there in operation? a) One b) Two c) Three or more 10.3 If more than three please indicate number below: Number of cards: 10.4 Has the application for the procurement of a credit card been formally approved by the school s Board of Governors and recorded in the minutes? Please record the date of approval by the Board of Governors. Approval Date: 10.5 Has the application for the issue of individual cards been approved by the school s Board of Governors? Please record the date of approval by the Board of Governors: Approval Date: 10.6 Has a copy of the Board s Credit Card guidance and appropriate training been provided to:- a) all persons authorised to use the card; b) all persons responsible for the administration of the credit card system 10.7 Has each cardholder signed the appropriate agreement form? 10.8 Does the Principal maintain a register of cardholders detailing the name of cardholder, card number, valid period, date issued, business limit and date returned Has the Principal/Board of Governors set: a) a monthly limit per card, and b) an individual transaction limit? Please record below: a) The approved monthly limit b) The approved limit per individual purchase 15

20 10.11 Are credit cards used for personal purchases? Are cardholders prohibited from making cash withdrawals using the credit card? Are credit cards and PIN numbers retained securely and separately? Where is the card secured when not in use? (please detail below) Location: Please record who has access to the card. Names: Position: Is each user of the credit card aware of the procedure to be followed in the event that the school credit card is lost or stolen? Are requests for each use of the credit card authorised by:- a) the Principal? b) other independent member of staff? Are credit card receipts always provided and securely retained together with invoices, statements and financial documentation for 7 years? Is there adequate segregation of duties in the administration of the credit card system? Does another member of staff independent of the process: a) reconcile purchase receipts to expenditure details as per the monthly credit card statement? b) reconcile expenditure details, as per the monthly credit card statement, to the records of expenditure on the school spreadsheet/ledger? c) reconcile the monthly total on the credit card statement to the direct debit records on the bank statement? Are records held to record each use of the credit card to ensure the current spend is within the credit limit? Has a direct debit been established to pay the full balance outstanding each month? Has card protection insurance been taken out to minimise the financial risk to the school fund in the event of card theft or fraudulent use of the card details? 16

21 11. USE OF PREMISES ISSUE: The use of school premises by outside organisations is suitable, authorised, properly recorded and invoiced and paid for Are school premises used by outside organisations? 11.2 Are applications for use of facilities always made on an official UF1 form? 11.3 When application is made to the school by outside parties are all applications authorised by the Principal and Board of Governors? If not please explain exceptions below:- Exceptions: 11.4 Are rates charges reviewed annually and approved by the Board of Governors? 11.5 Is full cost recovery at least the minimum return required? 11.6 Is use of premises permitted at no cost for community or charitable purposes? If Yes, please provide details below:- Details: 11.7 Does the user always provide evidence of insurance cover for each period of use? 11.8 Are all bookings invoiced by: the school? the board? 11.9 If school invoices, is VAT charged? Is all money received lodged to the Board? If not, please detail below how receipts are treated:- Details: Is there a system to reconcile income against invoices? Are the terms of payment clearly stated on the invoice? Are debts always pursued? Are there currently any debts overdue by more than 3 months? Does the Board of Governors regularly review the level of income achieved against initial projections and targets? 17

22 12. MILK & MEALS ISSUE: The EC milk subsidy scheme should be operated in accordance with established rules and procedures. Controls in respect of income from both school meals and milk should be sufficiently robust to prevent or minimise the risk of loss through fraud or theft Is the EC milk subsidy scheme operated within the school? 12.2 Are MK1 subsidy claims always correct and substantiated? 12.3 Is income collected, recorded and lodged in accordance with board procedures? 12.4 Does income lodged agree with the records of deliveries made to the school? MEALS 12.5 Please indicate the system operated in respect of school meals: Tickets/Passes Meals Register Cashless System Cash Cafeteria 12.6 Do you perform a reconciliation of meals ordered to meals served? 12.7 If, so how often is reconciliation performed: a) Daily? b) Weekly? c) Monthly? 12.8 Are any discrepancies investigated immediately? 12.9 Are separate members of staff responsible for the collection and banking of school meals income? How frequently is school meals income lodged: a) Daily? b) Weekly? c) Monthly? Where is school meals income held prior to lodgement: a) Safe? b) Locked cabinet? c) Locked drawer? Are school meals paid for in advance of the meal being provided? Have the BOG and Principal developed a procedure for dealing with nonpayment of school meals monies by parents/guardians in accordance with Board procedures? 18

23 12.14 Do you notify the Board's Cashiers Section of any difficulties experienced in relation to the non payment of school meals monies? 19

24 13. TRANSPORT ISSUE: To ensure that Basic minibus operating requirements are being complied with. Effective control is exercised over the issue of bus passes. Only approved providers of transport are used Does the school have a minibus? If no, please go to question Does the minibus have seat belts and forward facing seats? 13.3 Are records of minibus usage maintained? If yes, are these records regularly monitored by a senior member of staff? 13.4 Are pupils charged when travelling in the minibus? If yes, is the appropriate permit held? 13.5 Are minibus operating costs paid from:- a) LMS budget? b) private school funds? 13.6 Is income from the minibus lodged to a) LMS budget? b) private school funds? 13.7 Is there adequate insurance cover for the operation of the minibus? 13.8 Does the school use private hire transport? If no, please go to question Does the principal verify that those firms used to provide transport are on the list of approved users provided by the transport office? Are any pupils at the school issued with bus passes? If no, please turn to section Are the bus passes held securely at the school before issue? Are procedures in place to reclaim passes from leavers and return unused passes to the transport section of the board? 20

25 14. CHILD PROTECTION ISSUE: To ensure that schools have taken appropriate measures to safeguard and promote the welfare of children and protect them from abuse and neglect Does the school have a child protection policy? 14.2 If yes, is the policy reviewed annually and approved by the Board of governors? 14.3 Please record the date of approval by the Board of Governors Approval Date: 14.4 Have all staff and parents been made aware of the policy? 14.5 Have the designated and deputy designated teacher had appropriate Child Protection training from ELB's or CPSSS to enable them to carry out their duties? 14.6 Has the Principal also received this training? Please provide the names of the designated teachers below: 14.7 Have all teaching and non-teaching staff received appropriate training in child protection procedures from either the designated or deputy designated teacher? 14.8 Have all members of the Board of Governors received child protection awareness training from the board? 14.9 Do management at the school provide a report of child protection issues and activities to the Board of Governors on a timely basis? Are confidential records of child protection issues (as stated in CPSSS guidance) within the school held securely? Does the school maintain a code of conduct for all adults working within the school? If yes, has this been approved by the Board of Governors and communicated to all adults working within the school? Does the Principal contact Human Resources to have temporary, casual and volunteer staff vetted by Access NI? 21

26 15. HEALTH AND SAFETY ISSUE: To assess whether schools have adequate safeguards in place to mitigate against the risk of injury or death of pupils and/or staff. Health & Safety Policy/Procedures 15.1 Has the school adopted the boards or CCMS Safety Policy? 15.2 If yes, is this policy fully implemented throughout your school? 15.3 Please record the date of approval by the Board of Governors below: 15.4 Does the school have a health and safety manual? 15.5 If yes, are all relevant staff familiar with its contents? Exceptional Closures due to Severe Weather 15.6 Has an action plan been drawn up to assist with decision making process in the event of severe weather, power failure or other conditions which might impact on the safety of pupils and staff? 15.7 Please record the date of approval by the Board of Governors below: 15.8 Has this been communicated to staff, parents and other key parties? 15.9 Does the plan include an up to date list of key contacts and a communications strategy which provides an efficient and effective means of informing parents and children of any unplanned school closure? Fire/Emergency Evacuation Does your school have Emergency Response Guidelines from which an emergency plan has been formulated? Does your school have Fire/Emergency Evacuation Procedures? If yes, are these procedures documented, communicated to all staff and pupils and located in prominent positions in the school? Have staff been identified as marshals with roles and responsibilities for coordinating the fire/emergency evacuation of school premises? Have fire/emergency evacuation and assembly points been identified and clearly communicated to all staff and pupils? Are regular evacuation drills carried out, monitored, results recorded and acted on? Are fire doors and exits clearly identified and kept clear of obstructions? Is the fire alarm system regularly tested? Are all fire alarm points regularly checked and do they have clear instructions for their use? Are the appropriate fire extinguishers in place at the school with instructions for their use? Are all fire extinguishers regularly tested? 22

27 First Aid Does the school have a first aid policy? Please record the date of approval by the Board of Governors below: Does this policy cover the administration of first aid and of prescribed medication? Has the policy been communicated to all staff and parents? Does the policy cover the roles and responsibilities of all designated first aiders? Does the school have designated first aiders? If so, how many? (Please record) Do the designated first aiders at the school have valid (within the past 3 years) first aid certificates? Are they updated as and when necessary? Are adequate first aid materials available within the school and are these replenished when necessary? Are all designated first aiders clearly identified on notice boards throughout the school? Are arrangements in place for the recording of accidents and any first aid given? Security Are arrangements in place at the school for the security of pupils, staff and premises (incl. access control, door security, intruder alarm, visitor control)? Has your school completed the security risk assessment found in Appendix1 of Security and Personal Safety in Schools? Safety Equipment/Clothing (Where applicable) Are the safety equipment/clothing requirements of the school identified and made available? Is all safety equipment/clothing regularly checked and repaired or replaced when necessary? Is management satisfied that all employees are appropriately trained and have the necessary qualifications to use equipment and machinery? Hazardous Substances (Where applicable) Is management satisfied that the requirements of the Control of Substances Hazardous to Health regulations 2002 (COSHH) are being complied with? General Is portable electrical equipment routinely inspected and deemed safe to use? 23

28 15.38 Is a record maintained detailing those pupils with special medical, allergy or dietary conditions? 24

29 16. ALTERNATIVE/ADDITIONAL FUNDING ISSUE: Any school in receipt of alternative sources of funding should have adequate systems of control in place to mitigate against the risk of loss through inefficiency, waste or fraud Has the school applied for and received money from any external funding bodies? (other than your local ELB) If Yes, please complete paragraphs 16.2 to below and repeat questions located on pages for each additional source of funding. (If No, please go directly to Declaration.) 16.2 Please state the source of funding (e.g. Peace & Reconciliation, Lottery funding etc): 16.3 If so, how much funding was received? 16.4 Was the application for funding made through your ELB? If not, is your ELB aware of the funding / source? 16.5 Was the application for funding formally approved by BOG? If so when? (Please record the date of approval) 16.6 Please provide details of the funded project:- a) Funding Body: b) Project Objectives: c) Project Start Date: 16.7 Has a new bank account been opened for the duration of the project and funds lodged to it? a) Location of bank account: b) Name of Account: c) Account number: 16.8 Who maintains the account records? (Please records) 25

30 16.9 Are at least 2 signatories required to make payments or withdrawals from the account? Who are the cheque signatories? (Please record) Does the BOG receive a report on the achievement of project objectives and overall benefits secured by the funding? As part of the terms and conditions of funding, has the school to provide the funding body with a post-project evaluation report? Does the report outline: (a) Extent to which objectives have been achieved? (b) Strategies which proved successful? (c) Areas of difficulty? (d) Future plans? (e) Record of expenditure? Have you received any written financial procedures or instructions on governance requirements for the funding received? If not, have you been applying the LMS financial and operating procedures? Is the school required to produce accounts for the alternative funding? Does your funding body require an Annual Audit Certificate? Does the funding provided include provision for the recovery of relevant administration, operating and audit costs? If so, are these costs recovered and credited to the school budget? 26

31 Funding Please state the source of funding (e.g. Peace & Reconciliation, Lottery funding etc): 16.3 If so, how much funding was received? 16.4 Was the application for funding made through your ELB? If not, is your ELB aware of the funding / source? 16.5 Was the application for funding formally approved by BOG? If so when? (Please record the date of approval) 16.6 Please provide details of the funded project:- a) Funding Body: b) Project Objectives: c) Project Start Date: 16.7 Has a new bank account been opened for the duration of the project and funds lodged to it? a) Location of bank account: b) Name of Account: c) Account number: 16.8 Who maintains the account records? (Please records) 16.9 Are at least 2 signatories required to make payments or withdrawals from the account? Who are the cheque signatories? (Please record) 27

32 16.11 Does the BOG receive a report on the achievement of project objectives and overall benefits secured by the funding? As part of the terms and conditions of funding, has the school to provide the funding body with a post-project evaluation report? Does the report outline: (a) Extent to which objectives have been achieved? (b) Strategies which proved successful? (c) Areas of difficulty? (d) Future plans? (e) Record of expenditure? Have you received any written financial procedures or instructions on governance requirements for the funding received? If not, have you been applying the LMS financial and operating procedures? Is the school required to produce accounts for the alternative funding? Does your funding body require an Annual Audit Certificate? Does the funding provided include provision for the recovery of relevant administration, operating and audit costs? If so, are these costs recovered and credited to the school budget? 28

33 17. SCHOOL CENSUS ISSUE: To ensure that funding at the school is in accord with all relevant statistical data at the census date 17.1 Are pupils attendance records complete and accurate at all times? 17.2 Does the principal ensure that the annual statistical return is an accurate reflection of the pupil numbers enrolled at the school on the census date? 17.3 Does the principal verify that the numbers of pupils per the budget statement agrees to the number submitted by the school on the census date? 17.4 Does the school ensure that the annual statistical return accurately reflects the number of Newcomer pupils in attendance and requiring additional support? 17.5 Does the school ensure that the Mandatory Newcomer Designation Pro-Forma records are completed where required and that guidelines for funding are strictly applied? 17.6 Does the school ensure that Newcomer pupils are assessed against the Common European Framework of Reference for Languages where required to do so? (ie required annually for any Newcomer pupil for whom the school has already received 3 years of funding support) 17.7 As free school meals are used as a basis for calculating social deprivation funding, does the school ensure that its record of pupil entitlement is up to date at the census date? 17.8 Does the Principal verify the completeness and accuracy all other statistical data used to calculate funding? 29