Scheme of Reservation and Delegation (SoRD)

The roles and responsibilities of the Chief Finance Officer and Director of Governance and Assurance at NHS Sussex Board, including their authority to approve applications and propose amendments to the organization's constitution and governance handbook. It also covers their involvement in decision-making related to the organization's Scheme of Reservation and Delegation (SoRD), policies on conflicts of interest, and management of registers of interests.

• SoRD
• Chief Finance Officer
• Director of Governance and Assurance
• NHS Sussex Board
• constitution
• governance
• amendments
• decision-making
• conflicts of interest

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1. Scheme of Reservation and Delegation (SoRD) SoRD 1.1 Chief Finance Officer Director of Governance and Assurance NHS Sussex Board 06/07/23 November 2024 Document Reference Version Document Sponsor Document Lead Approval Issued on To be reviewed by

2. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Approve applications to NHS England on any material matters concerning changes to the ICB s Constitution Executive with responsibility for corporate governance Constitution 1.6.2 Risk, Regulation and Governance Yes No No Lead the Annual Review of the ICB's Constitution and propose any amendments to it as a result Audit and Risk Management Committee Executive with responsibility for corporate governance Constitution 1.6.2(a) Risk, Regulation and Governance No No Propose any amendments to the ICB's Constitution falling outside of the Audit and Risk Management Committee's Annual Review To be assured via Audit and Risk Management Committee Executive with responsibility for corporate governance Constitution 1.6.2(b) Risk, Regulation and Governance Chair No No Chief Executive 2006 NHS Act Schedule 1A, para 1 Ensure appropriate arrangements are in place to inform decision-making on the ICB Constitution To be assured via Audit and Risk Management Committee Executive with responsibility for corporate governance Risk, Regulation and Governance Chief of Staff and Corporate Affairs No No Executive with responsibility for corporate governance Constitution 1.7.3(d) Risk, Regulation and Governance Approve the contents of the ICB's Governance Handbook Yes No No Audit and Risk Management Committee Executive with responsibility for corporate governance Constitution 4.7.4 Risk, Regulation and Governance Propose amendments to the ICB's Governance Handbook No No Ensure appropriate arrangements are in place to inform decision-making on the ICB's Governance Handbook To be assured via Audit and Risk Management Committee Executive with responsibility for corporate governance Risk, Regulation and Governance Chief of Staff and Corporate Affairs N/A No No Approve the ICB's Scheme of Reservation and Delegation (SORD) and any amendments to it Executive with responsibility for corporate governance Constitution 4.4.2 Risk, Regulation and Governance Yes No No Audit and Risk Management Committee Executive with responsibility for corporate governance Risk, Regulation and GovernancePropose amendments to the ICB's SORD N/A No No 1 of 11

3. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Executive with responsibility for corporate governance Ensure appropriate arrangements are in place to inform decision-making on the ICB's SORD Executive with responsibility for corporate governance Risk, Regulation and Governance To be assured via Audit and Risk Management Committee N/A No No Approve the ICB Functions and Decisions Map which sets out at a high level its key functions and how it exercises them in accordance with the SoRD Executive with responsibility for corporate governance Constitution 4.5 Risk, Regulation and Governance To be assured via Audit and Risk Management Committee Yes No No Appoint members and approve terms of reference and reporting arrangements of all Committees and Sub-Committees Approve the ICB's Standing Financial Instructions (SFIs) Executive with responsibility for corporate governance Constitution 4.6 Risk, Regulation and Governance Yes No No Constitution 5.2 Risk, Regulation and Governance Yes No No Chief Finance Officer Audit and Risk Management Committee Risk, Regulation and GovernancePropose amendments to the ICB's SFIs N/A No No Chief Finance Officer Ensure appropriate arrangements are in place to inform decision-making on the ICB's SFIs Risk, Regulation and Governance Chief Finance OfficerTo be assured via Audit and Risk Management CommitteeChief Finance Officer N/A No No Approve policies and procedures for the identification and management of conflicts of interest: - Standards of Business Conduct Policy - Conflicts of Interest Policy and Procedures Executive with responsibility for corporate governance Constitution 6 Risk, Regulation and Governance Yes No No Propose amendments to the ICB's policies and procedures for the identification and management of conflicts of interest Audit and Risk Management Committee Executive with responsibility for corporate governance Risk, Regulation and Governance N/A No No 2 of 11

4. Reserved to the Board Delegated to Committee Delegated to Individual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Ensure appropriate arrangements are in place with regard to registers of interests and the management of conflicts of interest Executive with responsibility for corporate governance To be assured via Audit and Risk Management Committee Executive with responsibility for corporate governance 2006 NHS Act s.140 Risk, Regulation and Governance No No Executive with responsibility for corporate governance Executive with responsibility for corporate governance Constitution 7.5 Risk, Regulation and Governance Approve the ICB s annual report and annual accounts Yes No No Audit and Risk Management Committee Risk, Regulation and Governance Propose the approval of the ICB's annual report and accounts N/A No No 2006 NHS Act Schedule 1A, para 17 To be assured via Audit and Risk Management Committee Risk, Regulation and GovernancePrepare the ICB's annual accounts No No Chief Finance Officer Chief Finance Officer Executive with responsibility for corporate governance To be assured via Audit and Risk Management Committee Executive with responsibility for corporate governance 2006 NHS Act s.14Z15 Risk, Regulation and GovernancePrepare the ICB's annual report No No Executive with responsibility for corporate governance Risk, Regulation and Governance Approve the appointment of external and internal auditors N/A Yes No No Chief Finance Officer for External Audit; Executive with responsibility for corporate governance for Internal Audit Audit and Risk Management Committee Risk, Regulation and Governance Recommend the appointment of external and internal auditors N/A No No Chief Finance Officer for External Audit; Executive with responsibility for corporate governance for Internal Audit Chief Finance Officer for External Audit; Executive with responsibility for corporate governance for Internal Audit To be assured via Audit and Risk Management Committee Risk, Regulation and Governance Lead the process for the appointment of external and internal auditors N/A No No 3 of 11

5. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Audit and Risk Management Committee Executive with responsibility for corporate governance ARMC ToR 6.9.2 Risk, Regulation and Governance Approve the annual internal audit plan and more detailed programme of work No No Audit and Risk Management Committee ARMC ToR 6.10.2 Risk, Regulation and Governance Agree with the external auditors the nature and scope of the external audit plan No No Chief Finance Officer Risk, Regulation and Governance Approve the ICB's counter fraud and security management arrangements N/A Yes No No Chief Finance Officer Audit and Risk Management Committee ARMC ToR 6.16 Risk, Regulation and GovernanceApprove counter fraud work plans No No Chief Finance Officer Approve the counter fraud Annual Report and Self-Review Assessment, outlining key work undertaken during the financial year to meet the NHS Standards for Commissioners, Fraud, Bribery and Corruption Audit and Risk Management Committee ARMC ToR 6.18 Risk, Regulation and Governance No No Chief Finance Officer Ensure appropriate arrangements are in place with regard to the provision of a counter fraud service To be assured via Audit and Risk Management Committee Risk, Regulation and Governance N/A No No Chief Finance Officer Chief Finance Officer Executive with responsibility for corporate governance Risk, Regulation and Governance Approve the ICB's risk management arrangements N/A Yes No No Supported by advice from the Executive with responsibility for corporate governance Determine the final view to be taken in the case of conflicting interpretations of the Standing Orders Executive with responsibility for corporate governance Standing Order 3.4 Risk, Regulation and Governance No No Chair 4 of 11

6. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Chair and Chief Executive (or the relevant Non- Executive Chair and lead Executive Director in the case of committees) Subject to every effort having been made to consult with as many members as possible in the given circumstances. Exercise the powers which are reserved or delegated to the Board for an urgent decision Executive with responsibility for corporate governance Standing Order 4.9.5 Risk, Regulation and Governance No No Approve the exclusion of the public from a meeting or part of a meeting where it would be prejudicial to the public interest by reason of the confidential nature of the business to be transacted or for other special reasons stated in the resolution and arising from the nature of that business or of the proceedings or for any other reason permitted by the Public Bodies (Admission to Meetings) Act 1960 as amended or succeeded from time to time. Executive with responsibility for corporate governance Standing Order 4.11.2 Risk, Regulation and Governance Yes No No In exceptional circumstances, except where it would contravene any statutory provision or any direction made by the Secretary of State for Health and Social Care or NHS England, the decision is to be taken in discussion with the Chief Executive and at least 1 other member of the Board. Executive with responsibility for corporate governance Standing Order 5.1 Risk, Regulation and Governance Approve the suspension of the ICB's Standing Orders No No Chair 5 of 11

7. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Exercise or delegate those functions of the ICB which have not been retained as reserved by the Board or delegated to its Committees or to any other named indvidual set out in this document. Risk, Regulation and Governance Executive with responsibility for corporate governance N/A No No Chief Executive Chair Risk, Regulation and Governance To be assured via Audit and Risk Management Committee Executive with responsibility for corporate governance Standing Order 6.1 Chief Executive Chief Finance Officer Authorise use of the ICB seal No No 2006 NHS Act s. 14Z18(1) 2006 NHS Act s s.14Z19(3) 2006 NHS Act s. 14Z23 Ensure appropriate arrangements are in place with regard to the provision of information to the SoS or NHSE or in response to requests made under the Freedom of Information Act 2000 Executive with responsibility for corporate governance Risk, Regulation and Governance To be assured via Audit and Risk Management Committee Executive with responsibility for corporate governance No No Financial Resource Allocation Financial Resource Allocation Financial Resource Allocation Financial Resource Allocation Approve the process by which the ICB determines investment and disinvestment decisions Propose the process by which the ICB determines investment and disinvestment decisions N/A Yes No No Chief Finance Officer To be assured via Audit and Risk Management Committee Chief Finance Officer N/A No No Chief Finance Officer Approve arrangements for managing exceptional funding requests N/A Yes No No Chief Finance Officer Propose the arrangements for managing exceptional funding requests To be assured via Audit and Risk Management Committee Chief Finance Officer N/A No No Chief Finance Officer 6 of 11

8. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Financial Resource Allocation Approve the ICB s financial strategy and plan N/A Yes No No Chief Finance Officer Financial Resource Allocation Prepare the ICB's financial strategy and plan Chief Finance OfficerTo be assured via System Productivity Committee N/A No No Chief Finance Officer Approve additional investment and decommissioning decisions outside the approved financial plan with value greater than 5m Financial Resource Allocation N/A Yes No No Chief Finance Officer Approve additional investment and decommissioning decisions outside the approved financial plan with value up to 5m Financial Resource Allocation N/A No No Chief Executive Chief Finance Officer Where time permits the Board will be consulted on the proposed allocation. Where time does not permit this, the Board will be notified via the Chair of the Executive Committee s report to the Board. Post decision assurance via System Productivity Committee Financial Resource Allocation Approve allocation of additional funds received in year over and above yearly ICB allocation N/A No No Chief Executive Chief Finance Officer Approve the arrangements for discharging the ICB's statutory financial duties, including the ICB's corporate budgets and any proposed significant variations to these once approved Financial Resource Allocation N/A Yes No No Chief Finance Officer 7 of 11

9. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Ensure that there are appropriate arrangements in place to inform decision- making on financial resource allocation and the discharge of the ICB's statutory financial duties, including the reporting of relevant information Financial Resource Allocation N/A No No Chief Finance Officer Chief Finance Officer ICB Administration and Effectiveness ICB Administration and Effectiveness ICB Administration and Effectiveness N/A Agree the vision and values of the ICB Yes No No Chief People Officer Approve the terms and conditions, remuneration and other allowances for ICB members Workforce and Remuneration Committee Workforce and Remuneration Committee Constitution 3.14.2 No No Chief People Officer Constitution 8 Approve terms and conditions of employment for all employees of the ICB No No Chief People Officer Exercise the functions of the ICB relating to paragraphs 17 to 19 of Schedule 1B to the NHS Act 2006, by confirming the ICB Pay Policy including adoption of any pay frameworks for all employees including senior managers/directors (including ICB members) and Non-Executive Directors excluding the Chair ICB Administration and Effectiveness Workforce and Remuneration Committee WRC ToR 3.1 No No Chief People Officer Determine and agree with the Board a framework and policy for the appropriate remuneration of Board members and other ICB VSMs (very senior managers), taking account of all factors which it deems necessary, including relevant legal and regulatory requirements, national guidance, and other best practice as appropriate ICB Administration and Effectiveness Workforce and Remuneration Committee WRC ToR 3.1 No No Chief People Officer 8 of 11

10. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer ICB Administration and Effectiveness Determine appropriate fees to be applied to other individuals who provide specific services to the ICB at VSM level and above Determine and approve arrangements for termination of employment and other contractual terms and non-contractual terms (including contractual payments such as redundancy or early retirement provisions as well as other payments) for Board members and other ICB VSMs Workforce and Remuneration Committee WRC ToR 6.2 No No Chief People Officer ICB Administration and Effectiveness Workforce and Remuneration Committee WRC ToR 6.3 No No Chief People Officer ICB Administration and Effectiveness Determine the ICB pay policy (including the adoption of pay frameworks such as Agenda for Change) Workforce and Remuneration Committee WRC ToR 6.5 No No Chief People Officer Determine the arrangements for termination payments and any special payments following scrutiny of their proper calculation and taking account of such national guidance as appropriate ICB Administration and Effectiveness Workforce and Remuneration Committee WRC ToR No No Chief People Officer ICB Administration and Effectiveness Approve the high level ICB operating structure N/A Yes No No Chief People Officer Approve the appointment of Board members, following a recommendation from the ICB Appointments Panel in the case of Non-Executive Directors and Partner Members and in line with the decision of the ICB Chief Executive for Executive Directors ICB Administration and Effectiveness Executive with responsibility for corporate governance Constitution 3 No No Chair ICB Administration and Effectiveness Constitution 7.4.3 Approve arrangements for complying with the NHS Provider Selection Regime No No Chief Executive Chief Finance Officer 9 of 11

11. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Approve delegation arrangements made under section 65z5 of the 2006 Act (where by the ICB may arrange for any functions exercisable by it to be exercised by or jointly with any one or more other relevant bodies (another ICB, NHS England, an NHS Trust, NHS Foundation Trust, local authority, combined authority or any other prescribed body)) System Partnership Working Executive with responsibility for corporate governance Constitution 4.7.3 Yes No No Approve governance arrangements to support collective accountability between partner organisations for whole-system delivery and performance Establish joint working arrangements with partners that embed collaboration as the basis for delivery within the plans approved by the ICB System Partnership Working Chief of Staff and Corporate Affairs N/A Yes No No System Partnership Working No No Chief Executive Chief Delivery Officer Constitution 7.3.8 Commissioning of Services Yes No No Chief Delivery Officer Approve the ICB s five year delivery plan Allocation of resources, and commissioning and contracting decisions in accordance with plan approved by the ICB Approve pre-consultation and post- consultation business cases in relation to major service change or reconfiguration Approve the commissioning of Primary Medical Services (as delegated by NHSE) resources, and commissioning and contracting decisions in accordance with the plan approved by the ICB Allocation of Pharmacy, Ophthalmic and Dental Services (as delegated by NHSE) resources, and commissioning and contracting decisions in accordance with the plan approved by the ICB Commissioning of Services No No Chief Executive Chief Finance Officer Commissioning of Services N/A Yes No No Chief Delivery Officer Chief Primary Care Officer Commissioning of Services Chief Primary Care Officer No No Commissioning of Services Chief Primary Care Officer Chief Primary Care Officer No No Allocation of all other resources, and commissioning and contracting decisions in accordance with the plan approved by the ICB Commissioning of Services No No Chief Delivery Officer Chief Delivery Officer 10 of 11

12. Reserved to the Board Delegated to Committee Delegated to Indvidual Further information/comments Reference Theme Decision/Responsibility Lead ICB Officer Approve key system wide strategies and plans that support delivery of ICB s strategic aims and objectives (e.g. workforce strategy, engagement strategy) Strategic Prioritisation and Delivery Chief Transformation, Innovation and Digital Officer N/A Yes No No Approve arrangements to ensure that patients, carers and the public are able to influence decision-making on proposals likely to have an inpact on service delivery or the range of services available Strategic Prioritisation and Delivery Chief Communications Officer Yes No No 11 of 11