This document provides information on legal and financial matters for school principals. It discusses the roles and responsibilities of the principal and board of management regarding policy, planning, finances, and governance. Key points covered include mandatory school policies, the duties of care for students, Garda vetting requirements, data protection laws, and managing issues in schools. Guidelines are provided around areas like budgeting, accounting procedures, and adhering to department of education rules. The importance of seeking reliable advice and keeping proper records is also emphasized.

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Misneach 1
Legal and Financial Matters
PDST Leadership Team
August 2016

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Key messages
• Follow procedures
• Keep records
• Seek reliable advice

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Policy and Planning

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Role of Principal
• Is responsible for the day to day management of
the school
• Is the leader both of learning and the school
community
• Is a member of the BoM and an employee of it.
Can be the secretary to BoM but cannot be
Chairperson or Treasurer
• Role is set out in S.23 of Education Act 1998 as
amended and Circular 16/’73
IPPN Resource Pack

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• Must conform to DES/other requirements –
e.g. child protection procedures
• There must be consultation with the school
community
• Policies must be ratified by BoM
• They must be regularly reviewed and updated
• Adherence to the policy is vital. Exceptions to
the policy should not be made unless
specifically provided for in the policy
IPPN Resource Pack
School Policies

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Role of Board of Management in
School Planning
• Section 21 of the Education Act requires
boards to make arrangements for the
preparation of the school plan and the regular
review and updating of that plan
• Consultation with parents, Board members
and/or pupils will take place as required
• The principal & staff will carry out most of this
work as a matter of course and submit to the
board for approval
IPPN Resource Pack
7

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Mandatory Policies
1. Admission & Participation
2. Code of Behaviour
3. Anti-Bullying Policy/Dignity at Work
4. Child Protection Policy
5. Health & Safety Statement
6. Disciplinary and Grievance procedures
7. Plean Scoile
8. Access to Records & Data Protection
9. Equality & Anti-Harassment

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Duty of Care
• The school has a duty of care to
students
• Important to mitigate risks with clear
policies; communicated, followed and
regularly reviewed

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Board of Management

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What is the Board of Management?
• Schools are managed by the Board of
Management
• The board is nominated by the Patron of the
school, must be recognised by the Minister for
Education & Science and must operate under
the Education Act 1998 and the Rules for
National Schools (DES 1965)
• Board as a Corporate Body.
• Collective responsibility.
IPPN Resource Pack
11

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Composition of Board of
Management
• The term “nominee” is important
• Direct nominees of the Patron - 2
• Parents - 2
• Principal - 1
• Teacher - 1
• Extra community nominees - 2
– Term of office - 4 years (2015-2019)
IPPN Resource Pack
12

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Garda Vetting

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Garda Vetting Bill
• National Vetting Bureau (Children and Vulnerable
Persons) Act - 29th April 2016
• Circular 0031/2016
• FAQs CPSMA Q1, updated 1st June 2016
• Obtain a vetting disclosure from the Bureau prior to
commencement of employment.
• Not required for substitute if school has already
obtained, prior to 29 April 2016, a copy of the
Teaching Council vetting letter.
• Required for coaches, volunteers etc. working with
children if agreement is put in place post 29th April.

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Garda Vetting Bill
• The vetting Act does not apply to unpaid
volunteers (including parents) who assist the
school on an occasional basis provided such
assistance does not involve the coaching,
mentoring, counselling, teaching or training of
children or vulnerable adults.
• Best practice – ensure all are vetted.

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Family Law

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Guardianship of Infants Act 1964
• Guardianship is the rights and duties of
parents in respect of the upbringing of their
children
–having responsibility for the welfare of
the child
–the right to partake in important
decisions affecting the child
Guardianship

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Data Protection
www.dataprotectionschools.ie

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You must ...
• Obtain and process the information fairly
• Keep it only for one or more specified and lawful purposes
• Process it only in ways compatible with the purposes for which
it was given to you initially
• Keep it safe and secure
• Keep it accurate and up-to-date
• Ensure that it is adequate, relevant and not excessive
• Retain it no longer than is necessary for the specified purpose
or purposes
• Give a copy of his/her personal data to any individual, on
request.
Data Protection Principles

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Whether in relation to staff, parent, pupil or others …
• Do not allow things to drift in the hope of change
• Comply with fair procedures and natural justice
• Choose the correct procedure
• Have clear conclusion to each step in the process and clarity
about when one step has concluded and another has begun
• Impose proportionate sanctions
• Keep proper records and paper trails
• Be conscious of Data Protection – DARs are now
commonplace
• No bias
• Act reasonably – Do not take it personally!
• There is no single appropriate response
• Don’t panic, if in doubt, seek advice
Remember…

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Management
of
School Finances

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QUIZ

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Role of the BOM

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Education Act 1998 (section 18)
“ ..a board shall keep all proper and usual
accounts and records of all monies
received by it or expenditure of such
monies incurred by it and shall ensure
that in each year all such accounts are
properly audited or certified in
accordance with best accounting
practice;…”

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• Responsible for all school monies held in
the school account(s)
• Board must elect a Treasurer (not principal)
• All expenditure must be fully accounted for
in the annual certified/audited accounts of
the school
BOM & School Finance
Certify v Audit

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School Income –
o DES: Capitation Grant - day to day running costs
o DES: SSP grant DEIS only: School Support + DEIS capitation+ HSCL+
Materials/Equipment
o DES: Ancillary Grant - caretaker /secretary (Jan-
Dec)
o DES: Book Grant
o DES: Standardised Testing Grant
o DES: Minor Works Grant - Capitation
o DES: Emergency Works Grant (must apply)
o Parents Contributions – monies paid for requisites etc.
o Rental Income/Reimbursable payments
See DES Grant Calendar

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• Wages
– Caretaker
– Cleaning
– Secretary
• Utilities
– Electricity
– Telephone
– Oil
– Water
– Cleaning materials
• Administration
– Office
– Banking
– Taxes
– Insurance
Sample Budget - Expenditure
• Classroom
– Consumables
– Equipment/books
• BOM
– Training & staff
development
– Pastoral/ethos
– Expenses
• Maintenance
– Repairs & Maintenance
– Minor building works
• Grants e.g.
– Book Grant

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o be authorised by BOM
ds to administer PA
Annual Financial Report to BOM
k Account subject to approval of BOM
Parents’ Association & Finance

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Role of the Principal

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Responsibility of the Principal
cretary)
onitoring
ncome & Expenditure
egregation of Duties
anage
ay to day
unning expenses
aise with Treasurer
ock Control
ssets Register

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Role of the Treasurer
Management of School Finances

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• Keep the school accounts
• Prepare budgets
• Make lodgements
• Arrange for payments
• Arrange for petty cash
• Deal with payrolls, including PAYE, PRSI, USC,
PRSAs
• Ensure controls in place for use of cards/banking
• Sign Cheques
The Duties of the Treasurer
(p 25-26, 32-36)

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• Comply with Revenue requirements – P30/P35, P60,
P45, RCT, VAT etc.
• Comply with procurement procedures when
awarding contracts
• Keep vouchers of payment for inspection
• Present an up to date statement of accounts at each
Board meeting
• Arrange for payment of insurance.
• Submit all financial documents to BoM and/or
Patron/Trustees and Department at end of financial
year
The Duties of the Treasurer
cont.

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• Must be presented at every Board Meeting.
Should include…
– an up to date statement of the school accounts
– details of income and expenditure since the
previous meeting
– true Bank Balance at the end of the preceding
month (reconciled)
– payments which will fall due before the next
meeting
– any income due in the same period.
Treasurer’s Report to the BOM…

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Accounts are to be made available to:
• BOM……..
• Parents …..
• Staff…..
• Management Bodies
• School Inspectors
School Financial Information

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Useful references
• www.cpsma.ie & www.npc.ie
• www.allianz.ie &
www.allscoil.com
• www.enterprise.gov.ie -
Department of Jobs, Enterprise
& Innovation
• www.nera.ie – National
Employment Rights Authority
• www.revenue.ie
Essential reading
• Governance Manual for
Primary Schools 2015-2019

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Final notes…

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• Follow the policy & do not deviate from it
• Develop a mind-set that isn't personal
• It’s business and part of the role of a school
leader
• Importance of competent advice
• Schools that don’t manage get into trouble
The Importance of Managing Issues
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Míle Buíochas