Constitution
of the
Council
Military Road
Canterbury
CT1 1YW
Tel: 01227 862 000
Fax: 01227 862 020
Edition May 2008
S12CONSTITUTION2008(FINAL).DOC
Constitution of the Council
Contents
Page
Part One
Summary and explanation
(i)-(iv)
Part Two
Articles of the Constitution
Article 1
The Constitution
1
Article 2
Members of the council
2
Article 3
Citizens and the council
4
Article 4
The Full Council
6
Article 5
Chairing the council
10
Article 6
Overview and Scrutiny Committee
11
Article 7
The Executive
15
Article 8
Regulatory and other Committees
18
Article 9
The Standards Committee
20
Article 10
Area Working arrangements
22
Article 11
Joint arrangements
23
Article 12
Officers
25
Article 13
Decision making
29
Article 14
Finance, contracts and legal Matters
32
Article 15
Review and revision of the Constitution
33
Article 16
Suspension, interpretation and publication of the Constitution
34
Schedule 1 Description of Executive arrangements
35
Part Three Responsibility for functions
Responsibility for functions
36
Part Four
Rules of procedure
Council procedure rules
113
Access to information procedure rules
132
Budget and policy framework procedure rules
134
Executive procedure rules
141
Overview and Scrutiny procedure rules
145
Financial regulations
155
Contract Standing Orders and Ancillary Purchasing Guidance
176
Officer employment procedure rules
229
Member arrangements for the Joint Transportation Board
233
Part Five
Codes and protocols
Members’ Code of Conduct
237
Protocol – General Principles of Conduct
245
Protocol – Disclosure of confidential information by Members
247
Protocol – Use of council resources
254
Code of Conduct for employees
256
Protocol on councillor/officer relations
267
Media protocol
275
Protocol on attendance and questioning at Overview and Scrutiny Committees
279
Protocol on accountable decision making
282
Protocol for Overview and Scrutiny authority co-operation
285
National Health Service Overview and Scrutiny protocol
286
Public speaking rights
292
Part Six
Councillor and Co-opted Members’ allowances scheme
Councillor and Co-opted Members’ allowances scheme
302
Part Seven Management structure
Management structure
309
Part One
Summary and explanation
Summary and explanation
(NB This is not an exhaustive description; for full details reference
must be made to the complete Constitution.)
1.
Executive functions and council functions
By law, there are now separate procedures governing (a) “council functions” which
include what is called “overview and scrutiny”, planning control decisions and
licensing, and (b) “executive functions”, namely all decisions which are not council
functions. So far as possible, this note summarises the interpretation of the legal
requirements which is embodied in the city council’s Constitution. In practice there
may be flexibility within this Constitution, or there may be a working consensus on
points not required to be specified in the Constitution; in general this summary does
not attempt to deal with such matters.
2.
Council functions
Council functions are dealt with by the following politically-balanced committees,
subject to the general oversight of Full Council: For example
• Development Control Committee
• General Purposes Committee
• Licensing
Committee
• Whitstable
Harbour
Board
These are to a large extent quasi-judicial functions, taking place within a defined
context of general law and council policy, rather than policy decision-taking. It is
possible however that in some circumstances their activities may come within the
purview of the Overview and Scrutiny Committee (see below). All council activities
are within the purview of both the Standards and Audit Committees.
3. Executive
functions
Executive functions relate to those areas of council business where all decisions on
action to be taken are taken by or under the authority of the Executive (in practice
many of these decisions will be delegated to council officers; the law also permits
them to be delegated to members of the Executive.)
3.1
The Full Council, and committees and bodies relating to executive functions
Full council will be the same body as hitherto (50 elected members).
The Executive will comprise the Leader (appointed by Full Council) and not more
than nine other members (also appointed by full Council.) It appoints its own Deputy
Leader.
The Overview and Scrutiny
Committee, appointed by Full Council, will comprise
19 members or thereabouts and is politically balanced. The
Chair and Vice-Chair will
be appointed by the committee but the Constitution provides that so far as possible
(depending partly on how many groups participate in the Executive) the Chair will not
be and the Vice-Chair will be, from the political group forming or predominating in the
Executive.
(i)
Not less than five Area Member Panels, each comprising all members from the
respective areas (and no others.) There must be at least five, because besides
Canterbury, Herne Bay and Whitstable, by law no area may comprise more than 40%
of the territorial area of the district, and therefore there must be at least two for the
rural area (in the alternative the law also prohibits areas comprising more than 40%
of the population).
3.2
The budget and policy framework
The city council each year may produce, or review and revise as the case may be,
the main policy documents within which all decisions by the Executive must in
principle be taken (there is provision for limited variations where these are necessary
as a matter of urgency, but generally speaking variations require reference to Full
Council.) These are some of the main policy documents and reference is to be made
to Article 4 of the Constitution for a complete list:
• Medium Term Financial Strategy
• Corporate
Plan
• Sustainable
Community
Strategy
• Annual Performance Report
• Community
Safety
Strategy
• Local Transport Plan
• Local Plan (to be replaced by Local Development Framework)
• Housing Investment Programme
• Capital Strategy and Asset Management Plan
There are timetables within which many policy documents must be produced. The
documents constitute the council’s overall policy framework, and decisions by or on
behalf of the Executive must be aimed at implementing them in letter and in spirit.
Drafts of these documents, and/or of material for them, will be prepared for council by
the Executive having first consulted on the proposed content.
Policy formulation will be achieved through discussion in Full Council, but since
council’s time is finite, council will also receive advice on particular policy areas or
individual matters from the Overview and Scrutiny Committee and its sub-committees,
scrutiny panels
or working parties. This can be at the request of council or on the
Overview and Scrutiny Committee’s own initiative.
It will also be open to Area Member Panels to submit views to the Executive for its
policy forming exercise, and if appropriate to the council during its discussions.
3.3
Decision-taking, overview and scrutiny
Most decisions taken in pursuance of the council’s policy framework will be taken by
or under the authority of the Executive. Under this process, the following steps will be
taken:
The Executive (which will formally meet frequently, no less than every month) will
publish an agenda not less than five working days before each meeting.
The Overview and Scrutiny
Committee (and all other members of the council) will
receive the agenda of the Executive at the same time papers are despatched to it for
its formal meetings. Exceptionally it could meet in advance of the Executive if it felt
an item on the agenda required it to give immediate advice to the Executive.
(ii)
Generally it will meet not less than four
working days after the Executive to deal with,
or authorise the call-in of Executive decisions.
3.4
Decisions: key and other
Each decision taken by, or by a duly delegated officer on behalf of, the Executive is
either a ‘‘key decision ‘‘ or an ‘‘other decision.’’
3.4.1 A “key decision” is one which is likely (1) to involve the authority in expenditure or
savings which within certain guidelines are significant in relation to the relevant part
of the council’s budget, or (2) to have significant effects for communities living or
working in an area comprising two or more wards within the district or (3) involve a
change to the budget and policy framework.
An “other decision” is any decision not covered by the above description.
3.4.2 “Key decisions” should feature in the “forward plan” as defined in regulations which is
produced every month by the Leader of the council and which sets out those
decisions regarded as key which are to be taken over the next four months. The
council will publish this under the title “the forthcoming decision list”.
3.4.3 Other decisions may range from the straight forward to the complex and sensitive
and it is to be expected in the latter case that even if not technically key, the
Executive will carry out some pre-decision consultation. Where practical a decision
which has a significant impact on one ward
should be treated as key.
3.5
Call-in of decisions
All decisions taken by the Executive, and all key decisions taken under delegated
powers by officers, will be published within two days, and will become effective in
three further working days unless called in within that time.
A request for call-in must be:
• following a vote by a majority of members of the Overview and Scrutiny
Committee and signed by the Proper Officer, or
• signed by six members of Full Council, or
• signed by the Chair of the Overview and Scrutiny Committee, or
• signed by one member of the Overview and Scrutiny Committee (provided she/he
has not made such a requisition within the previous six months): and it must
• state reasons for the call-in (valid reasons are defined by the
Overview and
Scrutiny Committee) and
• reach the Monitoring Officer within three working days of publication of the
decision.
Exceptionally, a decision may be exempt from call-in when certified as urgent by the
Chair of Overview and Scrutiny Committee or in his or her absence by the Lord Mayor
on the advice of Head of Paid Service (with provision for deputies.)
The Overview and Scrutiny Committee may act itself, or refer the called-in decision to
a sub-committee or to Full Council. None of these bodies may veto or reverse a
called-in decision; if it is consistent with the Budget and Policy Framework, they may
simply refer it back to the decision-taker ie Executive, Executive sub-group or officer.
If it is outside the budget and policy framework they generally report to the council
which must meet within 10 working days during which no action can be taken on the
decision until the council has met. The council may then either refer the matter back
(iii)
to the Executive to reconsider in line with the framework or amend the framework to
encompass the proposed decision.
4.
Area Member Panels
Area Member Panels will be entitled to discuss any matter (excluding specific
planning applications)
affecting their respective areas, and may forward views and
recommendations to the responsible bodies within the council, notably in relation to
review and formulation of policy. They are asked to consider how to develop links with
their communities. They will not be participants in the formal scrutiny process, as
outlined above.
5. Protocols
As many more of the council’s procedures become written down the need arises for
more informal documents which set out all parties understanding of how these
procedures will be conducted. These protocols deal with such topics as officer/
member relations and the questioning of officers and members by the Overview and
Scrutiny Committee. A protocol also specifies the criteria which identify key
decisions.
6. Other
matters
This outline summary aims only to give a shortened description of the main processes
under the council’s Constitution. It should not be relied on for detailed procedures or
definitions, which are contained in the full Constitution.
The Constitution also deals with various matters which are not mentioned above,
either because they are not essential for the brief description or members will already
be familiar with them. They include:
• consultation and public participation;
• power to make joint arrangements with other authorities;
• Head of Paid Service, Monitoring Officer, Chief Finance Officer; and
• contractual and procedural matters, standing orders etc.
(iv)
Part Two
Articles of the Constitution
Article 1 - The Constitution
Explanatory comment
The article sets out the fundamental provisions of the Constitution. It confirms that the
council will act within the law and the provisions of this Constitution. It defines those
documents which comprise the Constitution.
1.01 Powers of the council
The council will exercise all its powers and duties in accordance with the law and this
Constitution.
1.02 The Constitution
This Constitution, and all its appendices, is the Constitution of the Canterbury City
Council.
1.03 Purpose
The aims of the Constitution are to:
1.
enable the council to be outward looking and to provide leadership to the
community in partnership with citizens, businesses and other organisations;
2.
support and increase the active involvement of citizens in the process of local
authority decision making;
3.
help councillors represent their constituents more effectively;
4.
enable decisions to be taken efficiently and effectively and to focus on
outcomes and performance;
5.
create a powerful and effective means of holding decision makers to public
account;
6.
ensure that no one will review or scrutinise a decision in which they were
directly involved;
7.
to provide accountable local government by ensuring that those responsible
for decision making are clearly identifiable to local people and that they
explain the reasons for decisions;
8.
by having regard to the duties of best value provide a means of improving the
delivery of services to the community focussing on the needs of customers;
9.
to provide the council’s budgetary and policy framework and mechanisms to
control the council’s expenditure in line with its agreed policies and resources;
and
10.
use the council’s Community Strategy to enhance the quality of life of the
local community and to contribute to sustainable development through action
which will improve the economic, social and environmental well being of the
district and its inhabitants.
1.04 Interpretation and review of the Constitution
The council will interpret the Constitution in accordance with this Article 1 and will
monitor and evaluate the operation of the Constitution as set out in Article 15.
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Article 2 - Members of the council
Explanatory comment
This article sets out the composition of the council, eligibility to stand for election as a
member of the council and the form of election to be used.
The article also contains a section on the roles and functions of members of the council.
The article also deals with the rights and duties of members, especially as they affect access
to land, buildings, documents and information and any confidentiality requirements
surrounding the latter.
2.01 Composition and eligibility
a)
Composition. The council will comprise 50 members, otherwise called
councillors. Either one, two or three councillors will be elected by the voters
of each ward in accordance with a scheme drawn up by the Boundary
Commission for England and approved by the Secretary of State.
(b)
Eligibility. Only registered voters of the area or those living or working there
within the age limit will be eligible to hold the office of councillor.
2.02 Election and terms of councillors
Election and terms. The regular election of all councillors will be held on the first
Thursday in May every four years beginning in 2003. The terms of office of
councillors will start on the fourth day after being elected and will finish on the fourth
day after the date of the next regular election.
2.03 Roles and functions of all councillors
(a)
Key roles. All councillors will subject to the provisions of this Constitution:
(i)
collectively be the ultimate policy-makers and carry out a number of
strategic and corporate management functions;
(ii)
contribute to the good governance of the area and actively encourage
community participation and citizen involvement in decision making;
(iii)
be involved in decision-making;
(iv)
ensure the Executive is held to account;
(v)
maintain the highest standards of public conduct and ethics;
(vi)
balance different interests identified within the ward they represent;
(vii) represent their communities and bring their views into the council’s
decision-making process, i.e. become the advocate of and for their
communities;
(viii) effectively represent the interests of their ward and of individual
constituents;
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(ix)
deal with individual casework and act as an advocate for constituents
in resolving particular concerns or grievances;
(x)
respond to constituents’ enquiries and representations, fairly and
impartially;
(xi)
be available to represent the authority on other bodies;
(xii)
be involved in area working.
(b)
Rights and duties
(i)
A member of the council may inspect any document which is open to
inspection by members of the public and may, for the purposes of his/
her duty as such member but not otherwise, inspect any document
which is to be or has been considered by the Executive a committee
thereof a committee or sub-committee or by the council, and if copies
are available shall on request be supplied for the like purposes with a
copy of such document. Provided that a member shall not knowingly
inspect and shall not call for a copy of any document relating to a
matter in which he/she is professionally interested or in which he/she
has directly or indirectly any prejudicial interest in accordance with
The Local Authorities (Model Code of Conduct)(England) Order 2001,
unless such document is open to inspection by members of the public,
and provided also that this article shall not preclude the Head of Legal
and Democratic Services from declining to allow inspection of any
document which is or in the event of legal proceedings would be
protected by privilege arising from the relationship of solicitor and
client.
(ii)
Councillors will not make public information which is confidential or
exempt without the consent of the authority or divulge information
given in confidence to anyone other than a councillor or officer entitled
to know it.
(iii)
For these purposes, “confidential” and “exempt” information are
defined in the Access to Information Procedure Rules in Part 4 of this
Constitution.
2.04 Conduct
Councillors will at all times observe the Members’ Code of Conduct and the Protocol
on Member/Officer Relations set out in Part 5 of this Constitution.
2.05 Remuneration
Councillors will be entitled to receive a remuneration in accordance with the
Members’ Allowance Scheme set out in Part 6 of this Constitution.
- 3 -
Article 3 – Citizens and the council
Explanatory note
This sets out what citizens can expect from the authority and what rights they have.
However, with rights come responsibilities. It is also the role of the Constitution to show how
the authority expects to be treated by its citizens.
3.01 Citizens’ rights
Citizens have the following rights. Their rights to information and to participate are
explained in more detail in the Access to Information Procedure Rules in Part 4 of
this Constitution:
(a)
Voting and petitions. Citizens on the electoral roll for the area have the right
to vote in city council elections in their ward and sign a petition to request a
referendum for an elected mayor form of Constitution. For a petition to be
valid to require a referendum, the number of signatures to it must equate to
no less than 5% of the electorate of the area. If there is such a referendum,
citizens will have a right to vote.
(b)
Information. Citizens have the right to:
(i)
attend as observers, meetings of the council, its committees and Area
Member Panels except where confidential or exempt information is
likely to be disclosed, and the meeting is therefore held in private;
(ii) attend as observers, meetings of the Executive when key decisions
are being considered except where confidential or exempt information
is likely to be disclosed, and the meeting is therefore held in private;
(iii)
find out from the Forthcoming Decisions List
what key decisions will
be taken by the Executive and when;
(iv)
see non-confidential reports and background papers, and any records
of decisions made by the council and the Executive; and
(v) inspect the council’s accounts as published by law and the District
Auditor Management Letter and make their views known to the
external auditor.
(c)
Participation. Citizens have the right to participate subject to guidelines set
up by the council or Executive in any public question time sessions introduced
by the council or committees and contribute by exercising a time limited right
to speak and to contribute by invitation to investigations by the Overview and
Scrutiny Committee. Such guidelines are set out in Part 5 of the Constitution.
Citizens will have the right to express views on all aspects of Local
Government and to have those views considered by the council.
(d)
Complaints. Citizens have the right to complain to:
(i)
the authority itself under its complaints scheme;
(ii)
the ombudsman after using the council’s own complaints scheme;
- 4 -
(iii)
the Standards Board for England about a breach of the Code of
Conduct by a councillor.
3.02 Citizens’ responsibilities
A healthy democracy depends upon active citizenship. Citizens are encouraged to
make conscientious use of their roles as both voters and members of a wider
community. In particular, by:
(i)
voting at every opportunity;
(ii)
respecting the expression of differing opinions in public debate;
(iii)
promoting tolerance and respect between their fellow citizens;
(iv)
individually and collectively seeking information about the decision-making
role of councillors and respecting the authority’s procedures which give effect
to a representative democracy; and
(v)
refraining from being violent or abusing or threatening councillors or officers
nor wilfully harming property owned by the council, its members or officers.
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Article 4 - The Full Council
Explanatory note
The Local Government Act 2000 (as amended) gives the council responsibility for approving
the budget and policy framework. A list of the statutory and non-statutory plans which fall
within this policy framework appear below. The council as a whole retains responsibility for
regulatory functions and has a role in holding the Executive to account.
4.01 Meanings
(a)
The core statutory elements of the council’s policy framework are currently
the Sustainable Community Strategy, the Corporate Plan and the Local
Development Framework. These plans are supported in more detail by a
range of policy/service plans. These service plans are also complemented by
a range of statutory documents which will form part of the policy framework.
These include:
(i)
those required by the Local Authorities (Functions and
Responsibilities) (England) Regulations 2000 and regulations under
Section 32 of the Local Government Act 2000 (as amended) to be
adopted by the council:
• Annual Performance Report
• Community
Plan
Strategy
• Plans and strategies which together comprise the Development
Plan (including the District Local Plan and Supplementary
Planning Guidance)
• Plans and strategies which together form the District
Transportation Plan (Local Transport Plan)
(ii)
other plans and strategies which the council considers should be
adopted including those it has decided should be adopted as a matter
of local choice:
• Access Channel Strategy
• Annual Internal Audit Plans
• Anti-Fraud, Corruption and Whistle Blowing
• Benefits Fraud and Prosecution and Sanction Policy and Guidance
• Best Value Review Action Plans (All)
• Canterbury Parking Strategy 2006 – 2016
• Capital
Strategy
• Cliff Management Strategy
• Coastal Management Strategy
• Community
Development
Strategy
• Community
Safety
Strategy
• Contaminated Land Strategy
• Corporate Asset Management Plan
• Corporate
Plan
• Corporate Property Strategy
• Cultural
Policy
• Economic Strategy
• Efficiency
Strategy
• Enforcement
Policy
- 6 -
• Equalities and Inclusion Policy
• Flood and Coastal Defence Policy Statement
• Food Service Plan
• Gambling
Policy
• Getting the message across – a strategy for marketing, public
relations and consultation
• Health and Safety Service Plan
• Homelessness
Strategy
• Housing Assistance Scheme
• Housing Needs Register and Lettings Policy
• Housing Revenue Account Business Plan
• Housing
Strategy
• International
Policy
• Kent Joint Municipal Waste Management Strategy
• Licensing
Policy
• Litter Plan
• Major Emergency Plan
• Municipal Waste Strategy and Recycling Plan
• Museums and Galleries – Acquisition and Disposal Policy
• Museums and Galleries – Learning and Access policy
• Open Spaces Strategy
• People
Strategy
• Play
Strategy
• Playing Pitch Strategy
• Procurement and Partnering Strategy
• Records Management Policy
• Risk Management Policy
• Scrutiny Review Action Plans (All)
• Shoreline Management Plan
• Sports Development Strategy
• Tourism
Strategy
• Transformation through Technology Strategy
• Treasury Management and Annual Investment Strategy
• Visitor Information Centres Business Plan
• Voluntary and Community Sector Grants policy
(iii)
the above is subject to change by legislation and by local
requirements.
(b)
Budget. The budget includes the allocation of financial resources to different
services and projects, proposed contingency funds, the council tax base,
setting the council tax and decisions relating to the control of the council’s
borrowing requirement, the control of its capital expenditure and the setting of
virement limits.
(c)
Housing land transfer. Housing land transfer means the approval or
adoption of applications (whether in draft form or not) to the Secretary of
State for approval of a programme of disposal of 500 or more properties to a
person under the Leasehold Reform, Housing and Urban Development Act
1993 (as amended) or to dispose of land use for residential purposes where
approval is required under Sections 32 or 43 of the Housing Act 1985 (as
amended).
- 7 -
4.02 Functions of the Full Council
Only the council will exercise the following functions:
(a)
adopting and changing the Constitution;
(b)
approving or adopting the policy framework, the budget and any application to
the Secretary of State in respect of any housing land transfer;
(c)
subject to the urgency procedure contained in the Access to Information
Procedure Rules in Part 4 of this Constitution, making decisions about any
matter in the discharge of an Executive function which is covered by the
policy framework or the budget where the decision maker is minded to make
it in a manner which would be contrary to the policy framework or contrary to/
or not wholly in accordance with the budget;
(d) appointing
(i)
the Lord Mayor; and
(ii)
the Sheriff and Vice-Chairman;
(e)
appointing the Leader and members of the Executive;
(f)
agreeing and/or amending the terms of reference for committees, deciding on
their composition and making appointments to them;
(g)
appointing representatives to outside bodies unless the appointment is an
Executive function or has been delegated by the council;
(h)
adopting an allowances scheme under Article 2.05;
(i)
changing the name of the area, granting the freedom and other honours of
the city;
(j)
confirming the appointment or dismissal of the Head of Paid Service;
(k)
making, amending, revoking, re-enacting or adopting bye-laws and promoting
or opposing the making of local legislation or personal bills;
(l)
all local choice functions set out in Part 3 of this Constitution which the council
decides should be undertaken by itself rather than the Executive; and
(m)
all other matters which, by law, must be reserved to the
council.
4.03 Council meetings
There are three types of council meeting:
(a)
the annual meeting;
(b)
ordinary meetings;
(c)
extraordinary meetings.
and they will be conducted in accordance with the council Procedure Rules in Part 4
of this Constitution.
- 8 -
4.04 Responsibility for functions
The council will maintain the tables in Part 3 of this Constitution setting out the
responsibilities for the council’s functions which are not the responsibility of the
Executive.
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Article 5 – Chairing the council
Explanatory comment
Council meetings will be chaired by the Lord Mayor.
Role and function of the Lord Mayor and of the Sheriff and Vice Chairman
The Lord Mayor
and in his/her absence, the Sheriff and Vice Chairman will have the
following roles and functions:
5.01
Chairing the council meeting
The Lord Mayor and Sheriff and Vice Chairman will both be elected by the council
annually from its members, and will have the following responsibilities:
1.
to uphold and promote the purposes of the Constitution, and to interpret the
Constitution when necessary;
2.
to preside over meetings of the council so that its business can be carried out
efficiently in accordance with the law and this Constitution with regard to the
rights of councillors and the interests of the community;
3.
to ensure that the council meeting is a forum for the debate of matters of
concern to the local community and a place at which members who are not
on the Executive are able to hold the Executive to account;
4.
to promote public involvement in the council’s activities and in so doing have
regard to the Media Protocol in Part Five of this Constitution;
5.
to be the conscience of the council.
5.02
Civic and ceremonial
The Lord Mayor will attend such civic and ceremonial functions as he/she determines
appropriate
having regard to council policy supported by the Sheriff and Vice
Chairman.
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Article 6 - Overview and Scrutiny Committee
Overview and Scrutiny
Explanatory comment
The overview and scrutiny function is a central element to this Constitution. Overview and
Scrutiny Committees meet in public to discuss and make recommendations on the
development of policies and hold the Executive to account for their actions. They will also
have a key role in considering other matters of local concern.
[Derivation: Section 21: Local Government Act 2000 (as amended)]
The guiding principle for the work of scrutiny is that it should be consensual and positive.
The emphasis of the work should be on making a proactive and positive contribution to the
development of policy and the discharge of the council’s functions. This is best achieved by
an inclusive process covering members, the council’s partners, service users and officers.
6.01 Terms of reference
The council will appoint an Overview and Scrutiny Committee, and for the detail of
the way in which it
will work reference is to be made to Part 4 of the Constitution
containing the
Overview and Scrutiny Procedure Rules.
The Overview and Scrutiny
Committee will have an overarching scrutiny role and will
also co-ordinate, plan and approve a programme of scrutiny
work. It will have the
right to create such sub-committees
, scrutiny panels
or working parties as it thinks fit
to carry out the Overview and Scrutiny Programme and delegate such functions as it
thinks appropriate.
Each sub-committee or working party
will scrutinise the work of
the council and the Executive on a service based and/or cross cutting basis.
Additionally the Overview and Scrutiny
Committee will regularly review the
Forthcoming Decision List
and indicate whether the proposed level of consultation is
appropriate for the decision to be taken.
Decisions of the Executive or key decisions made by officers will be publicised and
circulated within two clear working days of being made. All members of the Overview
and Scrutiny
Committee will receive copies. The decision will come into force at the
expiry of three clear working days after publication of the decision unless it is
subject
to call-in.
Call-in will be effected by the Monitoring Officer:
• following a vote of a majority of the members of the Overview and Scrutiny
Committee and signed by the Proper Officer; or
• signed by six members of the council; or
• signed by the Chair of the Overview and Scrutiny
Committee; or
• signed by any other member of the Overview and Scrutiny
Committee (provided
he/she has not made such an individual requisition within the previous six
months).
The decision is suspended pending consideration by the Overview and Scrutiny
Committee which is the decision making committee on call-ins. If for some reason
the full committee cannot be convened within five working days of the request then a
panel of at least six members drawn from its membership may sit on an Executive
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Sub-Committee. This must be politically balanced in the same way as its parent
committee.
The Overview and Scrutiny
Committee, or its Executive
Sub-Committee, may refer
the decision either to the decision making body, or to a sub-committee or working
party
for more specialised consideration or to the Full Council, although usually this
will be if the decision was deemed to be outside the policy and budget framework. If
the Overview and Scrutiny
Committee does not meet within the time specified or
does not refer a decision elsewhere, or back to the decision making body, the
decision takes effect as at the date of the Overview and Scrutiny
Committee meeting
or 10 working days after the decision was published, whichever is the earlier.
If referred on to a working party
, sub
-committee or the Full Council, unless the
decisions are taken contrary to the policy or budget framework the working party
,
sub
-committee or the council will refer the matter back with comments. Where the
decision was taken by the Executive as a whole, or a committee of it, then the
decision making body must either reconvene within five working days, or if the Head
of Paid Service in consultation with the Leader or relevant Chair as the case may be
determines that the matter is not urgent at the next scheduled meeting. If the
working party
, sub-committee or the council do not meet or do not refer the decision
back, it will become effective on the date of the working party, sub-committee or
council meeting or the expiry of the period within which such meeting should have
been held, whichever is the earlier.
6.02 General role
This is set out in Part 4 of the Constitution containing the
Overview and Scrutiny
Procedure Rules. The following is for descriptive purposes only:
(a)
Overview and Scrutiny Committee
The Overview and Scrutiny
Committee will have the following responsibilities:
(i)
corporate priorities are effectively scrutinised;
(ii)
to consider matters called-in for decision and to monitor the
application and effectiveness of the call-in procedure;
(iii)
ensure that scrutiny procedures are maintained in accordance with
this Constitution;
(iv)
review the content of the Forthcoming Decision List.
(v)
review and scrutinise the policies of the council and the Executive;
(vi)
review the discharge by the Executive of its functions;
(vii)
review any decisions or proposed decisions of the council and of the
Executive which are referred to it and make recommendations as
appropriate;
(viii)
consider any matters which affect the authority, its administrative area
(or part of it) or inhabitants (or some of them) of that area;
(ix)
consider matters referred by the council or the Executive;
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(x)
formal involvement in the best value review process;
(xi
)
consider the creation of sub-committees, scrutiny panels
and working
parties and the allocation of work between them to ensure consistency
of approach and clarity of work.
6.03 Specific functions
(a)
Policy development and review
The Overview and Scrutiny
Committee may consider and implement
mechanisms to encourage and enhance community participation in the
development of policy options.
The Overview and Scrutiny Committee has
the following terms of reference:
i)
to assist the council and the Executive in the development of its
budget and policy framework;
ii)
may conduct research, community and other consultation in the
analysis of policy issues and possible options;
iii)
may question members of the Executive and senior officers about
their advice on issues and proposals affecting the area; and
iv)
may liaise with other organisations operating in the authority’s
administration area, whether national, regional or local.
(b)
Scrutiny
The Overview and Scrutiny Committee
may:
i)
review and scrutinise the decisions made by and performance of the
Executive and/or committees and authorised officers;
ii)
review and scrutinise the performance of the authority in relation to its
policy objectives, performance targets and/or particular service areas;
iii)
question members of the Executive and/or committees and senior
officers about their decisions and performance, whether generally in
comparison with service plans and targets over a period of time, or in
relation to particular decisions, initiatives or projects;
iv)
make recommendations to the Executive and/or appropriate
committee and/or council arising from the outcome of the scrutiny
process;
v)
review and scrutinise the performance of other public bodies in the
area and invite reports from them by requesting them to address the
committee or a sub-committee, scrutiny panels
or working party
and
local people about their activities and performance; and
vi)
question and gather evidence from any person or body (with their
consent).
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(c)
Finance
The Overview and Scrutiny
Committee shall exercise overall responsibility for
the finances made available to the Overview and Scrutiny process.
(d)
Annual report
The Overview and Scrutiny
Committee must report annually to Full Council on
its work and make recommendations for future work programmes and
amended working methods if appropriate.
6.04
Proceedings of Overview and Scrutiny Committee
The Overview and Scrutiny Committee will conduct its
proceedings in accordance
with the Overview and Scrutiny Procedure Rules set out in Part 4 of this Constitution.
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Article 7 - The Executive
Explanatory note
The Executive is at the heart of the day-to-day decision making process. It also has a key
role in proposing the budget and policy framework to the council.
7.01 Role
It is the Executive’s duty to lead the implementation of council policy within the
council’s budget and policy framework. In doing this the Executive will carry out all of
the local authority’s functions which are not the responsibility of any other part of the
local authority, as prescribed by law or specified by this Constitution.
7.02 Form, appointment and composition
The Executive will consist of the Leader together with up to
nine additional
councillors who shall be appointed to the Executive by the council.
7.03 Leader
The Leader will be a councillor elected by the council to the position of Leader at its
annual meeting or at the next meeting when a vacancy occurs. Any councillor shall
be eligible to serve as Leader unless they have resigned from the Executive at which
time they must leave the Executive and they must be a non-executive councillor for a
period of a year after the expiry of which they become eligible to serve on the
Executive whether or not in the capacity of Leader. The Leader will hold office until:
(a)
the next annual meeting; or
(b)
the expiry of the period set out in 7.06 below; or
(c)
he/she resigns from the office; or
(d)
he/she is suspended from being a councillor of this council under Part III of
the Local Government Act 2000 (although he/she may resume office at the
end of the period of suspension); or
(e)
he/she is no longer a councillor of this council; or
(f)
he/she is removed from office by resolution of the council by a 65% majority
of those present and voting following a written notice of no confidence
delivered to the Proper Officer on at least 10 working days notice and signed
by at least 25% of all councillors. If such a motion of no confidence is
passed, the Leader shall immediately cease to act as Leader; or
(g)
he/she is removed from office by resolution of the council in the event of a
change in political control of the council.
In the situation that the Leader no longer holds office as mentioned above, the
Deputy Leader will carry out the role and duties of Leader until such time as the
council elects a councillor to the position of Leader or the Leader resumes office
under Clause 7.03(d) of this Constitution.
- 15 -
7.04
Leaders of political groups in partnership
During any period when two or more political groups are in partnership and forming
the Executive, then, if the Leader (as notified to the Head of Paid Service) of any
such group is not the Leader of the council but is a member of the Executive duly
elected by the council who has not resigned from the Executive and is otherwise
eligible to serve then such Executive member will hold office until:
(a)
the next annual meeting; or
(b)
the expiry of the period set out in 7.06 below; or
(c)
he/she resigns from the office; or
(d)
he/she is suspended from being a councillor of this council under Part III of
the Local Government Act 2000 (although he/she may resume office at the
end of the period of suspension); or
(e)
he/she is no longer a councillor of this council; or
(f)
he/she is removed from office by resolution of the council by a 65% majority
of those present and voting following a written notice of no confidence
delivered to the Proper Officer on at least 10 working days notice and signed
by at least 25% of all councillors. If such a motion of no confidence is
passed, the Leader shall immediately cease to act as Leader; or
(g)
he/she is removed from office by resolution of the council in the event of a
change in political control of the council.
7.05 Other Executive members
Other Executive members shall be elected by the council at the annual meeting or at
the next meeting after a vacancy arises except that the Leader may make an interim
appointment to replace an Executive member subject to ratification at the next
council meeting. All councillors shall be eligible to serve as members of the
Executive. Executive members will hold office until:
(a)
the next annual meeting; or
(b)
they resign from office; or
(c)
they are suspended from being councillors of this council under Part III of the
Local Government Act 2000 (although they may resume office at the end of
the period of suspension); or
(d)
they are no longer councillors of this council; or
(e)
they are removed from office, either individually or collectively, by resolution
of the council following a written notice of no confidence delivered to the
Proper Officer on a least 10 working days notice and signed by at least 25%
of all councillors and passed by a majority of at least 60% of those present
and voting. If such a motion of no confidence is passed the Executive
member(s) shall immediately cease to act; or
(f)
the council removes them from office, either individually or collectively, but
only in the event of a change in political control of the council.
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7.06 The members of the Executive shall at their first meeting and from time to time
thereafter elect one of their number to be Deputy Leader to act in the absence or
incapacity of the Leader and to hold office at the pleasure of the Executive.
7.07 Proceedings of the Executive
Proceedings of the Executive shall take place in accordance with the Executive
Procedure Rules set out in Part 4 of this Constitution.
7.08
Responsibility for functions
The Leader will maintain a list in Part 3 of this Constitution setting out how
committees of the Executive, officers or joint arrangements are responsible for the
exercise of particular Executive functions.
- 17 -
Article 8 – Regulatory and other committees
Explanatory comment
Committees will need to be created to undertake non-Executive functions under powers
delegated from Full Council. By way of example planning and licensing
are not functions of
the Executive.
8.01 Regulatory and other committees
The following committees will be appointed by Full Council. Delegated powers will
be given to these committees to discharge their relevant functions.
Committees Functions
Development Control
Town and Country Planning and Development Control
Committee
Miscellaneous powers in relation to footpaths,
(assisted by
bridleways, use and enjoyment of highways.
Development Control
Tree Preservation Orders.
Committee (Site Visits)
Protection of hedgerows.
Panel)
Licensing Committee
Licensing functions.
and its sub-committees
General Purposes
Electoral registration functions.
Committee (assisted by
Health and Safety at Work.
Appointments Sub-
The naming and status of areas and individuals.
Committee and as to
Power to make, amend, revoke or re-enact bye-laws.
certain appeals, by its
Power to promote or oppose local or personal bills.
sub-committee)
Pensions.
Approval of Statement of Accounts.
Staff relations.
Standing Orders including Contracts Standing Orders.
Appointment of staff (subject to Officer Employment
Procedure Rules in Part 4 hereof).
To approve payments in cases of maladministration.
To determine appeals not dealt with elsewhere.
To appoint representatives of the council onto outside
bodies.
To receive reviews of the political balance of the
membership of the council and make appropriate
appointments (function to be performed by the
Appointments Sub-Committee).
Audit Committee
To advise on audit and regulatory activity and review
annual statement of accounts.
Standards Committee
Matters relating to ethics and probity.
Overview and Scrutiny
To plan, programme, advise and oversee the work of
Committee
Overview and
Scrutiny.
(assisted by the
To shadow the Executive and review the Forthcoming
Scrutiny Management
Decision List.
and Review Sub-
To scrutinise the work of the council, its committees and
Committee)
the Executive, including consideration of policy and
budgetary issues.
- 18 -
Housing Appeals
To hear and determine all appeals against decisions
Committee
made by the council.
Discretionary Housing
Payments Appeals
Committee
Whitstable Harbour
To exercise harbour functions.
Board
The following functions listed for General Purposes Committee will be reserved to
Full Council for determination:
(i)
power to make, amend, revoke or re-enact bye-laws;
(ii)
power to promote or oppose personal bills.
- 19 -
Article 9 – The Standards Committee
Explanatory comment
Standards Committees have an important role in strengthening and maintaining high
standards of conduct required of councillors and officers.
[Derivation: Section 53-55 and Sections 81(5), Local Government Act 2000]
9.01 Standards Committee
The Full Council has established a Standards Committee.
9.02 Composition
Political balance
Standards Committees do not have to comply with the political balance rules in
Section 15 of the Local Government & Housing Act 1989 (as amended), but will be
guided by political balance principles and by the reputation and experience of
members of the Committee.
(a)
Membership. The Standards Committee is composed of:
(i) four
councillors, of whom none may be the Leader; and only one may
be a member of the Executive;
(ii)
three persons who are not councillors or officers of the council or of
any other body having a Standards Committee (independent
members);
(iii) three
parish
councillors.
(b)
Independent members. Independent members will be appointed in
accordance with the law and taking into account any guidance issued.
Independent members will be entitled to vote at meetings.
(c)
Chairing the committee. A member of the Executive may not chair the
committee.
(d)
Quorum. The quorum for a meeting of the Standards Committee shall be
four which must include one of the independent members and on exclusively
parish matters, a parish councillor.
9.03 Role and function
The Standards Committee will have the following roles and functions:
(a)
promoting and maintaining high standards of conduct by councillors
and
co-
opted members;
(b)
assisting the councillors and
co-opted members to observe the Members’
Code of Conduct in Part 5 of this Constitution;
- 20 -
(c)
advising the council on the adoption or revision of the Members’ Code of
Conduct;
(d)
monitoring the operation of the Members’ Code of Conduct;
(e)
advising, training or arranging to train councillors
and
co-opted members on
matters relating to the Members’ Code of Conduct;
(f)
granting dispensations to councillors and
co-opted members from
requirements relating to interests set out in the Members’ Code of Conduct;
(g)
dealing with any reports from a case tribunal or interim case tribunal, and any
report from the Monitoring Officer on any matter which is referred by an
ethical standards officer to the Monitoring Officer;
(h)
exercising of (a) to (g) above in relation to parish councils wholly or mainly in
its area and the members of those parish councils.
9.04 To assess complaints made into the conduct of local authority members within the
jurisdiction of the Canterbury City Council’s Standards Committee and to review, if
necessary, the decisions in relation to those complaints.
9.05
Hearings will be dealt with by a panel of members drawn from the committee chaired
by one of the independent members.
- 21 -
Article 10
– Area working arrangements
Area working arrangements
The council has recognised the need to engage the community in area working. It has
five Area Member Panels covering the district representing Canterbury, Herne Bay, northern
and southern rural areas and Whitstable. These non-decision making panels involve making
recommendations within the following parameters to the appropriate decision making body:
• listening and communicating better at the local level;
• identifying, reporting and representing the needs of the locality;
• community planning at the local level, monitoring the local delivery of services and
advising as part of the formal consultation process.
Member panels may assist in formulating local proposals and in enabling consultation before
decisions are taken affecting the particular locality.
Area working arrangements will also need to engage the parishes and other existing local
arrangements. The approach to area working arrangements will be evolutionary whilst
building upon partnerships and structures already established.
The terms of reference for Area Member Panels are set out in Part 3 of the Constitution.
- 22 -
Article 11 – Joint arrangements
Explanatory note
The Local Government Act 2000 (as amended) and regulations enable local authorities to
make use of joint arrangements with other authorities and delegate to other local authorities.
11.01
Arrangements to promote well being
The council, or the Executive, in order to promote the economic, social or
environmental well-being of its area, may:
(a) enter into arrangements or agreements with any person or body;
(b) co-operate with, or facilitate or co-ordinate the activities of, any person or
body;
(c) exercise on behalf of that person or body any functions of that person or
body; and
(d)
create partnerships and partnership bodies.
11.02
Joint arrangements
(a) In accordance with Section 101 of the Local Government Act 1972 (as
amended), the council may establish joint arrangements with one or more
local authorities and/or their Executives to exercise functions which are not
Executive functions in any of the participating authorities.
(b) Subject to the Local Authorities (Executive Arrangements) (Modification of
Enactments and Further Provisions) (England) Order 2001 - S1 2001 No
1517 the Executive may establish joint arrangements with one or more local
authorities to exercise functions which are Executive functions. Such
arrangements may involve the appointment of joint committees with these
other local authorities.
(c) The Executive may appoint only Executive members to a joint committee and
that membership need not be politically balanced.
(d)
Details of any joint arrangements including any delegations to joint
committees will be found in the council’s Scheme of Delegations in Part 3 of
this Constitution.
(e)
Pursuant to:
(i)
Section 2 of the Local Government Act 2000
(ii)
The Local Authorities (Arrangement for the Discharge of Functions)
England Regulations 2000
(iii)
Section 101(c) of the Local Government Act 1972 (as amended)
(iv)
And all other enabling powers
The council has entered into an agreement with the Kent County Council for a
Joint Transportation Board which advises the Executive and the council on
the services covered by the agreement. The terms of Schedule 3 of that
agreement are incorporated into Part 4 of this Constitution under Member
arrangements for the Joint Transportation Board.
- 23 -
11.03
Access to information
(a) The Access to Information Procedure Rules in Part 4 of this Constitution
apply to functions of the Executive.
(b) If all the members of a joint committee are members of the Executive in each
of the participating authorities then its access to information regime is the
same as that applied to the Executive of the respective members involved.
(c) If the joint committee contains members who are not on the Executive of any
participating authority then the access to information rules in Schedule 12A of
the Local Government Act 1972 (as amended) as may be amended from time
to time will apply.
11.04 Delegation to and from other local authorities
(a)
The council may delegate non-Executive functions to another local authority
or, in certain circumstances, to the Executive of another local authority.
(b)
The Executive may delegate Executive functions to another local authority or
the Executive of another local authority in certain circumstances.
(c)
The decision whether or not to accept such a delegation from another local
authority shall be reserved to the council meeting.
11.05 Contracting out
The council for functions which are not Executive functions and the Executive for
Executive functions may contract out to another body or organisation functions which
may be exercised by an officer and which are subject to an order under Section 70 of
the Deregulation and Contracting Out Act 1994 (as amended), or under contracting
arrangements where the contractor acts as the council’s agent under usual
contracting principles, provided there is no delegation of the council’s discretionary
decision making.
The council currently contracts out part of the management of investment funds.
- 24 -
Article 12 - Officers
Explanatory note
This article describes the structure of the senior management of the authority and the roles
of the Head of Paid Service
, Monitoring Officer and Chief Finance Officer.
12.01 Management structure
The senior management structure of the authority comprises the Chief Executive,
Directors and Heads of Service. Each director has a portfolio of responsibilities which
may include statutory responsibilities, service areas, corporate themes and strategies
and specific projects.
The composition of each portfolio may change from time to time to reflect the needs
of the authority and the skills and experience of individual directors.
The number of Directors and Heads of Service may vary from time to time.
The council is required to designate the following statutory posts: Head of Paid
Service, Chief Finance Officer, Monitoring Officer.
For the purposes of illustration, responsibilities at 1 April 2008 are as follows:
Post
Functions and areas of responsibility
Chief Executive
(As Head of Paid Service). Where this Constitution refers
to the Proper Officer it is to the Head of Paid Service
unless the context indicates otherwise. Overall corporate
management and operational responsibility (including
overall management responsibility for all officers) Legal,
Democratic, Policy, Forward Planning, Conservation,
Leisure and Culture, Press and Public Relations.
Provision of professional advice to all parties in the
decision making process.
Together with the Monitoring Officer, responsibility for a
system of record keeping for all the Council’s decisions.
Representing the Authority on partnership and external
bodies (as required by statute or the Council).
Director: Corporate
Finance and Office and Support Services. The Corporate
Services
Director holds the role of statutory Chief Finance Officer.
For the Deputy Chief Finance Officer for the time being
(see the Financial Procedure Rules in Part 4 of this
Constitution).
Information Technology, Personnel
Director of
Housing, Community Development, Housing Strategy,
Community Services
Homelessness, Community Safety.
Director of
Environment and Street Scene, Development Services,
Environment
Transportation and Engineering, Development Projects,
Property Services.
- 25 -
Head of Legal and
Head of Legal and Democratic Services is responsible for
Democratic
Services
the legal and decision making processes of the Council
and oversees its ethical governance. He is the Monitoring
Officer. Whilst he/she reports to the Head of Paid Service
he/she has separate statutory responsibilities. Deputy
Head of Legal Services is the Deputy Monitoring Officer
for the time being.
The above table is descriptive only and full details of delegations can be found in
Part 3 of this Constitution. The duties of the directors include the delivery of effective
corporate and strategic management of the Authority through collaborative working
with elected members, the corporate management team and partners, including
promoting the council’s vision, goals and core values.
The statutory posts mentioned above will have the functions described in Article
12.02–12.04 below.
Structure. The Head of Paid Service will determine and publicise a description of the
overall officer structure of the authority. This is set out at Part 7 of this Constitution.
12.02 Functions of the Head of Paid Service
The Head of Paid Service shall undertake all duties designated under Section 4 of
the Local Government and Housing Act 1989. These are personal functions and
must be undertaken by the Head of Paid Service personally. Where the Head of
Paid Service is also the Chief Executive he/she may delegate other functions which
are not included in Section 4.
(a)
Discharge of functions by the authority. The Head of Paid Service will
report to Full Council on the manner in which the discharge of the council’s
functions is co-ordinated, the number and grade of officers required for the
discharge of functions and the organisation of officers.
(b)
Restrictions on functions. The Head of Paid Service may not be the
Monitoring Officer but may hold the post of Chief Finance Officer if a qualified
accountant.
12.03 Functions of the Monitoring Officer
(a)
Maintaining the Constitution. The Monitoring Officer will maintain an up-to-
date version of the Constitution and will ensure that it is widely available for
consultation by members, staff and the public.
(b)
Ensuring lawfulness and fairness of decision making. After consulting
with the Head of Paid Service and Chief Finance Officer, the Monitoring
Officer will report to the Full Council or to the Executive in relation to an
Executive function if he/she considers that any proposal, decision or omission
would give rise to unlawfulness or following receipt of an ombudsman’s report
indicating if a decision or omission has given rise to maladministration. Such
a report will have the effect of stopping the proposal or decision being
implemented until the report has been considered.
(c)
Supporting the Standards Committee. The Monitoring Officer will
contribute to the promotion and maintenance of high standards of conduct
through provision of support to the Standards Committee.
- 26 -
(d)
Receiving reports. The Monitoring Officer will receive and act on reports
made by ethical standards’ officers and decisions of the case tribunals.
(e)
Local filter of complaints. The Monitoring Officer will support the process
for the filtering of complaints of breaches by the Members’ Code of Conduct.
(f)
Conducting investigations. The Monitoring Officer will conduct
investigations into matters referred by ethical standards’ officers or as a result
of the filtering of complaints locally and make reports or recommendations in
respect of them to the Standards Committee.
(g)
Proper officer for access to information. The Monitoring Officer will ensure
that Executive decisions, together with the reasons for those decisions and
relevant officer reports and background papers are made publicly available as
soon as possible.
(h)
Advising whether Executive decisions are within the budget and policy
framework. The Monitoring Officer will advise whether decisions of the
Executive are in accordance with the budget and policy framework.
(i)
Providing advice. The Monitoring Officer will provide advice on the scope of
powers and authority to take decisions, maladministration, financial
impropriety, probity and budget and policy framework issues to all councillors.
(j)
Appointment of a deputy. The Monitoring Officer shall appoint a deputy to
act in his/her absence and when the Monitoring Officer is unable to act as
defined in Section 5 of the Local Government and Housing Act 1989.
(k)
Restrictions on posts. The Monitoring Officer cannot be the Chief Finance
Officer or the Head of Paid Service.
12.04 Functions of the Chief Finance Officer
(a)
Ensuring lawfulness and financial prudence of decision making. After
consulting with the Head of Paid Service and the Monitoring Officer, the Chief
Finance Officer will report to the Full Council or to the Executive in relation to
an Executive function and the council’s external auditor if he/she considers
that any proposal, decision or course of action will involve incurring unlawful
expenditure, or is unlawful and is likely to cause a loss or deficiency or if the
authority is about to enter an item of account unlawfully.
(b)
Administration of financial affairs. The Chief Finance Officer will have
responsibility for the administration of the financial affairs of the council.
(c)
Contributing to corporate management. The Chief Finance Officer will
contribute to the corporate management of the council, in particular through
the provision of professional financial advice.
(d)
Providing advice. The Chief Finance Officer will provide advice on the scope
of powers and authority to take decisions, maladministration, financial
impropriety, probity and budget and policy framework issues to all councillors
and will support and advise councillors and officers in their respective roles.
(e)
Give financial information. The Chief Finance Officer will provide financial
information to the media, members of the public and the community.
- 27 -
12.05 Duty to provide sufficient resources to the Monitoring Officer and Chief
Finance Officer
The council will provide the Monitoring Officer and Chief Finance Officer with such
officers, accommodation and other resources as are in those officers’ opinion
sufficient to allow their duties to be performed.
12.06 Conduct
Officers will comply with the Officers’ Code of Conduct and the Protocol on Members/
Officer Relations set out in Part 5 of this Constitution.
12.07 Employment
(a)
The recruitment, selection and dismissal of officers will comply with the
Officer Employment Procedure Rules set out in Part 4 of this Constitution.
(b)
All officers shall be appointed on merit in accordance with Section 7 of the
Local Government and Housing Act 1989.
12.08 Disciplinary action against statutory officers
(a)
In paragraph 2, "chief finance officer", "council manager", "disciplinary action",
"head of the authority's paid service" and "monitoring officer", have the same
meaning as in regulation 2 of the Local Authorities (Standing Orders)
(England) Regulations 2001 (as amended) and "designated independent
person" has the same meaning as in regulation 7 of those Regulations.
(b)
No disciplinary action in respect of the head of the authority's paid service
(unless he is also a council manager of the authority), its monitoring officer or
its chief finance officer, except action described in paragraph 3, may be taken
by the authority, or by a committee, a sub-committee, a joint committee on
which the authority is represented or any other person acting on behalf of the
authority, other than in accordance with a recommendation in a report made
by a designated independent person under regulation 7 of the Local
Authorities (Standing Orders) (England) Regulations 2001 (investigation of
alleged misconduct).
(c)
The action mentioned in paragraph 2 is suspension of the officer for the
purpose of investigating the alleged misconduct occasioning the action; and
any such suspension must be on full pay and terminate no later than the
expiry of two months beginning on the day on which the suspension takes
effect.
- 28 -
Article 13 - Decision making
Explanatory note
The council is required to keep an up to date record of what part of the council or which
individual has responsibility for particular types of decisions or decisions relating to particular
areas or functions. This record is set out in Part 3 of this Constitution.
13.01
Responsibility for decision making
A purpose of the Executive structure is to expedite decision making. Accordingly
the intention of the council is that decision taking should be delegated in the
interests of speed where that is consistent with the democratic process in terms of
accountability and openness.
Various levels of decision making are:
(i)
Council - committees - delegations to officers.
(ii)
Executive - committees of the Executive - delegations to officers.
As a matter of principle all key and other major decisions shall be taken at full
meetings of the Executive.
The separation of powers between the council and the Executive is fundamental to
the operation of modernised local government.
The Local Authorities (Functions and Responsibilities) Regulations 2000 as
amended set out what decisions the council must make itself and these are
detailed in Article 4. The following functions under Schedule 2 of the Regulations
as amended are also functions in relation to which the council itself will make
decisions:
(i)
approval of best value review in accordance with Part 4 of the
Best Value
Procedure Rules;
(ii)
determination of any appeal against a decision made by, or on behalf of the
council;
(iii) appointment of persons to outside bodies has been delegated to the General
Purposes Committee. Interim appointments will be determined by the
Executive subject to approval at the next General Purposes Committee.
The determination of any appeal against a decision made by, or on behalf of the
Full Council as referred to in (b) in the paragraph above shall not in any way affect
or remove the statutory rights of the individual.
Part 3 also sets out those functions under Schedule 2 of the Regulations which the
council has determined shall be Executive functions.
Non-Executive decisions which the council is delegating to committees are
identified in Article 8. Decisions which both the council and the Executive are
delegating to officers are identified in Part 3.
- 29 -
Decisions in relation to the policy framework and the budget are exclusively
reserved to the council.
13.02
Principles of decision making
All decisions of the council, its committees, the Executive and those under
delegated powers shall have regard to the following principles of good practice:
• consideration of all options available;
• having regard to due consultation;
• consideration of professional advice from officers;
• clarity of aims and desired outcomes;
• the action proposed must be proportionate to the desired outcome;
• having respect and regard for human rights;
• presumption for openness;
• only relevant matters taken into account;
• due weight to all material considerations;
• proper procedures will be followed.
13.03
Types of decision
(a) Decisions reserved to Full Council - decisions relating to the matters listed in
Article 4 will be made by the Full Council and not delegated.
(b) Decisions made by committees appointed by the council - power to make
such decisions is delegated by the council in accordance with the terms of
reference contained in Part 4 of this Constitution. (Section 101, Local
Government Act 1972)
(c) Decisions of the Executive will comprise: (i) Key decisions; and (ii) other
decisions.
“Key decisions” relate to an Executive decision, which is likely:
(i)
to
result in the authority incurring expenditure which is, or the
making of savings which are, significant having regard to the council’s
budget for the service or function to which the decision relates;
or
(ii)
to
be
significant in terms of its effects on communities living or
working in an area comprising two or more wards in the council’s area.
These provisions will be supplemented by Part 5 of the
Protocol on
Accountable Decision Making.
A key decision will relate to a decision on a matter identified in the
Forthcoming Decision List, except in cases of urgency when the provisions
contained within the Budget and Policy Framework Procedure Rules and
Executive Procedure Rules set out in Part 4 of this Constitution will apply.
In accordance with Section 38 of the Local Government Act 2000, in
determining the meaning of “significant” the Council shall determine
thresholds above which items are significant and will ensure these limits are
published. Such thresholds are to be found in Part Five of the
Protocol on
Accountable Decision Making. Any decisions involving expenditure or saving
- 30 -
above the published threshold for the service or function concerned will be a
key decision. A key decision may not necessarily involve significant
expenditure or savings but may however be significant in terms of its effect on
communities in two or more wards within the council’s area.
A decision taker may only make a key decision in accordance with the
requirements of the Executive Procedure Rules set out in Part 4 of this
Constitution.
The council will explore means of improving access to information above the
minimum provided for in the Local Authorities (Executive Arrangements)
(Access to Information) (England) Regulations 2000 (as amended).
13.04 Decision making by the Full Council
Subject to Article 13.08, when considering any matter, the council meeting will follow
the council Procedures Rules set out in Part 4 of this Constitution.
13.05 Decision making by the Executive
Subject to Article 13.08, when considering any matter, the Executive or officer (if
appropriate) exercising delegated powers will follow the Executive Procedures Rules
set out in Part 4 of this Constitution.
13.06 Decision making by the Overview and Scrutiny Committee
When considering any matter the Overview and Scrutiny Committee will follow the
Overview and Scrutiny Procedures Rules set out in Part 4 of this Constitution.
13.07 Decision making by other committees established by the council
Subject to Article 13.08, other council committees or boards will follow those parts of
the council Procedures Rules set out in Part 4 of this Constitution as apply to them.
13.08 Decision making by council bodies acting as tribunals
The council, a councillor or an officer acting as a tribunal or in a quasi-judicial manner
or determining/considering (other than for the purposes of giving advice) the civil
rights and obligations or the criminal responsibility of any person will follow a proper
procedure which accords with the requirements of natural justice and the right to a
fair trial contained in Article 6 of the European Convention on Human Rights.
- 31 -
Article 14
– Finance, contracts and legal matters
Explanatory note
This article refers to the council’s Financial Procedure Rules and Contracts Procedure
Rules, which are set out in Part 4 of this Constitution.
14.01 Financial management
The management of the council’s financial affairs will be conducted in accordance
with the Financial Procedure Rules set out in Part 4 of this Constitution.
14.02 Contracts
Every contract made by the authority will comply with the Contracts Procedure Rules
set out in Part 4 of this Constitution.
14.03 Legal proceedings
The Head of Legal and Democratic
Services is authorised to institute, defend or
participate in any legal proceedings in any case where such action is necessary to
give effect to decisions of the authority or in any case where the Head of Legal and
Democratic Services considers that such action is necessary to protect the council’s
interests.
14.04 Authentication of documents
Where any document is necessary to any legal procedure or proceedings on behalf
of the authority, it will be signed by the Head of Legal and Democratic Services or
other person authorised by him/her, unless any enactment otherwise authorises or
requires, or the authority has given requisite authority to some other person.
Any contract with a value exceeding £500 entered into on behalf of the local authority
in the course of the discharge of an Executive function shall be made in writing. Such
contracts must either be signed by at least two officers of the authority or made under
the common seal of the council attested by at least one officer or the Lord Mayor or
the Sheriff and Vice-Chairman.
14.05 Common Seal of the council
The Common Seal of the council will be kept in a safe place in the custody of the
Head of Legal and Democratic Services. A decision of the authority, or of any part of
it, will be sufficient authority for sealing any document necessary to give effect to the
decision. The Common Seal will be affixed to those documents which in the opinion
of the Head of Legal and Democratic Services should be sealed. The affixing of the
Common Seal will be attested by the Head of Legal and Democratic Services or
some other person authorised by him/her.
- 32 -
Article 15 – Review and revision of the Constitution
Explanatory comment
This article places a duty to monitor and review the Constitution on a particular body/person.
15.01 Duty to monitor and review the Constitution
The Monitoring Officer will monitor and review the operation of the Constitution to
ensure that the aims and principles of the Constitution are given full effect, and will
consult at least on an annual basis with a member panel appointed by the council
which is politically balanced and contains at least one member of the Executive.
Protocol for monitoring and review of Constitution by Monitoring Officer
A key role for the Monitoring Officer is to be aware of the strengths and weaknesses
of the Constitution adopted by the council, and to make recommendations to the
Member Panel for ways in which it could be amended to better achieve the purposes
set out in Article 1. In undertaking this task the Monitoring Officer may:
(i)
observe meetings of different parts of the member and officer structure;
(ii)
undertake an audit trail of a sample of decisions;
(iii)
record and analyse issues raised with him/her by members, officers, the
public and other relevant stakeholders; and
(iv)
compare practices in this authority with those in other comparable authorities,
or national examples of best practice.
15.02 Changes to the Constitution
Changes to the Constitution may take place in the following ways:
(a)
The Monitoring Officer as Head of Legal and Democratic Services is to
publish and maintain the council’s Constitution with authority to correct minor
textual and typographical errors and to make minor textual changes which
may arise from any decision the council might make on any matter.
(b)
The Monitoring Officer is authorised in consultation with the three group
leaders to recommend to council any minor changes to the Constitution. If
such changes are not considered minor by any of the group leaders or are
rejected by council they shall stand referred for consideration to the Political
Management Member Panel.
(c)
The Monitoring Officer after consulting with the Political Management Member
Panel may recommend changes to the Constitution to Council.
(d)
Change from a leader and cabinet form of Executive to a mayoral form
of executive. The council must take reasonable steps to consult with local
electors and other interested persons in the area when drawing up proposals
and must hold a binding referendum.
- 33 -
Article 16
– Suspension, interpretation and publication of the Constitution
Explanatory comment
This article ensures that the articles of the Constitution may not be suspended. This
provides certainty and stability to the fundamental aspects of the council’s governance.
However, it does provide for rules of procedure to be suspended in certain circumstances.
16.01 Suspension of the Constitution
(a)
Limit to suspension. The articles of this Constitution may not be suspended.
The Rules of Procedure relating to meetings of the council, the Executive,
committees and sub-committees may be suspended by the council or the
Executive to the extent permitted within the council Procedure Rules and the
Executive Procedure Rules contained in Part 4 and the law.
(b)
Procedure to suspend. A motion to the Full Council to suspend any rules
will not be moved without notice unless at least one half of the whole number
of councillors are present. The extent and duration of suspension will be
proportionate to the result to be achieved, taking account of the aims of the
Constitution set out in Article 1.
16.02 Interpretation
The ruling of the Lord Mayor as to the construction or application of this Constitution
or as to any proceedings of the council shall not be challenged at any meeting of the
council. Such interpretation will have regard to the aims of this Constitution contained
in Article 1.
16.03 Publication
The Head of Paid Service will:
(i)
make available a printed copy of the Constitution to each member of the
authority upon delivery to him/her of that individual’s declaration of
acceptance of office on the member first being elected to the council;
(ii)
ensure that copies of the Constitution are available for inspection on the
council’s website, at the authority’s offices, libraries and other appropriate
locations, and can be purchased by members of the local press and the
public on payment of a reasonable fee;
(iii)
ensure that the summary and explanation of the Constitution is made
available without charge and is updated as necessary.
- 34 -
Schedule 1: Description of Executive arrangements
The following parts of this Constitution constitute the Executive arrangements:
1.
Article 6 (Overview and Scrutiny) and the Overview and Scrutiny Procedure Rules;
2.
Article 7 (The Executive) and the Executive Procedure Rules;
3.
Article 11 (Joint Arrangements);
4.
Article 13 (Decision Making) and the Access to Information Procedure Rules;
5.
Part 3 (Responsibility for Functions).
- 35 -
Part Three
Responsibility for functions
Part 3 - Responsibility for functions
Section 13 of the Local Government Act 2000 provides that all the functions of the authority
shall be functions of the Executive except in so far as they are reserved to the Council by the
Local Government Act 2000 (as amended), by subsequent legislation or by regulations
made under the Local Government Act 2000 (as amended). The Local Authorities (Functions
and Responsibilities) (England) Regulations 2000 as amended and which may be amended
from time to time sets out those functions:
(a)
which must not be discharged by the Executive, (for example determination of
planning applications; licensing and registration functions);
(b)
which may be the responsibility of the Executive (for example service of an
abatement notice for a statutory nuisance; functions relating to contaminated land);
(c)
which may not be the sole responsibility of the Executive (for example Best Value
Performance Plan); and
(d)
circumstances in which functions which would otherwise be functions of the
Executive fall to be discharged other than by the Executive (eg where the Executive
is taking a decision concerning the budget and wish to make a decision contrary to
the approved budget, then this is a matter for the council).
Accordingly, the council has discretion as to the allocation of functions between the council
(“council functions”) and the Executive (“Executive functions”) only in respect of those
functions which fall within category (b) above.
“Council functions” shall therefore comprise:
(a)
those functions which are reserved as council functions by the Local Government Act
2000 and by subsequent legislation;
(b)
those functions which are reserved as council functions by the Local Authorities
(Functions and Responsibilities) (England) Regulations 2000 and subsequent
regulations under the Local Government Act 2000 (as amended) including those
aspects of functions to be performed by the council where functions are not to be the
sole responsibility of an authority’s Executive;
(c)
those functions set out in Schedule 2 of the Local Authorities (Functions and
Responsibilities) (England) Regulations 2000 as amended save that the following
shall be Executive functions:
i)
under paragraph 18 of the schedule the making of agreements for the
execution of highway works insofar as this may be a district council function;
ii)
under paragraph 19 of that schedule, the appointment of any individual to any
office or body, or to any committee or sub-committee of any body, and the
revocation of such appointment shall be a council function (delegated to
General Purposes Committee) except to the extent that the opportunity for
such appointment arises at such date that it is not convenient to defer any
such appointment until the next General Purposes Committee;
iii)
under paragraph 20 of the schedule the making of agreements with other
local authorities for the placing of staff at the disposal of those authorities; and
- 36 -
(d)
the plans and strategies the adoption or approval of which shall be a council function
(the “Strategic Framework”) shall be those plans and strategies set out in Schedule 3
of the Local Authorities (Functions and Responsibilities) (England) Regulations 2000
(as amended) as are applicable to a district council together with such other plans
and strategies as the council shall identify from time to time for this purpose. The
Strategic Framework is to be found set out within Article 4.
The council may make arrangements under Section 101 of the Local Government Act 1972
(as amended) for the discharge of any of its functions by:
(a) a
committee;
(b) a
sub-committee;
(c)
a joint committee;
(d)
another local authority, or
(e) an
officer.
Such arrangements are set out in Part 2 of this Constitution and as follows in this Part 3 with:
(a)
The “Proper Officer” provisions.
(b)
The Scheme of Delegation of council and Executive functions to officers.
(c)
The delegated powers of committees, sub-committees and panels appointed at the
annual council meeting.
Under Section 15(2) of the Local Government Act 2000, the council will allocate all Executive
functions to the Executive as a body. The Executive may then delegate any of those
functions to a committee of the Executive or to an officer, but not to an individual member of
the Executive.
The Leaders list for the purposes of Article 7.07 of the Constitution is as follows:
(a)
There are no committees of the Executive which exercise Executive functions.
(b)
Officers exercise Executive functions as set out in the Scheme of Delegation of
Executive functions to officers set out in this part of the Constitution and marked ”[E]”
or “[E/C]” or “[C/E]” where the responsibility is not wholly that of the Executive.
(c)
There are no bodies forming joint arrangements to whom exercise of Executive
functions has been given.
- 37 -
"Proper Officer" provisions
Act
Proper Officer
Officer to act
Proper Officer’s
in the absence
function
or other inability
of Proper Officer
to act
Local Government Act 1972 (as amended)
1) 13(3)
Chief
Executive
Elections
Manager Parish Trustee.
and Assistant
Head of Corporate
Governance
2) 83(1)
Chief
Executive
Elections
Manager Witness and receipt
and Assistant Head
of declaration of
of Corporate
acceptance of office
Governance
3)
84
Chief Executive
Elections Manager
Receipt of written
and Assistant
notice of
Head of Corporate
resignation of
Governance
office.
4)
88(2)
Chief Executive
Assistant Head of
Convening of
Democratic
meeting of council
Services
to fill casual
vacancy in the
office of Chairman
(Lord Mayor).
5)
89(1)(b)
Chief Executive
Elections Manager
Receipt of notice of
and Assistant
casual vacancy
Head of Corporate
from two local
Governance
government
electors.
6)
96(1)
Chief Executive
Head of Legal and
Receipt of notices
Democratic
of pecuniary
Services
interest.
7)
96(2)
Chief Executive
Elections Manager
Keeping record of
and Assistant
disclosures of
Head of Corporate
pecuniary interest
Governance
under Section 94.
8)
100B(2),
Each Director of the
Assistant Head of
Copies of reports,
100D(5) Council, and the
Democratic
list of background
Head of Legal and
Services
papers and
Democratic
background papers
Services
for inspection by
All Heads of
the public
Service and
Members of the
Council’s extended
Management Team
9)
100C(2)
Chief Executive
Head of Legal and
Summary of
Democratic
exempt information
Services
for the minutes
10)
115(2)
Director of
Head of Revenues
Receipt of money
Corporate Services
and Benefits
due from officers.
- 38 -
Act
Proper Officer
Officer to act
Proper Officer’s
in the absence
function
or other inability
of Proper Officer
to act
11)
146(1)(a)
Director of
Head of Finance
Declarations and
and (b)
Corporate Services
certificates with
regard to securities.
12)
191
Director of
Heads of
Functions with
Environment
Development
respect to ordnance
Services and of
survey.
Transportation and
Engineering
13)
210(6)&(7)
Chief Executive
Head of Legal and
Charity functions of
Democratic
holders of office
Services
with existing
authorities
transferred to
holders of
equivalent office
with new authorities
or if there is no
such office to
proper officers.
14)
212(2)&(4)
Director of
----
Proper Officer to
Community and
act on behalf of the
Environment
council as
Services
registering authority
under the Local
Land Charges Act
1975 (as
amended).
15)
225(1)
The Director
The Head of
Deposit of
concerned
Service concerned
document.
according to the
according to the
nature of the
nature of the
document
document
16)
229(5)
Chief Executive
Head of Legal and
Certification of
Democratic
photographic
Services and
copies of
Elections Manager
documents.
and Assistant
Head of Corporate
Governance
- 39 -
Act
Proper Officer
Officer to act
Proper Officer’s
in the absence
function
or other inability
of Proper Officer
to act
17)
234
The director of the
The Head of
Authentication of
department in
Service of the
documents.
which the document
department in
originates (unless
which the document
(i) any enactment
originates (subject
otherwise requires
to the exceptions
or authorises in
stated in the
which case it shall
preceding column)
be the officer so
required or
authorised; or,
(ii) any document
will be a necessary
step in legal
proceedings on
behalf of the council
in which case it
shall, unless any
enactment
otherwise requires
or authorises, or the
council shall have
given the necessary
authority to some
other person for the
purpose of such
proceedings, be
signed by the Chief
Executive or the
Head of Legal and
Democratic
Services)
18)
236(9) &
Chief Executive
Head of Legal and
To send copies of
(10)
Democratic
byelaws for parish
Services
records and to the
county council.
19)
238
Chief Executive
Head of Legal and
Certification of
Democratic
byelaws.
Services
20)
248
Chief Executive
Head of Legal and
Keeping roll of
Democratic
Freeman of the City
Services
of Canterbury.
- 40 -
Act
Proper Officer
Officer to act
Proper Officer’s
in the absence
function
or other inability
of Proper Officer
to act
Schedule 12
21) Para. 4(2)
Chief Executive
Head of Legal and
Signature of
(a)(b)
Democratic
summonses to
Services
attend council
meetings.
22) Para. 4(3)
Chief Executive
Head of Legal and
Receipt of notices
Democratic
regarding address
Services
to which summons
to meetings is to be
sent.
Schedule 14
23) Para. 25(7)
Chief Executive
Head of Legal and
Certification of
Democratic
resolutions.
Services
Representation of the People Act 1983 (as amended)
24) 8
Chief Executive
Elections Manager
Electoral
and Assistant
Registration Officer.
Head of Corporate
Governance
25) 35
Chief Executive
Elections Manager
Returning Officer
and Assistant
for local
Head of Corporate
government
Governance
elections.
26) 52(3)
Elections Manager
-
Deputy to Electoral
and Assistant
Registration Officer.
Head of Corporate
Governance
27) 63, 69 & 70
Chief Executive
Elections Manager
Receipt of returns
and Assistant
and declarations of
Head of Corporate
election expenses.
Governance
28) 82(4)
Chief
Executive
Elections
Manager
Declaration as to
and Assistant Head
election expenses
of Corporate
to be made in
Governance
presence of
Local Elections (Parishes & Communities) Rules 2006
29) Rule 5
Chief Executive
Elections Manager
Receipt of request
and Assistant
by 10 local
Head of Corporate
government
Governance
electors for the
electoral area to
hold an election to
fill a casual vacancy
in the office of
Parish Councilllor.
- 41 -
Act
Proper Officer
Officer to act
Proper Officer’s
in the absence
function
or other inability
of Proper Officer
to act
Local Government and Housing Act 1989
30) 2
Chief Executive
Head of Legal and
Preparation of lists
Democratic
of politically
Services
sensitive posts.
31) 15
Chief Executive
Head of Legal and
Receipt of notices –
Democratic
political groups.
Services
31)
Town and Country Planning (Churches, Places of Religious Worship and Burial
Grounds) Regulations 1950
32) Director
of
-
Removal of human
Environment
remains from
development sites.
National Assistance Act 1948 as amended and the National Assistance (amendment)
Act 1951
33) 47
The Clinical
Removal to suitable
Director of the Kent
premises of
and Medway Health
persons in need of
Promotion Unit
care and attention.
Public Health Act 1936 (as amended)
34) 84
Director of
Head of
Cleansing or
Environment
Environment and
destruction of filthy
Street Scene
or verminous
articles.
35) 85
Director of
Head of
Cleansing of
Environment
Environment and
persons and their
Street Scene
clothing.
Public Health (Control of Diseases) Act 1984 (as amended)
36) 11
Director of
To be appointed by
Receipt of
Environment
the Head of
notifications of
Environment and
notifiable diseases
Street Scene
and food poisoning.
37) 11
The Clinical
Cases of notifiable
Director of the Kent
disease and food
and Medway Health
poisoning to be
Protection Unit
reported to local
authority and
supply of forms to
general
practitioners for
such reports.
- 42 -
Act
Proper Officer
Officer to act
Proper Officer’s
in the absence
function
or other inability
of Proper Officer
to act
38) 18
Director of
Information to be
Environment ,
given in cases of
Canterbury City
notifiable disease or
Council and Clinical
food poisoning.
Director of the Kent
and Medway Health
Protection Unit
39) 20
Director of
Head of
Stopping of work to
Environment
Environment and
prevent spread of
Street Scene
disease. LA shall
compensate any
person who has
suffered any loss in
complying with
such a request.
40) 20 (1)
Clinical Director of
Stopping of work to
Kent and Medway
prevent spread of
the Health
disease.
Protection Unit
41) 21
Clinical Director of
To be appointed by
Permission for
the Kent and
the Head of
children exposed to
Medway Health
Environment and
infection to attend
Protection Unit
Street Scene
school.
42) 21
Director of
Exclusion
from
Environment
of
school of child
Canterbury City
liable to convey
Council and Clinical
notifiable disease.
Director of the Kent
and Medway Health
Protection Unit
43) 22
Director of
To be appointed by
Power to require list
Environment
the Head of
of day scholars at
Environment and
school where
Street Scene
notifiable disease
exists.
44) 22 (1)
The Clinical
Supply of list of day
Director of the Kent
pupils at school
and Medway Health
which has cases of
Protection Unit
notifiable disease.
45) 24
Director of
Head of
LA may pay
Environment
Environment and
expenses of
Street Scene
disinfection of
infected articles.
- 43 -
Act
Proper Officer
Officer to act
Proper Officer’s
in the absence
function
or other inability
of Proper Officer
to act
46) 29 (4)
The Clinical
Certificate to allow
Director of the Kent
the letting of house
and Medway Health
or room after a
Protection Unit
recent case of
notifiable disease
once it has been
properly
disinfected.
47) 31
The Clinical
Requirement
to
Director of the Kent
disinfect premises.
and Medway Health
Protection Unit and
the Director of
Environment
48) 32 (1)
Clinical Director of
Provision
of
the Kent and
certificate for
Medway Health
removal of persons
Protection Unit
from an infected
house.
49) 32
Director of
Removal of persons
Environment
from an infected
house.
50) 35
Clinical Director of
Nominated
as
the Kent and
registered medical
Medway Health
practitioner for
Protection Unit
medical
examination.
51) 36
Director of
LA to nominate
Environment who
registered medical
will nominate the
practitioner for
Clinical Director of
medical
the Kent and
examination of
Medway Health
group of persons
Protection Unit
believed to be a
carrier of notifiable
disease.
52) 40
Director of
Medical
Environment and
examination of
the Clinical Director
inmates of common
of the Kent and
lodging-house.
Medway Health
Protection Unit
53) 42 (2)
Clinical Director of
Nominated
as
the Kent and
proper officer to
Medway Health
certify free from
Protection Unit
infection.
- 44 -
Act
Proper Officer
Officer to act
Proper Officer’s
in the absence
function
or other inability
of Proper Officer
to act
54) 43
Clinical Director of
Death in hospital of
the Kent and
person with
Medway Health
notifiable disease.
Protection Unit
55) 48
Director of
To be appointed by
Orders by Justice of
Environment
the Head of
the Peace, on
Environment and
certification from
Street Scene
proper officer, for
removal of dead
body to mortuary
for burial.
Housing Act 1985 (as amended)
56) 606
Head of Housing
Housing Services
Official
and Community
Manager (Private
representation.
Development
Sector)
Milk and Dairies (General) Regulations 1959 (as amended)
57) Regs 18-20
Director of
Head of
Provisions with
Environment and
Environment and
regard to infection
the Clinical Director
Street Scene
of milk.
of the Kent and
Medway Health
Protection Unit
The Rent (Agricultural) Act 1976 (as amended)
58)
Head of Housing
-
All the council's
Services and
duties under the
Community
Act.
Development
Public Health (Infectious Diseases) Regulations 1988
59)
In all parts of the
regulations, the
Proper Officer shall
mean the Clinical
Director for Kent
and Medway Health
Protection Unit.
Public Health (Fees for Notification of Infectious Diseases) Order 1968
60)
In all parts of the
regulations, the
Proper Officer shall
mean the Clinical
Director for Kent
and Medway Health
Protection Unit.
- 45 -
Act
Proper Officer
Officer to act
Proper Officer’s
in the absence
function
or other inability
of Proper Officer
to act
Public Health Aircraft Regulations 1979
61)
In all parts of the
regulations, the
Proper Officer shall
mean the Clinical
Director for Kent
and Medway Health
Protection Unit.
NB The appointments of Head of Paid Service. Monitoring Officer and Chief Finance Officer
under the Local Government Act 1989 (as amended) are set out in the list of delegations to
officers and referred to in part Three of the Constitution (Responsibility for Functions).
- 46 -
Scheme of delegation of council
and executive functions to officers
Introduction
This scheme has been adopted by Canterbury City Council and its Executive and is the list
of delegations to officers under section 101 of the Local Government Act 1972 (as
amended), section 15 of the Local Government Act 2000 and all other powers enabling
delegations to officers. It is adopted with the intention of giving a clear transparent and
accountable decision-making process.
Reference to powers of “the council” include those exercisable by the Executive.
1.
Officers may only exercise the delegated powers in this scheme in accordance with
1.1
Statutory or other legal requirements, including the principles of public law,
the Human Rights Act 1998 (as amended), statutory guidance and statutory
codes of practice.
1.2
The Constitution of the council including standing orders, contract standing
orders and financial regulations and having particular regard to the protocol
on accountable decision making.
1.3
The revenue and capital budgets of the council, subject to any variation
thereof which is permitted by the council’s Financial Regulations.
1.4
Consideration of the council’s policies.
2.
Officers may not exercise delegated powers where –
2.1
The matter is reserved to the council or the Executive by law or by the
council’s Constitution.
2.2
The matter is a function which cannot by law be discharged by an officer.
2.3
The council, the Executive, a committee or sub-committee has determined
that the matter should be discharged otherwise than by an officer.
Where an officer has delegated powers the council or the Executive or a committee
(as appropriate) can still exercise that power if it considers it is appropriate to do so.
3.
Officers may not exercise delegated powers in a way which is contrary to the policies
and plans approved by or on behalf of the council.
4.
If for any reason it is not practical to consult a person required to be consulted in the
exercise of a delegation then the person with the delegated powers must consult
someone else they reasonably consider to be an appropriate substitute consultee.
5.
Delegations of Directors or Heads of Service may be exercised by other officers
whom they authorise to act on their behalf; provided that the delegation is recorded in
writing.
- 47 -
6.
The delegated powers held by an officer may be exercised by the line manager of
that officer (or by the line manager’s line manager) if:
• That post is vacant
• The post holder is not at work for any reason.
7.
The delegations in this Scheme of Delegation include the discharge of both executive
and non-executive functions. Executive functions are shown by an “[E]” and council
functions by a “[C]” after each delegation.
8.
Any reference in this Scheme of Delegation to any enactment shall include a
reference to any amendment to or re-enactment of the same.
9.
Where an officer has delegated authority to discharge functions
• by virtue of any other provision of this Constitution or
• through a specific decision of the council, a committee, a sub-committee or the
Executive, either before or after the adoption of this Scheme,
the absence of the delegation from this Scheme shall not prevent the exercise of the
delegation.
General section (all Directors and Heads of Service)
Service Plan/Policy
1.
Implementation of departmental service plans and delivery of service as defined
therein. [E/C]
Financial
2.
Acceptance of the lowest tender or bid for the carrying out of works for the council,
the purchase, leasing or hiring of goods, materials and equipment by the council,
or
the supply of services to the council, provided that budget provision is
available. [E]
3.
Entry into contract documentation following tender/bid acceptance (subject to the
provisions of Financial Regulations and Contract Standing Orders relating to the
execution of contracts under seal). [E/C]
4.
Authority to negotiate and agree price increases where a contract provides for price
increases to be negotiated and agreed by the parties, subject to Contract Standing
Orders and ensuring sufficient budgetary provision exists. [E/C]
5.
The assignment or novation of a contract. [E/C]
6.
The approval of the appointment of or the acceptance of the tender of a sub-
contractor or supplier for specialist work or material provided that this does not result
in the budget provision for the works as a whole being exceeded. [E/C]
7.
Provided that authority to let a contract has been obtained:
7.1
Acceptance of the highest tender or bid for the award of concession/
sponsorship contracts subject to the approval of the Chief Executive and the
Director of Corporate Services.
- 48 -
7.2
Entry into contract documentation following tender/bid acceptance (subject to
the provisions of Financial Regulations relating to the execution of contracts
under seal).
8.
To bid and tender for and enter into contract documentation for the supply of works,
goods or services to other bodies where provided for in the relevant service plan
(subject to the provisions of Financial Regulations AND Contract Standing Orders).
9.
Virement between heads of expenditure of up to £30,000 (or £40,000 with the
approval of the Chief Executive in consultation with Management Team) provided
that such virement is in accordance with the conditions for virements in Financial
Regulations. [E/C]
10.
Provision of reasonable hospitality to representatives of other authorities, visiting a
department or premises under the Director’s or Head of Service’s control subject to
agreement by the Chief Executive for expenditure in excess of £500. [E]
11.
To negotiate and agree variations in contracts arising out of statutory requirements
subject to adequate budgetary provision being available. [E/C]
12.
Disposal of surplus or obsolete equipment, to the highest tenderer or where no bid is
received to charity or scrap. [E]
Human resources
13.
To appoint all departmental staff except director posts subject to the council’s
recruitment procedures. [E/C]
14.
Dealing with all staffing matters which can be contained within budget. [C]
15.
Completing service tenancies where appropriate in consultation with the Head of
Legal and Democratic Services and the Director of Corporate Services. [C]
16.
Appointment of apprentices and the completion and cancellation of indentures. [C]
17.
Granting acceleration of increments for any staff within their substantive grade for
merit and ability. [C]
18.
Determination of requests or recommendations for honoraria, (subject to the approval
of the Chief Executive in the case of honoraria of more than 12 months duration or
£1000 in total), gratuities and responsibility allowances. [C]
19.
The determination of applications for paid and unpaid leave: -
19.1 for trade union training with special regard to the council’s policies on
equalities and to courses directed towards equalities issues;
19.2
for health and safety training;
19.3 for paid leave for an employee to discharge her/his duties of the office of
President of a Trade Union;
19.4
for an employee to attend meetings etc with pay as a member of another local
authority, or similar public body on condition that the employee only receives
the difference between pay and any amount receivable under local
government regulations etc. This does not include an employee attending
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such a body in her/his official capacity which would be as part of their official
duties;
19.5
for personal or domestic reasons in accordance with conditions of service;
19.6
for maternity, parental and dependant’s support leave;
19.7 for compassionate leave where there are urgent personal or domestic
reasons for needing additional paid leave in accordance with conditions of
service. [C]
20.
Determination of extensions of sickness allowance in consultation with the Director of
Corporate Services. [C]
21.
Determination of requests for extensions of service except that of first and second
tier officers. [C]
22.
Determination of casual or essential car users allowance or leased car or cash in lieu
to officers subject to compliance with the provisions agreed by the council. [C]
23.
Determination of planned overtime for officers above Scale 6. [C]
24.
Determination of claims for payment of subsistence allowances on the basis that only
claims in respect of expenditure incurred within six months of the date of the
application will be met. [C]
25.
Determination of proposals to attend service training courses. [C]
26.
Determination of staff grievances and referral to the Chief Executive where resolution
is not possible at departmental level in consultation with the Director of Corporate
Services. [C]
27.
Discipline, suspension and/or dismissal of employees up to third tier level in
consultation with the Director of Corporate Services. [C]
28.
Authority to assimilate staff on appointment, promotion or regrading where
appropriate within the approved grade having regard to all the circumstances. [C]
29.
Compliance with the provisions of the Health and Safety Policy of the
council. [C/E]
Powers of entry/requisitions for information/RIPA
30.
To authorise officers in their departments or sections to enter land or premises in the
course of their duties under any relevant statutory provisions or subordinate
legislation. [C/E]
31.
To serve statutory notices or orders and/or arranging for the execution of work
consequent on non-compliance with such notices or orders in relation to aspects of
their service. [C/E]
32.
To authorise surveillance under The Regulation of Investigatory Powers Act 2000 (as
amended) where they have undertaken training to do so. [C/E]
33.
To serve requisitions for information as required in the course of their duties under
any relevant statutory provisions or subordinate legislation.
- 50 -
Legal proceedings
34.
Where a Director or Head of Service consider that legal proceedings are needed in
connection with: -
(a)
any breach of notice;
(b)
any breach of condition imposed by a licence granted under these delegated
powers;
(c)
the effective management of the service for which he is responsible,
they may, subject to consultation with the Head of Legal and Democratic Services
instruct the Head of Legal and Democratic Services to take those proceedings
subject to reporting the outcome to the Executive or next regulatory committee
meeting as appropriate.
[C/E]
35. To take any action which the council has the power to take in order to manage their
service area including the power to apply for any registration licence or consent in
connection with the service area.
36. To publicise the service they provide.
[E/C]
37.
To temporarily change opening hours for premises subject always to the provisions
of the Licensing Act 2003.
[E]
38.
In consultation with the Head of Legal and Democratic Services to ban people from
premises they manage. [E]
39.
To exercise the council’s powers with regard to any lost, uncollected or abandoned
property (including vehicles). [E]
Specific powers of the council delegated to officers
A.
Powers delegated to the Chief Executive
1.
To be and carry out the duties of the Head of Paid Service in accordance with
Section 4 of the Local Government & Housing Act 1989 (as amended), the Local
Government Act 2000 and the council’s Constitution.
2.
To discharge any function of the council which has not been specifically delegated to
another officer. [E/C]
3.
To take any action which is required as a matter of urgency in the interests of the
council, in consultation with the Leader, if time permits. [E/C]
4.
To manage the Chief Executive’s Department. [E/C]
5.
To approve the content and production of the Best Value Performance Plan subject
to consultation with the Scrutiny Management Review Sub-Committee and prior
approval of the Executive.
- 51 -
Human resources
6.
To work out appropriate managerial and operational consequences and to refine as
necessary the structure of the council in order to deliver the aims, objectives and
changing priorities of the council. [C/E]
7.
To deal with redundancies and approve applications from employees for early
retirement (including ill health retirements) in accordance with council policies and
following referral to the council’s doctor as necessary and reporting all approvals to
the Executive. (C)
8.
To be the Proper Officer responsible for the list of politically restricted posts. [C]
9.
To maintain the list of senior nominated officers in connection with establishment
arrangements for the protection of children. [C]
10.
To approve, on the advice of the appropriate Director or Head of Service, the
payment of honoraria in accordance with the provisions of the national and local
conditions of service in cases where additional duties and responsibilities are
undertaken for more than 12 months or the total payment amounts to more than
£1000.00. [E]
11.
To be and carry out the duties of electoral registration officer. [C]
12.
To be and carry out the duties of Returning Officer for the election of
councillors. [C]
13.
To discharge the functions of the council relating to parliamentary, local government
and European parliamentary elections and referenda. [C]
14.
To make an order under Section 91 of the Local Government Act 1972 (as amended)
to appoint temporary Members to parish councils in those cases where the council
cannot act. [C]
(This delegation is exercisable by the Returning Officer after consultation with the
Executive and relevant ward members).
General
15.
To deal with emergencies and disasters and the carrying out of civil defence
functions. [E]
16.
To deal with issues relating to the Commission for Local Administration provided that:
16.1
Complaints involving Members shall be notified to the Member concerned, the
Executive and their party leader.
16.2
Investigations of complaints involving the Chief Executive shall be undertaken
by a director nominated by the Leader.
16.3
The Leader shall be consulted about statements to be published by the Local
Commissioner. [C/E]
17.
To determine arrangements for civic hospitality. [E]
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18.
To take preliminary steps to protect the rights and interests of the council subject to
consultation with the Executive in relation to any white paper, bill or statutory
instrument or order in parliament. [E/C]
19.
To determine Member attendance at conferences subject to consultation with the
Executive. [E]
20.
To appoint members of the Independent Remuneration Panel. [C]
21.
To close noisy premises where a public nuisance is being caused by noise coming
from the premises and the closure of the premises is necessary to prevent the
nuisance under Section 40 of the Anti Social Behaviour Act 2003 (the Chief
Executive has authorised the Environmental Protection Manager to exercise this
function).
As to orders:
22.
To make, under Section 13 of the Public Order Act 1996 (as amended by the Serious
Organised Crime and Police Act 2005), on the application of the Chief Officer of
Police, an order (with the consent of the Secretary of State) to prohibit the holding of
public processions in all or any part of the Canterbury district for a period not
exceeding three months. [E]
23.
To make orders for road closures under Section 21 of the Town Police Clauses Act
1847 (as amended), subject in each case to no contrary observations being received
from the Head of Transportation and Engineering or the Police. [E]
(This delegation is exercisable by the Head of Legal and Democratic Services in the
absence of the Chief Executive). [E]
24.
To undertake the necessary procedures to make any minor amendments to the Off
Street Parking Places Order which become necessary throughout each year with any
objections received being reported to the Executive for consideration. [E]
(This delegation is exercisable in consultation with the Head of Transportation and
Engineering).
B. Powers delegated to the Director of Corporate Services
1. To
be the Chief Finance Officer and be responsible for the administration of the
financial affairs of the council under Section 151 of the Local Government Act 1972
(as amended) and for the purposes of the council’s Constitution. [C]
2.
To exercise the duties of the Chief Finance Officer under Section 114 of the Local
Government Finance Act 1988. [C/E]
3.
To manage the Corporate Services Department. [C/E]
4.
To exercise the responsibilities assigned to the Director of Corporate Services in the
council’s Financial Regulations. [C/E]
5.
To raise loans and make investments (temporary investment of surplus monies and
longer-term investment of monies held for specific purposes) as and when required
at appropriate rates in accordance with the council’s Treasury Management Strategy
and act as Registrar or appoint a Registrar as appropriate. [E]
- 53 -
6.
To complete and sign leasing agreements for items included within the approved
capital or revenue budgets. [E]
7.
To arrange appropriate insurance cover on behalf of the council. [E]
8.
To settle claims for the loss or damage to clothing and/or personal belongings of staff
up to a value of £500. [E]
9.
To make any awards arising out of the Suggestion Scheme. [E]
10.
To administer the Scheme for Members Allowances and allowances payable to the
Lord Mayor and the Sheriff and Vice-Chairman; to increase the members’ allowances
on 1 April each year by the RPI (Retail Price Index) published at the end of February
each year; and to amend allowances paid to the Civic Team to reflect individuals’ tax
positions. [C]
11.
To provide financial services either on an agency basis or where required by statute
for other authorities or bodies. [C/E]
12.
To determine and declare local average interest rates in accordance with legislation
and the interest rate for loans to Housing Associations. [E]
13.
To authorise persons to act for the council at company and creditors meetings. [E]
14.
To operate the Car Loan and Car Benefit Schemes and adjust on an annual basis
the car benefits allowances to reflect the budget inflation allowances. [C]
15.
To assess service charges in respect of dwellings which have been leased on long
leases and where the council retains the freehold interest. [E]
16.
To pay salaries and wages and implement agreed pay awards. E]
17.
To administer staff benefits and expenses and to review rates annually in accordance
with the budget inflation allowances. [E]
18.
To discharge the functions of the council under the Accounts and Audit Regulations
1996 as amended (with the exception of Regulation 8(2)). [C]
19.
To exercise the functions of the authority in relation to pensions and in consultation
with the Executive, Chief Executive and the Head of Personnel Services to determine
applications for voluntary early retirement (including compassionate early retirement)
and discretionary payments/awards in connection with such applications. [C]
20.
Together with the Head of Legal and Democratic Services to administer any secured
loans, mortgages or advances made by the council. [E]
21.
To carry out the council’s functions relating to office accommodation and voice
telephony services in Council buildings. [E]
22.
To set the Council Tax base. [C]
23.
To agree future applications from the voluntary sector for discretionary rate relief, in
consultation with the Single Grants Gateway Panel. [E]
24.
To authorise the implementation of the decisions of negotiating bodies relating to pay
and other conditions of service, except where the council has discretion about how to
implement the decision. [E]
- 54 -
25.
To approve an extension of time in exceptional circumstances (for example where
the officer is prevented from acting immediately upon the advice due to absence/
injury) so that late conversions of accumulated AVC’s to pension benefits be
permitted by extending the period during which such elections can be made from 30
days from the relevant date, to 30 days of being advised of the value of the converted
scheme membership. [E]
26.
Power to enter into agreements with workers for the purposes of regulating working
time. [C]
27.
Power to enter into local agreements with trade unions where the implementation is
not expected to have the effect of increasing expenditure. [C]
28.
Power to disapply any part of the council’s recruitment policy or employment standing
orders where the Head of Personnel Services considers this is in the interests of the
council and after considering the possible legal implications of so doing. [C]
29.
Determination of the payment of removal expenses, lodging allowances or travelling
allowances. [C]
30.
To extend any aspect of the disturbance allowance scheme in exceptional
circumstances or where an officer through no fault of his own experiences
considerable difficulties or hardship. [C/E]
31.
Determination of requests for the provision of temporary housing accommodation
to
employees, in consultation with the Head of Housing and Community
Development. [C]
32.
Determination of requests for the reimbursement of post-entry training and
examination fees. [C]
33.
Determination of proposals to attend corporate training courses. [C]
34.
Determination of proposals for the retention fees for trainers. [C]
Limitations
The council is committed to the principle of equitable treatment of employees in all its
services, and decisions about the management and disciplining of staff are subject
to:
• the
law
• national and local agreements on conditions of service
• disciplinary and grievance procedures
• the dignity at work policy
• recruitment
procedures
• contracts
of
employment
• pay policies redeployment procedures
• equal opportunities policy
• health and safety policy
• any other policy relating to employment matters.
- 55 -
C.
Powers delegated to the Head of Culture and Communications
1.
To exercise the council’s powers with respect to the provision maintenance and
development of the council’s museums and galleries and their associated collections
and exhibition programmes. [E]
Limitation
1.
This delegation shall not allow the Head of Culture and Communications to dispose
of any part of the collections nor place them on permanent loan. [E]
2. To allow the museums and galleries to be used for educational or cultural events or
entertainment (whether in return for payment or not) and, when a charge is to be
made, to set that charge. [E]
3.
To manage the council’s halls, including the Westgate Hall, Canterbury and the Kings
Hall in Herne Bay. [E]
4.
To provide catering at any facility or event managed by this service. [E]
5.
To exercise the council’s powers with regard to the management of the Marlowe
Theatre and to negotiate and enter into contracts for or in connection with
productions at the Marlowe Theatre subject to sufficient budget being available. [E]
6.
To encourage, provide, promote and develop cultural, sporting and play activities for
the benefit of the community. [E]
7.
To control and co-ordinate press and media relations, the organisation of press
conferences, publicity and public relations including approval of the issue of all official
publicity and official publications. [E]
D. Powers delegated to the Head of Development Services
[These powers are also exercisable by the Director of Community and Environment
Services]
As to Development Control:
1.
To grant or refuse all types of application submitted under the Town and Country
Planning Act 1990 (as amended), or the Planning (Listed Buildings and Conservation
Areas) Act 1990 (as amended), or the Advertisement Regulations 1992 (as
amended) where contrary views to the officers recommendation are received from
either a parish council, the Canterbury Conservation Advisory Committee, the
Whitstable Society or the Herne Bay & District Residents Association.
2.
To refuse applications clearly contrary to Local Plan Policy irrespective of the number
of representations made.
3.
Subject to 2 above such delegated power shall not be exercised in the following
circumstances:-
(a)
Where a parish council or organisation listed in (1) above object to a proposal
and give notice that it would attend committee to support that objection.
(b)
Where a Member of the council requests an application is brought before
committee for consideration.
- 56 -
(c)
The decision would conflict with four or more letters of objection within the
specified representation period.
(d)
The Head of Development Services considers it prudent to report the matter
to committee. [C]
3.
To determine, pursuant to Section 101 of the Local Government Act 1972 (as
amended), planning applications for a period not exceeding two years subject to
there being no material changes in the planning issues. If there are any material
changes the application will be referred back to the Development Control Committee
for further consideration.
4.
The power to amend S106 planning agreements in cases where he and the Head of
Legal and Democratic Services are satisfied that the amendment is technical and
makes no material change in the outcomes of the planning agreement or the related
planning permission.
5.
To decide what information is needed before a decision can be taken on any
application including whether an Environmental Assessment is required in respect of
a planning application or any other development. [E]
6.
Where a breach of planning control is underway and no satisfactory undertaking is
received by him from the person responsible that such breach will cease:
(a)
He be authorised to consider and determine any breach of planning control
which may have taken place and whether it is expedient to issue any notice
pursuant to the provisions of the Town and Country Planning Act (as
amended) and the Planning (Listed Building and Conservation Areas) Act
1990 (as amended). Such notices to include enforcement notices, planning
contravention notices and breach of condition notices.
(b)
Where in his opinion it is a case of urgency whether or not outside the normal
business hours of the council, he be authorised to issue and serve such
notices;
(c)
Where he has determined a breach of planning control has taken place and
that it is expedient to issue a notice and he is of the opinion it is a case of
urgency whether or not outside normal business hours then:
(i)
he may consider whether it is expedient to issue a stop notice under
the provisions of Section 183 of the Town and Country Planning Act
1990 and carry out and appropriate cost benefit analysis; and
(ii)
if in his opinion a stop notice is justified he may request the Head of
Legal and Democratic Services to serve such a notice.
(This delegation is exercisable, in his absence or other inability to act, by the
Development Control Manager or the Team Leader (Enforcement)), unless the
matter is one of extreme urgency the Head of Legal and Democratic Services should
be consulted.) [C]
7.
To carry out work in default under Section 178 and 215 of the Town and Country
Planning Act 1990 and Section 42 of the Planning (Listed buildings and Conservation
Areas) Act 1990 (as amended) provided that there is adequate budget provision
available. [C]
- 57 -
8.
To decide any applications for determinations as to whether the prior approval of the
local authority will be required under Schedule 2 of the Town and Country Planning
(General Permitted Development) Order 1995. [C]
9.
To respond to consultations under The Care of Cathedrals Measure 1990 and The
Care of Churches and Ecclesiastical Jurisdiction Measures 1991. [E]
10.
To exercise the council’s powers with respect to part 8 of the Anti Social Behaviour
Act 2003 with respect to High Hedges from 1 June 2005.
11.
To issue and arrange the service of planning contravention notices under section 171
of the Town and Country Planning Act 1990 as amended provided he is satisfied that
the circumstances of the case warrant their issue.
Building preservation notices
12
To serve and withdraw building preservation notices on unlisted buildings. The
reasons for the notice and any question of potential compensation must be reported
to the earliest available meeting of the Development Control Committee. [C]
Urgent works notices
13
To serve urgent work notices where the Head of Development Control is satisfied
that it is necessary to serve such a notice without delay to avoid damage or the risk
of damage to any unoccupied listed building. The reasons for the notice and any
question of potential compensation must be reported to earliest available meeting of
the Development Control Committee. [C]
14
To implement the powers set out in Part VII of the Town and Country Planning Act
1990 as they relate to Tree Preservation Orders and trees in conservation areas
(except the confirmation of Tree Preservation Orders where an objection has been
submitted by a third party). [C]
15
To exercise the council’s powers with respect to hedgerows set out in the
Environment Act 1995 (as amended) and the Hedgerows Regulations 1997. [C]
16
To deal with dangerous trees under Section 23 of the Local Government
(Miscellaneous Provisions) Act 1976. [E]
Local Land Charges
17
To administer the register of local land charges, carry out official searches and to
respond to enquiries of local authorities and determine the fee charged for
responding to these. [E]
Building Control
18
To exercise the council’s statutory functions with respect to the building regulations
including the issue of all approvals, rejections, dispensations, relaxations or consents
under the building regulations and The Building Act 1984 (as amended) and service
of all statutory notices and the taking of appropriate enforcement action including
carrying out works in default. [E]
19
To exercise the council’s powers with respect to ruinous, dilapidated or dangerous
buildings or structures unsecured or unoccupied properties or sites which are
dangerous. [E]
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20
To exercise the council’s powers to require the provision of entrances and/or exits or
means of escape from premises. [E]
21
To exercise the council’s powers with respect to demolition of buildings (but not to
grant any planning permission or conservation area consent). [E]
22
To carry out the necessary statutory duties, in respect of initial notices issued by the
approved Inspectors supervising work instead of the council. [E]
23
To deal with any consultation concerning the safety of any sports ground. [E]
24
To act, under Section 10(8) of the Party Wall, etc Act 1996, as the “Appointing
Officer” for the selection of a third surveyor.
(This delegation is also exercisable by the Building Control Manager). [E]
25
To set the charges fixed under the Building (Local Authority Charges) Regulations
1998 by up to plus or minus 10% of the charging levels in that respect recommended
each year by the Local Government Association.
(This delegation is exercisable by the Building Control Manager in consultation with
the Director of Corporate Services). [E]
26
To vary the charges referred to in J 21 above by any amount no greater than 10%.
(This delegation is exercisable in consultation with the Director of Corporate Services
and the Leader of the Executive). [E]
E.
Powers delegated to the Head of Environment and Street Scene
1.
To exercise every function and power relating to hackney carriages and private hire
vehicles, their drivers and private hire operators. In respect of vehicles, this
delegation shall include the granting, but not refusal, of applications to license a
private hire vehicle where more than five years have passed since the first
registration of the vehicle with the Driver and Vehicle Licensing Authority (DVLA).
Limitations
There is no delegated power to refuse applications for –
1.
A hackney carriage or private hire vehicle licence.
2.
The transfer of a hackney carriage or private hire vehicle licence unless the
vehicle fails to meet the council’s required standards.
3.
A hackney carriage or private hire driver’s licence.
4.
A private hire operator’s licence. [C]
2.
To report any use of delegated powers as to hackney carriage and private hire
licensing matters to the next available meeting of the General Purposes Committee
or its Urgency Sub-Committee if associated with any appeal. [C]
3.
Licensing
(a)
To exercise all the council’s functions with regard to
- 59 -
• the classifying of unclassified films (in consultation with the Head of Legal
and Democratic Services)
• hypnotists
• street
collections
(b)
To exercise all the council’s functions with regard to the Licensing Act 2003
and any regulations made under that Act in accordance with the table as set
out in the council’s licensing policy and section 182 of the Act.
(c)
To exercise those of the council’s functions with regard to the Gambling Act
2005 (as amended) and any regulations made under that Act in accordance
with the table as set out in the council’s Gambling Policy,
to include the imposition or variation of any condition imposed on any licence where
that is legally permissible, save that in the case of an application for licence which is
subject to representation or objection, or where he is minded to refuse an application,
then the application will be referred to the General Purposes Committee or its
Urgency Sub-Committee or the Licensing Committee or its sub-committees as
necessary for decision. [C]
4.
To exercise all the council’s functions with regard to the welfare of animals including
• Animal
boarding
• Riding
Establishments
• Zoos
• Dog breeding and welfare
• Animal trainers and exhibitors
• Dangerous wild animals
• Pet shops [C]
5.
To appoint inspectors and authorised officers under any legislation. [C/E]
6.
Markets
(a)
To discharge the functions of the council managing the markets and with
regard to the Canterbury, Whitstable and Herne Bay markets including
determining the following matters
• Allocating letting or revoking pitches
• Minor variations in type of business
• Licences for privately operated specialist markets
• Offering stall rent discounts to new traders/trades
• Waiving stall rental during stall holders’ holiday periods [E]
(b)
To amend the market regulations. [E]
7.
Street trading
To discharge the functions of the council in connection with the management and
administration of street trading. [E/C]
8.
Parks, gardens and open spaces
• To manage the council’s parks, gardens and open spaces used for leisure
purposes including enforcement of the bylaws relating to them. [E]
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• To licence the use of the council’s parks, gardens and open spaces, the
Longmarket, St George’s Street and pedestrianised areas, clocktower and the
Buttermarket for cultural activities. [E]
• To manage the council’s allotments sites not including the fixing of rents. [E]
9
.
Food and occupational health
(a)
To exercise the council’s powers
(i)
with respect to securing the safety of food and the condition of food
premises including but not limited to powers of approval registration
and enforcement
(ii)
as enforcing authority of all legislation relating to health and safety at
work
(iii)
with respect to the control of infectious and notifiable diseases
(iv)
Sunday Trading [C/E]
(v)
with regard to the enforcement of the relevant sections of the Health
Act 2006
(b)
To register persons and premises for acupuncture, tattooing and skin
piercing and electrolysis under Section 13-17 of the Local Government
(Miscellaneous Provisions) Act 1982 (as amended). [C].
10.
Environmental protection
1.
To exercise the council’s functions with respect to -
(a) Statutory nuisance legislation, including taking remedial action,
apportionment and recovery of costs.
(b) The closure of noisy premises in accordance with sections 40 and 41
of the Anti Social Behaviour Act 2003 as authorised by the Chief
Executive (See A22)
(c) Defective and blocked drains and sewers, drainage systems and the
provision of sanitary accommodation and drainage.
(d) Filthy and verminous premises, articles or persons.
(e) Public health.
(f) Water supplies.
(g) Clean air legislation.
(h) Pollution control.
(i) Contaminated
land.
(j) Pest
control.
(k) Registration of scrap metal dealers and other processes with
environmental consequences as specified by law. [C]
11.
Cleansing and waste collection
1.
To exercise the council’s functions with regard to
(a)
fixing and levying reasonable charges for the collection and disposal
of waste other than household waste.
(b)
fixing and levying reasonable charges for bins and sacks.
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(c)
the collection of household or commercial waste including the
council’s powers to serve any statutory notices on any particular
person or classes of persons and the granting of consents to clean
wheeled bins.
(d)
the collection of household or commercial waste including the
council’s powers to serve any statutory notices on any particular
person or classes of persons and the granting of consents which the
council has the power to grant.
(e)
the enforcement of the duty of care with respect to waste.
(f)
recycling. [E]
2.
To manage the cleaning of streets and open spaces, including the control of
littering and dog fouling. [E]
3.
To exercise the council’s powers with respect to stray dogs. [E]
4.
To exercise the council’s powers with regard to abandoned cars. [E]
5.
To exercise the council’s functions with regard to the Clean Neighbourhoods
and Environment Act 2005.
6.
To exercise the council’s powers under the Control of Pollution Act 1974 to
arrange with the agreement of the person owning or occupying the land, for
the cleaning of such land if it is in the open air (other than a highway) and to
which the public have access.
12.
Cemeteries
a. To make grants of burial and other rights. [E]
b. To exercise the council’s powers with respect to arranging burial or cremation
where no one else is making the arrangements. [E]
c. To exercise the council’s powers with respect to the management of its
cemeteries. [E]
13.
Pleasure boats
a)
To grant, renew or revoke but not refuse pleasure boat and pleasure
boatman’s licences as defined under the Public Health (Amendments) Act
1907.
b)
To set fees for the issue of pleasure boat and pleasure boatman’s licences
and for the inspection of the boats and associated safety equipment.
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F.
Powers delegated to the Head of Housing and Community Development
1.
To administer any statutory right for tenants to purchase council dwellings including
exercising all the council’s powers and discretions and performing all their duties
under the law. [E]
2.
To carry out the council’s functions and powers as freeholder of blocks of flats
containing dwellings subject to long leases. [E]
3.
To serve notice of intention to seek possession on introductory tenants under the
Housing Act 1996 (as amended) and to instruct the Head of Legal and Democratic
Services to commence proceedings for possession subject to the tenant’s rights of
review. [E]
4.
To service Notices of Seeking Possession under the Housing Act 1985 (as amended)
and to instruct the Head of Legal and Democratic Services to commence
proceedings for recovery of possession providing that no warrant of possession may
be issued against any secure tenant subject to a suspended possession order who
has a priority need for housing in accordance with Section 189 of the Housing Act,
1985 without the consent of the Housing Appeals and Benefits Committee. [E]
5.
To carry out any of the council’s other functions relating to the management of
dwellings let under secure, non-secure or introductory tenancies (or tenancies which
have become non-secure for reasons outside the council’s control) forming part of
the council’s ordinary housing stock. This includes authority to determine any
question, serve any notice and carry out any repair. [E]
6.
To grant a new secure tenancy, either in the same dwelling or in suitable alternative
accommodation to remaining members of a deceased tenant’s household, even
where they are not family members where the deceased tenant was a successor,
provided the household member has:
a.
lived with the tenant for a year prior to the tenant’s death; and
b.
has been looking after the tenant; or
c.
has accepted responsibilities for the tenant’s dependants.
7.
To let and manage council garages including the authority to determine any question,
serve any notice and carry out any repair. [E]
8.
To publish and keep up-to-date the information about tenancies and to supply each
secure tenant with a copy of such information. [E]
9.
To receive statutory claims for home loss payments and to determine if any amount
is repayable and to make such payments. [E]
10.
To take any step which the council has power to take to recover rent or licence fees
including distraint, legal proceedings and enforcement of judgements in rent arrears
cases in respect of dwellinghouses let under secure, non secure tenancies/or
licences. [E]
11.
To administer the council’s Transfer Incentive Scheme and the Cash Incentive
Scheme. [E]
12.
To grant new tenancies to people who are existing tenants but only if [E]:
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• at least one person will be a tenant of that property both before and after the
new tenancy is granted; and
• the new tenancy is granted because of a change in the family circumstances of
the tenant (ie they have acquired a new partner or on a relationship breakdown);
and
• the same result cannot be achieved by a deed of assignment; and
• the decision-maker does not consider that the grant of the new tenancy will result
in serious under-occupation or overcrowding, and
• granting the new tenancy is otherwise in accordance with housing policies
13.
To grant tenancies of dwellings, in accordance with allocation decisions made by
Housing Options. [E]
14.
To review decisions made with respect to a person presenting to the council as
homeless. If the Housing Needs Manager has been involved in the making of the
original decision then this delegation shall be exercisable by the Assistant Head of
Housing and Community Development (Safety and Well-Being). [C]
(In these cases there is a further right of review to the Housing Appeals and Benefits
Committee).
15.
To review decisions made with respect to the housing register. If the Housing Needs
Manager has been involved in the making of the original decision then this delegation
shall be exercisable by the Assistant Head of Housing Services. [C]
(In this case there is a right of appeal to the Housing Appeals and Benefits
Committee).
16.
To determine all applications for persons presenting themselves to the council as
homeless and to determine how any duty which the council may have to such
persons is performed. [E]
(In this case there is a right of appeal to the Housing Appeals and Benefits
Committee).
17.
To deal with all questions about referrals of homeless persons by and to other
authorities including taking all steps under the council’s appeal procedure (whether
statutory or non-statutory). [E]
18.
To manage the hostels for the homeless, including granting and termination of
tenancies and licences and evicting occupiers. [E]
19.
To allocate accommodation in accordance with the council’s statutory housing
allocation scheme and policies about transfers. [E]
20.
To exercise the council’s powers in connection with the administration of the housing
repair (including the decision as to whether or not any particular person qualifies for
admission to the register and whether or not any particular person should be
removed from the register). [E]
21.
To offer housing in accordance with policy guidelines laid down by the council to new
employees in nationally advertised specialist posts subject to:
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(i)
a condition that the tenancy will terminate if the employee ceases to be
employed by the council
(ii)
a condition limiting the duration of the tenancy to a maximum of one year
where the employee’s starting salary is higher than the highest point of
Scale 5. [C]
22.
To enter into leases of properties from private owners under the council’s private
sector leasing scheme.
Private Sector Housing
23.
To exercise any of the council’s powers in connection with improving the standard of
private sector housing including individual dwellings and housing in multiple
occupation including:
24.
The appointment of inspectors and authorised officers under any legislation. [E/C]
25.
The administration of financial assistance application and the management of grants
or loans for the improvement and maintenance of housing. [E]
26.
The administration of grant applications and the management of grants for the
provision of facilities for disabled people and those with special needs. [E]
27.
Subject to the council’s procurement rules entering into agreements with third parties
for the supply of goods and services in connection with grant and financial assistance
schemes. [E]
28.
The promotion of group repair and area renewal schemes. [E]
29.
Entering into nomination agreements ancillary to grants to landlords. [E]
30.
Serving notices and taking action in respect of Category 1 and Category 2 hazards in
housing accommodation including emergency remedial action. [E]
31.
Securing the improvement, repair, maintenance, demolition, closure and sanitary
conditions of dwellings. [E]
32.
Taking action in respect of overcrowding of housing accommodation. [E]
33.
Taking action in respect of houses in multiple occupation including:
• administration of licensing and accreditation schemes
• refusing a licence where the proposed licence holder or manager is not a fit and
proper person or where the proposed management arrangements are
unsatisfactory.
• granting a licence subject to such conditions as are appropriate in the
circumstances of each case
• revoking a licence where the licence holder is no longer a fit and proper person or
when he has committee repeated breaches of licence conditions
• Seeking rent repayment orders in respect of unlicensed HMOs
• making and managing interim and final management orders
34.
Arranging for the restoration or continuation of supply of water, gas or
electricity. [E]
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35.
Carrying out any works which the council has power to carry out in connection with
any of these delegations (including works in default) and to take any steps to recover
the money spent on carrying out works in default (including placing a charge on
land). [E]
36.
Housing conditions, which:
• concern the condition of any drain or private sewer.
• mean that the council may ensure that any building has adequate or improved
drainage and/or sanitary conveniences
• concern the condition of any cesspool
• concern the use and ventilation of soil pipes
• concern remedial work including the service of notices in relation to rainwater
pipes, soil pipes and ventilating shafts and the apportionment and recovery of
costs
• concern the alteration of a drainage system of premises
• concern the drainage and paving to yards and passages
• involve the council loaning temporary sanitary conveniences where
necessary. [E]
37.
To exercise the council’s powers to take action concerning any matter relating to
dwellings which is, may or has been prejudicial to health or a nuisance (but not noise
nuisance). [C]
38.
Vacant premises including Empty Dwelling Management Orders. [E]
39.
Ruinous and dilapidated sites. [E]
40.
To issue (but not refuse) caravan site licences under the Caravan Sites and Control
of Development Act 1960 (as amended), imposing standard conditions as
appropriate. To take such steps as may be appropriate to remove unauthorised
campers from land. [E]
41.
To issue licences for moveable dwellings and camping sites under Section 69 of the
Public Health Act 1936 (as amended). [C]
42.
To exercise the functions of the council pursuant to the Crime and Disorder Act 1998
(as amended) in consultation with the Head of Legal and Democratic
Services. [E]
43.
To manage and develop the council’s CCTV service. [E]
44.
To develop and support opportunities for the socially excluded individuals, groups
and communities. [E/C]
45.
To manage city council community centres. [E]
46.
To develop and support community organisations. [E/C]
47.
To develop and support opportunities for children and young people. [E]
48.
To approve emergency grants to voluntary organisations and grants to parish
councils subject to reporting such approvals to the Executive. [E]
49.
To administer concessionary bus travel permits on behalf of Kent County Council for
the elderly and disabled. [E]
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G.
Powers delegated to the Head of Legal and Democratic
Services
1.
To be and carry out the duties of the Monitoring Officer in accordance with Section 5
of the Local Government and Housing Act, 1989, the Local Government Act 2000 (as
amended) and any other enactments and the council’s Constitution and to nominate
a member of staff to deputise as Monitoring Officer where the Head of Legal and
Democratic Services is unable to act owing to absence or illness. [C]
2.
To act as solicitor to the council. [C/E]
3.
To institute, conduct, prosecute and defend any legal proceedings on behalf of the
city council, including cases where the council considers it expedient for the
protection or the promotion of the interests of the inhabitants of the council’s
area. [C/E]
4.
To settle, if appropriate, and in the interests of the council, any actual or threatened
legal proceedings. [C/E]
5.
To recover debts due to the council by way of legal proceedings and the levying of
distress on goods and chattels. [C/E]
6.
To instruct counsel and professional advisers as appropriate subject to consultation
with the Executive in any case where the council is to instruct counsel and where
counsel’s fees are likely to exceed £10,000. C/E]
7.
To give undertakings on behalf of the council including the completion of a deed or
release for the withdrawal of obligations under planning agreements including the
completion of a deed of release for the withdrawal of obligations under planning
agreements. [C/E]
8.
To give indemnities on behalf of the council to organisations for the use of their
facilities or to persons or bodies to whose land access is required by the council to
carry out any development or works. [C/E]
9.
To authorise other officers to seal documents, or to sign documents which are not
required to be under seal. [C/E]
10.
To prepare and execute all necessary documents in connection with the provision of
short-term agency services for local authorities where these require no major change
in organisation, capital expenditure or increase in staff and, in conjunction with the
Director of Corporate Services, the agreement of terms for reimbursement for
provision of such agency services. [E]
11.
To complete all property transactions and contractual arrangements where terms
have been agreed by the Executive, or by Directors or Heads of Service acting under
the scheme of delegation. [E]
12.
Under Section 223 of the Local Government Act 1972 (as amended) to authorise
officers who are not admitted solicitors to appear in Magistrates’ Courts on behalf of
the council. [E]
13.
Under Section 60 of the County Court 1984, to authorise officers of the council to
conduct actions on behalf of the council in the County Court before a district judge in
respect of: -
• the recovery of possession of houses and other property belonging to the council;
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• the recovery of any rent, mesne profits, damages or other sum claimed by the
council in respect of the occupation by any person of such a house.
(this delegation is exercisable by Mrs K Windebank). [E]
14.
To accept on behalf of the council the service of notices, orders and legal
procedures. [C/E]
15.
To determine procedural arrangements for the issue of all consents, refusals,
decisions and notices on behalf of the council under statutory power. [C/E]
16.
To recover the costs including administrative costs incurred by the council in carrying
out works in default including all necessary steps to enforce the judgement. [C]
17.
In consultation with the Head of Development Services and/or the Head of
Regeneration and Economic Development: [C]
17.1 To issue and arrange the service of any notice in accordance with the Town
and Country Planning Act 1990 (as amended) and the Planning (Listed
Buildings and Conservation Areas) Act 1990 provided that he is satisfied with
the evidence provided.
17.2
To extend the period of compliance or withdraw notices where expedient to
do so and subject to the Development Control Committee being informed.
18.
To publish and maintain the council’s Constitution with authority to correct minor
textual and typographical errors and to make minor textual changes which may arise
due to any decision the council might make on any matter. [C]
19.
To exercise the functions of the council pursuant to the Crime and Disorder Act 1998
(as amended) and the Anti Social Behaviour Act 2003 in consultation with the Head
of Housing and Community Development. [E]
20.
The power to amend Section 106 planning agreements in cases where he and the
Head of Development Services are satisfied that the amendment is technical and
makes no material change in the outcomes of the planning agreement of the
planning permission to which it relates.
Management of land
20.
To carry out the necessary legal processes involved in
(a)
the management of any land, property or accommodation held or used by the council
in the best interests of the council and to take any step which the council is entitled to
take as the person with an interest in any land in consultation with the Head of
Property Services and the Head of Service within whose remit the land, property or
accommodation is held or used. This delegation does not include the power to
dispose of any legal estate. [E]
(b)
To acquire land or any interest in land by agreement under any enactment SUBJECT
always to the purchase price, or the purchase price when added to other transactions
in respect of the same project, being within the estimate of costs previously reported
to and approved by the Executive. [E]
(c)
To appropriate land belonging to the council for purposes other than those for which
it was acquired subject to the consent of the Executive. [E]
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(d)
To dispose of land or any interest in land in accordance with the law (including the
grant of wayleaves and easements). [E]
Limitations
This delegation does not apply if the council is
• disposing of its freehold; or
• granting a lease of longer than 21 years
if the freehold value of the land to be disposed of is more than £50,000.
(This delegation is exerciseable in conjunction with the Head of Property
Services and the Head of Service to whom the land is appropriated)
21.
To receive notices served on the council as the person with an interest in any
land. [C/E]
22.
To take any steps consequent on the making of a Compulsory Purchase Order,
including the application of the rules for assessing compensation, negotiating with the
other parties the amount of compensation in order to settle the amount payable and
reference to the Lands Tribunal when no agreement can be reached. [E]
23. To
administer
1.
the sale of council houses;
2.
any matters in respect of mortgages granted by the council and
3.
the administration of the council’s Cash Incentive Scheme. [E]
(This delegation is exercisable in conjunction with the Director of Corporate Services
and the Head of Property and Services and the Head of Housing and Community
Development).
24.
Where appropriate and in consultation with the Director of Corporate Services to
elect for VAT status on particular land and property. [E]
25.
To exercise the council’s powers with regard to street and house to house
collections. [C]
26.
To provide legal and advice and assistance to any parish council or community
association providing there is no conflict of interest and to any public body for the
purposes of the Local Authorities (Goods and Services) Act 1970 (as amended)
providing there is no conflict of interest and satisfactory arrangements for payment
are in place. [E]
27.
To update delegations to take account of changes in legislation. [E]
28.
The maintenance of records of notices of pecuniary and non-pecuniary interests
given by any councillor or officer of the council (for so long as the council is under a
legal duty to maintain this register) and maintenance of registers of councillors
interests and declarations under the Local Authorities (Model Code of
Conduct)(England) Order 2001. [C]
29.
The provision of information to the public and to councillors about the council’s
decision-making process and individual decisions. [C]
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30.
Nominating representatives to outside bodies where any vacancy arises. [C]
31.
Taking any step which the council has power to take with respect to the
Commissioner for Local Administration. [E]
32.
The approval of reasons for the absence of councillors from any meetings and the
declaration of vacancies of any seats of the council. [C]
33.
To register Societies’ Lotteries under Schedule 1 of the Lotteries and Amusements
Act 1976 (as amended). [C]
H. Powers delegated to the Head of Property Services
Land and property
1.
To manage any land, property or accommodation held or used by the council in the
best interest of the council and to take any step which the council is entitled to take
as the person with an interest in any land in consultation with the Head of Legal and
Democratic Services and the Head of Service within whose remit the land, property
or accommodation is held or used. This delegation does not include the power to
dispose of any legal estate. [E]
2.
To approve the terms for the grant of leases or licences where the rent does not
exceed £20,000 per annum with the exception of properties or land within Whitstable
Harbour where the rent may not exceed £1,000 per annum. [E]
3.
To manage any lease or licence granted by the council including agreeing rent
renewals or lease renewals subject to the terms approved being broadly similar but
no less advantageous to the council. [E]
4.
To administer the sales of individual council houses held under secure tenancies
including matters relating to sold council housing including
• mortgage
administration
• consents under conveyancing and leasing provisions. [E]
5.
To administer the council’s Cash Incentive Scheme in conjunction with the Heads of
Legal and Democratic Services and Housing and Community Development. [E]
6.
To dispose of land or any interest in land in accordance with the law (including the
grant of wayleaves and easements) with the exception of any land or building within
the Harbour when the board’s approval should be obtained. [E]
Limitations
This delegation does not apply if the council is
• disposing of its freehold; or
• granting a lease of longer than 21 years
• disposing of any interest in land (including wayleaves and easements)
if the freehold value of the land or interest to be disposed of is more than £50,000.
(This delegation is exerciseable in conjunction with the Head of Property Services
and the Head of Service to whom the land is appropriated)
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7.
To negotiate and agree terms for the modification variation, release or variation of
covenants contained in conveyances and transfers. [E]
8.
In connection with decisions to dispose, where Regulation 99 of the Local Authorities
(Capital Finance) Regulations 1997 (disposal and replacement of land and buildings)
applies, to decide, in consultation with the Executive and in accordance with the
council’s capital programme, to use the capital receipt to acquire or carry out works
on land used or to be used for the same purpose or a purpose within the same use
category. [E]
Acquisitions
9.
To acquire by agreement or under a compulsory purchase order, land and property
SUBJECT always to the purchase price, or the purchase price when added to other
transactions in respect of the same project, being within the estimate of costs
previously reported to and approved by the Executive.
9.1
The acquisition of properties which the council is under a legal obligation to
acquire under Town and Country Planning legislation. [C]
9.2
To terminate or accept the surrender of a leasehold interest in land and
property where it is of benefit to the council. [E]
Whitstable Harbour
10.
To approve terms for the letting of the fisherman’s huts at Whitstable Harbour. [C]
11.
To agree Harbour charges for cargoes where there is no approved scale of charges
and to offer concessions on Harbour charges where it is commercially expedient to
do so, subject to such charges and concessions being subsequently reported to the
Whitstable Harbour Board. [C]
(This delegation is exercisable in consultation with the Director of Corporate
Services).
12.
To take any necessary action in connection with wrecks, obstructions or similar
emergencies arising or affecting Whitstable Harbour. [C]
13.
To take all necessary action to ensure the safety of the Harbour. (C)
14.
To take all necessary action to ensure the environmental protection of the harbour
and its surroundings including making appropriate arrangements for dealing with
Harbour waste. (C)
(NB Any exercise of these powers should be reported to the next available meeting
of the Whitstable Harbour Board).
Archaeology
15.
To permit subject to conditions if necessary, excavations by the Canterbury
Archaeological Trust on sites owned by the council, subject to the trust indemnifying
the council against any claims which may arise as a result of the exercise of such
permission. [E]
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Architecture and property maintenance
16.
To apply for any kind of necessary statutory permission or consent to carry out
building works. [E]
17.
To take such actions that the council as landowner has power to take as are
necessary to comply with the law in order to do any works or ensure the health and
safety of any person. [E]
18.
In consultation with the Director of Corporate Services to enter into contracts for the
supply of energy to the council. [E]
I.
Powers delegated to the Head of Regeneration and Economic
Development
[These delegations are also exercisable by the Head of Legal and Democratic
Services and Head of Development Services]
Trees and hedgerows:
1.
To implement the powers set out in Part VII of the Town and Country Planning Act
1990 as they relate to Tree Preservation Orders and trees in conservation areas
(except the confirmation of Tree Preservation Orders where an objection has been
submitted by a third party). [C]
2.
To exercise the council’s powers with respect to hedgerows set out in the
Environment Act 1995 (as amended) and the Hedgerows Regulations 1997. [C]
3.
To deal with dangerous trees under Section 23 of the Local Government
(Miscellaneous Provisions) Act 1976. [E]
Listed buildings:
4.
To implement the powers of the council set out in the Planning (Listed Buildings and
Conservation Areas) Act 1990 (as amended) with regard to listed buildings, buildings
of special architectural or historic interest, conservation areas and buildings in
conservation areas. [C]
5.
To administer, including authorising increases to grants made under the Listed
Building and Conservation Grant Schemes.
6.
To administer the preparation of the local plan and any supplementary planning
guidance for all or part of the council’s administrative area, including undertaking
consultation, organising the Local Plan Inquiry and taking the necessary procedural
steps to have the plan adopted by the council.
7.
To administer the preparation of the local development framework, local development
documents and statement of community involvement including organising the
independent examination and taking the necessary steps to have any such
documents adopted by the council.
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J. Powers delegated to the Head of Revenues and Benefits
1.
To exercise all the council’s powers with respect to the administration of Council Tax
and Housing Benefit including the determination, re-determination and payment of
benefits. [E]
2.
The exercising of discretionary powers; All decisions relating to the recovery or non-
recovery of recoverable overpayments (including the method of recovery).
Investigations into benefit fraud and the carrying out of reviews of decisions (such
reviews not to be carried out by the same person who made the original decision and
subject to reviews of decisions as to discretionary housing payments which will be
dealt with by a panel from the Appeals Committee). [E]
3.
To exercise all the council’s powers and duties to bill, administer and collect the
Council Tax, the National Non-Domestic Rate and outstanding Community Charge
liability including the power to enforce collection and exercise the council’s discretion
under the law. [E]
Limitations
(a)
This delegation does not extend to setting the level of the Council Tax.
(b)
When exercising delegations G1, 2 and 3 the Head of Revenue and Benefits shall
have regard to any guidance issued to him/her by the council’s officer appointed
under Section 151 of the Local Government Act 1972.
(c)
If the Head of Revenues and Benefits considers that his/her proposed decision is
outside the policy agreed by the Executive then he or she should consult the
Executive.
4.
To exercise the council’s powers to authorise officers and agents to represent the
council in any court or tribunal or at any hearing on local taxation matters and to
serve warrants in respect of those matters. [E]
5.
In accordance with Section 38 of the Local Government Finance Act 1992 (as
amended), to publish within 21 days in the local newspaper notice of the amount of
Council Tax set by the authority. [E]
K. Powers delegated to the Head of Transportation and Engineering
1.
To exercise any highway function which the council has power to carry out under any
agreement with the Kent County Council (as varied from time to time). [E/C]
2.
To exercise the council’s powers with respect to the maintenance of highways,
footways and cycleways including street nameplates, boundary signs and bollards.
3.
To exercise the council’s powers to provide and maintain footway lighting
systems. [E]
4.
To act in partnership with Kent County Council to provide the Dial a Bus
Scheme. [E]
5.
To exercise the council’s powers to provide and maintain bus shelters. [E]
6.
To manage both on and off street parking and enforcement of parking controls within
the council’s administrative area including:
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1.
agreeing the use of car parks for non commercial uses (excepting for the
Gorrell Tank Car Park when the Executive should be consulted).
2.
Agreeing concessions in respect of ‘on and off street parking’. [E]
3.
Suspending temporarily on or off street parking bays. [E]
7.
To exercise the council’s functions with respect to watercourses, land drainage and
coastal defences, including the power to serve statutory notices about obstructed
watercourses. [E]
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Powers and duties and delegated powers of
committees, sub-committees and panels
appointed at the annual council meeting
Index
Terms of reference of committees
General delegated powers
76
Development Control Committee
77
Development Control Committee (Site Visits) Panel
81
General Purposes Committee
82
General Purposes Sub-Committee
86
Appointments Sub-Committee
87
Licensing Committee and its Sub-Committees
88
Overview and Scrutiny Committee
89
Scrutiny Management and Review Sub-Committee
91
Housing Appeals and Benefits Committee
92
Standards Committee
94
Whitstable Harbour Board
95
Audit Committee
99
Terms of reference of the Area Member Panels
Canterbury Area Member Panel
101
Herne Bay Area Member Panel
103
Rural Area Member Panels (North and South)
105
Whitstable Area Member Panel
109
Terms of reference of other constitutional bodies
Political Management Member Panel
111
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General delegated powers of
committees, sub-committees and panels
1.
Committees are expected to determine by resolution all matters falling within their
powers and duties as hereinafter set out save for major policy changes or initiatives
which shall be recommended to council except in cases of urgency for which the
reasons must be recorded.
2.
Sub-committees are expected to deal with day-to-day issues but decide where
appropriate any matters falling within the powers and duties of any sub-committee.
3.
To accept tenders and quotations falling within approved estimates, subject to the
delegated powers to officers.
4.
To make determinations in appropriate cases under Contract Standing Order No 13
those standing orders should be waived in particular cases.
5.
To apply for planning permission for any development within the powers and duties
of the committee.
6.
That each committee be authorised to delegate to officers such further powers as it
thinks fit to facilitate the efficient management of the council’s and committee’s
business.
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Development Control Committee
The Development Control Committee has the full delegated authority to exercise the
following powers of the council:
A. Planning
(1)
To determine applications for planning permission under Sections 70 and 72 of the
Town and Country Planning Act 1990 (as amended).
(2)
To determine applications to develop land without compliance with conditions
previously attached under Section 73 of the Town and Country Planning Act 1990 (as
amended).
(3)
To grant planning permission for developments already carried out under Section 73
of the Town and Country Planning Act 1990 (as amended).
(4)
To decline to determine applications for planning permission under Section 70 of the
Town and Country Planning Act 1990 (as amended).
(5)
To determine planning applications under Sections 69, 76 and 92 of the Town and
Country Planning Act 1990 and Articles 8, 10-13, 15-22 and 25 and 26 of the Town
and Country Planning (General Development Procedure) Order 1995 and directions
made thereunder.
(6)
To determine applications for planning permission made by the council, alone or
jointly with another person, under Section 316 of the Town and Country Planning Act
1990 and the Town and Country Planning General Regulations 1992.
(7)
To make determinations, give approvals and agree certain other matters relating to
the exercise of permitted development rights under Parts 6, 7, 11, 17, 19, 20, 21-24,
26, 30 and 31 of Schedule 2 to the Town and Country Planning (General Permitted
Development) Order 1995.
(8)
To enter into agreements regulating developments or use of land under Section 106
of the Town and Country Planning Act 1990 (as amended).
(9)
To issue certificates of existing or proposed lawful use or development under
Sections 191 and 192 of the Town and Country Planning Act 1990 (as amended).
(10)
To serve completion notices under Section 94 of the Town and Country Planning Act
1990.
(11)
To grant consent for the display of advertisements under Section 220 of the Town
and Country Planning Act 1990 and the Town and Country Planning (Control of
Advertisements) Regulations 1992 (as amended).
(12)
To authorise entry onto land under Section 196 of the Town and Country Planning
Act 1990.
(13)
To require the discontinuance of a use of land under Section 102 of the Town and
Country Planning Act 1990 (as amended).
(14)
To serve planning contravention notices, breach of condition notices or stop notices
under Sections 171, 187 and 183 of the Town and Country Planning Act 1990.
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(15)
To issue enforcement notices under Section 172 of the Town and Country Planning
Act 1990.
(16)
To apply for injunctions restraining breaches of planning control under Section 187 of
the Town and Country Planning Act 1990 (as amended).
(17)
To determine applications for hazardous substances consent and related powers
under Sections 9 and 10 of the Planning (Hazardous Substances) Act 1990 (as
amended).
(18)
To require proper maintenance of land under Section 215 of the Town and Country
Planning Act 1990.
(19)
To determine applications for listed building consent, and related powers under
Sections 16, 17, 27 and 33 of the Planning (Listed Buildings and Buildings in
Conservation Areas) Act 1990 (as amended).
(20)
To determine applications for conservation area consent under Section 16 of the
Planning (Listed Buildings and Buildings in Conservation Areas) Act 1990 as applied
by Section 74 of that Act (as amended).
(21)
To consider applications for listed building consents and conservation area consents
under Sections 13 and 14 of the Planning (Listed Buildings and Buildings in
Conservation Areas) Act 1990 and regulations 3-6 and 13 of the Town and Country
Planning (Listed Buildings and Buildings in Conservation Areas) Regulations 1990.
(22)
To serve building preservation notices and related powers under Sections 3 and 4 of
the Planning (Listed Buildings and Buildings in Conservation Areas) Act 1990 (as
amended).
(23) To issue enforcement notices in relation to demolition of unlisted buildings in
conservation areas under Section 38 of the Planning (Listed Buildings and Buildings
in Conservation Areas) Act 1990 (as amended).
(24) To acquire listed buildings in need of repair and to serve repair notices under
Sections 47 and 48 of the Planning (Listed Buildings and Buildings in Conservation
Areas) Act 1990 (as amended).
(25)
To apply for injunctions in relation to listed buildings under Section 44 of the Planning
(Listed Buildings and Buildings in Conservation Areas) Act 1990.
(26)
To execute urgent works under Section 54 of the Planning (Listed Buildings and
Buildings in Conservation Areas) Act 1990.
(27) To approve documents setting out development principles or design guidance
relating to a specific site or building being guidelines for developers which set out and
recommend what may be an acceptable form of development, and for which there is
clear policy support in the DPDs and the saved policies of the Development Plan as
a material consideration.
B. Highways
(1)
To authorise erection of stiles etc on footpaths or bridleways under Section 147 of
the Highways Act 1980 (as amended). (KCC and CCC function)
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(2)
To consent to construction of cellars etc under street under Section 179 of the
Highways Act 1980 (as amended). (KCC and CCC function)
(3)
To consent to the making of openings into cellars etc under streets and pavement
lights and ventilators under Section 180 of the Highways Act 1980 (as amended).
(KCC and CCC function)
(4)
To assert and protect the rights of the public to use and enjoyment of highways under
Section 130 of the Highways Act 1980 (as amended). (KCC and CCC function)
(5)
To serve notice of proposed action in relation to obstruction under Section 130 of the
Highways Act 1980 (as amended). (KCC and CCC function)
(6)
To apply for variation of order under Section 130 of the Highways Act 1980 (as
amended). (KCC and CCC function)
C.
Public rights of way
(1)
To create footpath or bridleway by agreement under Section 25 of the Highways Act
1980.
(2)
To create footpaths and bridleways under Section 26 of the Highways Act 1980 (as
amended).
(3)
To keep register of information with respect to maps, statements and declarations
under Section 31 of the Highways Act 1980 (as amended).
(4)
To stop up footpaths and bridleways under Section 118 of the Highways Act 1980 (as
amended).
(5)
To determine applications for public path extinguishment order under Section 118 of
the Highways Act 1980 (as amended).
(6)
To divert footpaths and bridleways under Section 119 of the Highways Act 1980 (as
amended).
(7)
To make a public path diversion order under Section 119 of the Highways Act 1980
(as amended).
(8)
To keep register with respect to applications under Sections 118 and 119 of the
Highways Act 1980 (as amended) under Section 121 of the Highways Act 1980.
(9)
To decline to determine certain applications under Section 121 of the Highways Act
1980.
10)
To authorise temporary disturbance of surface of footpath or bridleway under Section
135 of the Highways Act 1980 (as amended).
(11)
To temporarily divert footpath or bridleway under Section 135 of the Highways Act
1980.
(12)
To authorise the making good of damage and the removal of obstructions under
Section 135 of the Highways Act 1980 (as amended).
(13)
To make a rail crossing extinguishment order under Section 118 of the Highways Act
1980.
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(14)
To make a special extinguishment order under Section 118 of the Highways Act
1980.
(15)
To make a rail crossing diversion order under Section 119 of the Highways Act 1980
(as amended).
(16)
To make a special diversion order under Section 119 of the Highways Act 1980 (as
amended).
(17)
To require applicant for order to enter into agreement under Section 119 of the
Highways Act 1980 (as amended).
(18)
To make an SSSI diversion order under Section 119 of the Highways Act 1980 (as
amended).
(19)
To extinguish certain public rights of way under Section 32 of the Acquisition of Land
Act 1981 (as amended).
(20)
To extinguish public right of way over land acquired for clearance under Section 294
of the Housing Act 1981 (as amended).
(21)
To authorise stopping-up or diversion of footpath or bridleway under Section 257 of
the Town and Country Planning Act 1990 (as amended).
(22)
To extinguish public rights of way over land held for planning purposes under Section
258 of the Town and Country Planning Act 1990 (as amended).
D. Other
functions
(1)
To protect important hedgerows under the Hedgerows Regulations 1997.
(2)
To preserve trees under Sections 197-214 of the Town and Country Planning Act
1990 and the Town and Country Planning (Trees) Regulations 1999 (as amended).
Any of the above powers may be delegated to an appropriate officer of the council.
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Development Control Committee (Site Visits) Panel
To consider any matters which may be referred to it by the Development Control Committee
from time to time.
To consider and determine planning enforcement cases.
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General Purposes Committee
The General Purposes Committee has the full delegated authority to exercise the council’s
powers:
A.
Licensing and registration
(1)
To issue licences authorising the use of land as a caravan site (“site licences”) under
Section 3 of the Caravan Sites and Control of Development Act 1960 (as amended).
(2)
To license the use of moveable dwellings and camping sites under Section 269 of the
Public Health Act 1936 (as amended).
(3)
To license hackney carriages and private hire vehicles under the Town Police
Clauses Act 1847 as extended by Section 171 of the Public Health Act 1875 (as
amended) and Section 15 of the Transport Act 1985 and Sections 47, 48, 57, 58, 60
and 79 of the Local Government (Miscellaneous Provisions) Act 1976 (as amended).
(4)
To license drivers of hackney carriages and private hire vehicles under Sections 51,
53, 54, 59, 61 and 79 of the Local Government (Miscellaneous Provisions) Act 1976
(as amended).
(5)
To license operators of hackney carriages and private hire vehicles under Sections
55-58, 62 and 79 of the Local Government (Miscellaneous Provisions) Act 1976 (as
amended).
(6)
To license sex shops and sex cinemas under the Local Government (Miscellaneous
Provisions) Act 1982 (as amended).
(7)
To license performances of hypnotism under the Hypnotism Act 1952 (as amended).
(8)
To register persons and premises for acupuncture, tattooing, ear-piercing and
electrolysis under Sections 13-17 of the Local Government (Miscellaneous
Provisions) Act 1982 (as amended).
(9)
To license market and street trading under the Local Government (Miscellaneous
Provisions) Act 1982 (as amended).
(10)
To register and license premises for the preparation of food under Section 19 of the
Food Safety Act 1990.
(11)
To register scrap metal dealers under Section 1 of the Scrap Metal Dealers Act 1964.
(12)
To license pet shops, dog breeding establishments, boarding establishments and
riding establishments (which are kept for the purposes of carrying on a business)
under Section 1 of the Pet Animals Act 1951, Section 1 of the Animal Boarding
Establishments Act 1963, the Riding Establishments Acts 1964 and 1970, Section 1
of the Breeding of Dogs Act 1973 and 1991and Sections 1 and 8 of the Breeding and
Sale of Dogs (Welfare) Act 1999.
(13)
To register animal trainers and exhibitors under Section 1 of the Performing Animals
(Regulation) Act 1925.
(14)
To license zoos under Section 1 of the Zoo Licensing Act 1981.
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(15)
To license keepers of dangerous wild animals under Section 1 of the Dangerous Wild
Animals Act 1976.
(16)
To license knackers’ yards under Section 4 of the Slaughterhouses Act 1974.
(17)
To license persons to collect for charitable and other causes under Section 5 of the
Police, Factories etc (Miscellaneous Provisions) Act 1916 and Section 2 of the House
to House Collections Act 1939.
(18)
To sanction use of parts of buildings for storage of celluloid under Section 1 of the
Celluloid and Cinematograph Film Act 1922.
(19)
Any regulations or approvals under EC Regulations 852, 853 and 854/2004 relating
to food of animal origin.
B.
Health and safety at work
Functions under any of the “relevant statutory provisions” within the meaning of Part I
(health, safety and welfare in connection with work, and control of dangerous
substances) of the Health and Safety at Work etc Act 1974 (as amended), to the
extent that those functions are discharged otherwise than in the authority’s capacity
as an employer under Part I of the Health and Safety at Work etc Act 1974 (as
amended).
C. Elections
(1)
To appoint an electoral registration officer under Section 8(2) of the Representation
of the People Act 1983.
(2)
To assign officers in relation to requisitions of the registration officer under Section 52
of the Representation of the People Act 1983 (as amended).
(3)
To undertake functions in relation to parishes and parish councils under the Local
Government and Public Involvement in Health Act 2007.
(4)
To dissolve parish councils under Section 88 of the Local Government and Public
Involvement in Health Act 2007.
(5)
To make orders for grouping parishes, dissolving groups and separating parishes
from groups under Section 91 of the Local Government and Public Involvement in
Health Act 2007..
(6)
To appoint a returning officer for local government elections under Section 35 of the
Representation of the People Act 1983 (as amended).
(7)
To provide assistance at European Parliamentary elections under Paragraph 4 of
Schedule 1 to the European Parliamentary Elections Act 1978.
(8)
To divide the constituency into polling districts under Section 18 of the
Representation of the People Act 1983 (as amended).
(9)
To divide electoral divisions into polling districts at local government elections under
Section 31 of the Representation of the People Act 1983 (as amended).
(10)
To hold elections under Section 39 of the Representation of the People Act 1983 (as
amended).
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(11)
To pay expenses properly incurred by electoral registration officers under Section 54
of the Representation of the People Act 1983 (as amended).
(12)
To fill vacancies in the event of insufficient nominations under Section 21 of the
Representation of the People Act 1985.
(13) To declare vacancy in office in certain cases under Section 86 of the Local
Government Act 1972.
(14)
To give public notice of a casual vacancy under Section 87 of the Local Government
Act 1972.
(15)
To make temporary appointments to parish councils under Section 91 of the Local
Government Act 1972.
(16)
To determine fees and conditions for supply of copies of, or extracts from, elections
documents under Rule 48(3) of the Local Elections (Principal Areas) Rules 1986 and
Rule 48(3) of the Local Elections (Parishes and Communities) Rules 1986.
(17)
To submit proposals to the Secretary of State for an order under Section 10 (Pilot
Schemes for Local Elections in England and Wales) of the Representation of the
People Act 2000.
D.
Name and status of areas and individuals
To change the name of a parish under Section 75 of the Local Government Act 1972.
E. Pensions
To undertake functions relating to local government pensions.
F. Appeals (1)
To consider and determine appeals brought by employees pursuant to the
procedures incorporated in their conditions of employment or otherwise adopted by
the council.
(2)
To determine appeals related to the licensing of hackney carriages and drivers,
private hire vehicles, drivers and operators.
(3)
To determine any appeals against non-executive decisions.
(4)
To consider issues related to discretionary rate relief.
G. Miscellaneous
(1)
To make payments or provide other benefits in cases of maladministration etc under
Section 92 of the Local Government Act 2000.
(2)
To make standing orders under Section 106 of the Local Government Act 1972.
*
(3)
To appoint staff, and to determine the terms and conditions on which they hold office
(including procedures for their dismissal) under Section 112 of the Local Government
Act 1972.
*
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(4)
To consult on staff relation matters with the Staff and Safety Joint Consultative
Group.
(5)
To make standing orders as to contracts under Section 135 of the Local Government
Act 1972.
(6)
To make arrangements for proper administration of financial affairs etc under Section
151 of the Local Government Act 1972.
*
(7)
To appoint officers for particular purposes (appointment of “proper officers”) under
Section 270 of the Local Government Act 1972 (as amended).
(8)
To make closing orders for take-away food shops under Section 4 of the Local
Government (Miscellaneous Provisions) Act 1982.
(9)
To designate an officer as the head of the authority’s paid service, and to provide
staff, etc under Section 4 of the Local Government and Housing Act 1989.
*
(10)
To designate an officer as the monitoring officer, and to provide staff, etc under
Section 5 of the Local Government and Housing Act 1989.
*
(11) To approve the council’s statement of accounts, income and expenditure and
balance sheet, or record of payments and receipts (as the case may be) under the
Accounts and Audit Regulations 1996 (as amended).
(12)
To appoint any individual to any outside office or body, or to any committee or sub-
committee of any such body, and the revocation of any such appointments.
(13)
To deal with any matter not assigned to any other committee which either as a matter
of law or by virtue of the council’s Constitution is a council function.
Any of the above powers EXCEPT THOSE MARKED may be delegated to an
appropriate officer of the council.
*
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General Purposes Sub-Committee
The General Purposes Sub-Committee has the full delegated authority to exercise the
following powers of the council:
1.
To consider and determine appeals brought by employees pursuant to the
procedures incorporated in their conditions of employment or otherwise adopted by
the council.
2.
To determine appeals related to the licensing of hackney carriages and drivers,
private hire vehicles, drivers and operators.
3.
To determine appeals related to the issue of door supervisor legislation.
4.
To determine any appeals against non-executive decisions.
5.
To consider appeals related to discretionary rate relief.
6.
To hear cases where the person in control of a licensed house in multiple occupation
ceases to be a fit and proper person.
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Appointments Sub-Committee
The Appointments Sub-Committee has the full delegated authority to exercise the following
powers of the council:
(1)
To consider the appointment or dismissal of the council’s senior officers in
accordance with the Local Authorities (Standing Orders) (England) Regulations 2001
(as amended).
(2)
To receive consider and implement any review of the representation of political
groups in accordance with the Local Government and Housing Act 1989 as amended
and the regulations thereunder.
(3)
To assess the performance of the Chief Executive against any pre-set targets for the
previous council year and to make any salary adjustments accordingly.
(4)
To set performance targets for the Chief Executive against which future performance
can be assessed.
(5)
To receive the recommendations of the Whitstable Harbour Board with respect to the
appointment of independent Members and for re-appointment of independent
Members for another term.
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Licensing Committee and its Sub-Committees
The Licensing Committee has the full delegated authority to exercise the council’s powers:
(1)
To grant or refuse applications for house to house collections.
(2)
To grant applications for street applications.
(3)
All functions including applications arising under the following statutes:
Gambling Act 2005
Licensing Act 2003
Local Government (Miscellaneous Provisions) Acts 1976 and 1982 (as amended)
Note: Any of the above powers may be delegated to a sub-committee or to an appropriate
officer of the council as determined by legislation.
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Overview and Scrutiny Committee
Arrangements for the Overview and Scrutiny Committee
The Overview and Scrutiny Committee may from time to time appoint ad hoc informal
working arrangements such as scrutiny review panels or scrutiny working parties. Whilst
such informal bodies cannot substitute for the Overview and Scrutiny Committee, or exercise
the powers associated with scrutiny (which are the preserve of the Overview and Scrutiny
Committee) they can contribute to or inform the scrutiny process. The Overview and
Scrutiny Committee shall delegate such powers to the Scrutiny Management and Review
Sub-Committee, or any other sub-committee it may create, as it thinks fit.
Terms of reference for the Overview and Scrutiny Committee
(a)
To carry out an overarching scrutiny role. To approve an annual scrutiny and best
value work programme following the recommendations of the Scrutiny Management
and Review Sub-Committee, to ensure that there is efficient use of time, and that the
potential for duplication of effort is minimised.
(b)
To receive requests from the Executive and/or the Full Council for reports from the
Overview and Scrutiny Committee and to allocate them if appropriate to either the
Scrutiny Management and Review Sub-Committee or to a Scrutiny Panel.
(c)
To ensure that referrals from the Overview and Scrutiny Committee to the Executive,
either by way of report or a request for reconsideration are managed efficiently.
(d)
To ensure that matters upon which the council’s Area Member Panels may have a
view are referred to them for consultation or consideration efficiently and effectively.
(e)
At the request of the Executive, to make decisions about the priority of referrals made
in the event of the volume of reports to the Executive creating difficulty for the
management of the Executive business or jeopardising the efficient running of
council business.
(f)
To have the powers of an Overview and Scrutiny Committee in relation to Executive
decisions made but not implemented as set out in Section 21(3) of the Local
Government Act 2000.
(g)
To consider matters which have been requested for call-in.
(h)
To monitor the effectiveness and application of the call-in procedure, to report on the
number of and reasons for call-in and to make recommendations to Council on any
changes required to ensure the efficient and effective operation of the process.
(i)
To monitor resources available for overview and scrutiny.
(j)
To approve arrangements for co-option of non-voting members of the public on to the
Overview and Scrutiny Committee.
(k)
To regularly review the forthcoming decision list and indicate if the proposed level of
consultation is appropriate.
(l)
To formulate, scrutinise or review the policies of the council and the Executive.
(m)
To review the discharge by the Executive of any of its functions, including
comparison of performance against any appropriate targets, plans or standards.
- 89 -
(n)
To review any decisions or proposed decisions of the council, the Executive or
officers.
(o)
To consider any matters which affect the authority or the whole or part of its
administrative area or some or all of the inhabitants of that area and to make
recommendations to the council or the Executive arising from that consideration.
(p)
To consider any matter referred to it by the council or the Executive and recommend
to the council or the Executive accordingly.
(q)
To consider any matters identified by six members of the council.
(r)
To consider any matters identified by any member of the Overview and Scrutiny
Committee.
(s)
To monitor the council’s budgets.
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Scrutiny Management and Review Sub-Committee
1.
To recommend an annual scrutiny and best value programme to the Overview and
Scrutiny Committee.
2.
To approve the scope of each scrutiny and best value review and to resolve any
issues of dispute on remit.
3.
To monitor progress on reviews and identify and address inhibiting factors.
4.
To consider scrutiny and best value reports prior to their consideration by the
Executive or council.
5.
To review high priority recommendations of previous Scrutiny and Best Value
Reviews and identify areas of concern for the Overview and Scrutiny Committee.
6.
To approve any necessary amendments to the Scrutiny and Best Value Procedure
Guide.
7.
To review the scrutiny process.
8.
To scrutinise the quarterly monitoring reports for Best Value Performance Indicators
(BVPIs) and Key Local Performance Indicators (KLPIs).
9.
To scrutinise annual trend reports for BVPIs and KLPIs.
10.
To scrutinise comparative data and how the council has performed against other
councils.
11.
To oversee the setting of targets and scrutinise the effect of the changes in targets
from year to year.
12.
To oversee final approval of the content and publication of the Best Value
Performance Plan (BVPP).
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Housing Appeals and Benefits Committee
Terms of reference
(1)
To review any decision of the Head of Housing and Community Development in
matters relating to allocation or non-allocation of accommodation in accordance with
approved council policy related to:
(a)
seeking an order for possession of a dwelling house let under an introductory
tenancy (Housing Act 1996 Section 129);
(b)
not putting a person on the housing register who has applied to be put on;
(c)
removing a person from the housing register otherwise than at his request;
(d)
the award of points to an applicant on the housing register excluding
decisions on the award of medical points (Housing Act 1996 Section 164);
(e)
questions of eligibility for assistance for a housing applicant;
(f)
the duty owed to an applicant under Sections 190 to 193 and 195 to 197 of
the Act (duties to persons found homeless or threatened with homelessness);
(g)
notification of another housing authority that the council may refer the case to
them;
(h)
the conditions for referral to another housing authority;
(i)
the duty owned to an applicant whose case is referred to another authority;
(j)
the suitability of accommodation offered to an applicant in discharge of the
council’s duty (Housing Act 1996 Section 202).
(2)
To consider any appeals against the refusal of the Head of Housing and Community
Development under the cash incentive scheme, money for flats, maisonettes and
where an application for money from the scheme has been refused because the
applicant has too much capital.
(3)
To consider any appeals against the decision of the Head of Housing and
Community Development in matters relating to Housing Services.
(4)
The hearing of any representations by tenants and/or officers in respect of housing
repossession cases involving vulnerable tenants or tenants who have priority needs
prior to a decision being made to apply to the court for a warrant for possession of
the property.
(5)
The hearing of representations relating to the refusal of the Head of Housing and
Community Development to approve a Discretionary Housing Grant.
(6)
To consider appeals against refusal against any application for registration of a
house in multiple occupation where the person either having control or managing it is
not a fit and proper person.
(7)
To review decision as to discretionary housing payments.
(8)
To determine discretionary housing benefit payment appeals.
- 92 -
(9)
The committee shall conduct its business by way of panels of not less than six
Members drawn from the membership of the committee having regard to political
balance.
(Members of the committee determining any appeals as set out in (1) to (6) must not be
involved in hearing any appeals as set out in (7) and (8) or vice versa for the same case.)
- 93 -
Standards Committee
Terms of reference
(1)
To promote and maintain high standards of conduct by councillors and co-opted
members.
(2)
To assist the councillors and co-opted members to observe the Members’ Code of
Conduct.
(3)
To advise the council on the adoption or revision of the Members’ Code of Conduct.
(4)
To monitor the operation of the Members’ Code of Conduct.
(5)
To advise, train or arrange to train councillors and co-opted members, on matters
relating to the Members’ Code of Conduct.
(6)
To grant dispensations to councillors and co-opted members from requirements
relating to interests set out in the Members’ Code of Conduct.
(7)
Acting by Sub-Committees to carry out initial assessment of allegations and to
determine whether such allegations should be investigated, and to consider any
request to review such decisions.
(8)
Acting by Sub-Committees as an alternative to investigation, may arrange training,
conciliation or take such other steps as appear appropriate.
(9)
To deal with any reports from an ethical standards officer, a case tribunal or interim
case tribunal, and any report from the Monitoring Officer or other person authorised
by him on any matter.
(10) To hold any meetings or hearings as may be necessary and to make any
determinations and impose any sanctions as provided by law.
(11)
The exercise of (1) to (10) above in relation to the parish councils wholly or mainly in
its area and the members of those parish councils.
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Whitstable Harbour Board
Constitution, terms of reference and duties
A
Membership of the Board
1.
The Board shall consist of 11 members: 6 Councillors selected on a politically
proportionate basis and 5 independent members.
2.
The Chairman of the Board shall be a council member with, where necessary, a
casting vote.
3.
The Independent Board members shall have full voting rights on all matters before
the Board and be appointed on merit in order to obtain a Board that is independent
and fit for purpose.
4.
The Independent Board members term of appointment is normally three years from
the date of appointment.
5.
Each independent member will be given terms of appointment. The terms of
appointment may be amended from time to time.
6.
Subject to the approval of the Appointments Sub-Committee and subject to the
Board’s assessment that the Independent Board member has performed
satisfactorily during the first term and has a good attendance record, then an
independent member may be appointed for a second three year term without being
subject to competition.
7.
That reappointment for a third term be made against a selection of candidates after
advertisement and appropriate competitive procedures.
8.
That a Selection Panel (comprising the Chairman of the Board, one independent
member, one Councillor member and a senior officer) be asked to select from the
applicants not less than two candidates (unless there be too few applicants) for each
vacancy to recommend to the Appointments Sub-Committee who will make the final
recommendation to full Council.
9.
The Independent Board members, as a group, will be appointed so that they provide
a complementary range of maritime port related and business expertise to provide a
fit for purpose Board.
10.
All members of the Board will participate in training programmes to understand the
duties and responsibilities involved in running the port and of Board Membership.
11.
The Independent Board members will be paid an allowance and expenses in
accordance with the council’s members’ allowances scheme.
12.
The Board, as a council committee, is subject to the council’s public participation
arrangements, and to its procedure rules.
13.
All members of the Board are subject to the council’s codes and protocols set out at
part 5 of the Constitution of the Council
- 95 -
B
Terms of reference and duties
1.
To exercise on behalf of the Council the functions of the authority under:
• The Harbours, Docks and Piers Clauses Act 1847
• The Whitstable Harbour Act 1957
• The Whitstable Urban District Council Act 1948 (so far as it affects land
transactions for Harbour Land held under the Whitstable Harbour Act)
• The Harbours Act 1964
• The Docks and Harbours Act 1966
• The Ports (Finance) Act 1985
• The Dangerous Vessels Act 1985
• Pilotage Act 1987
• The Transport and Works Act 1992
• The Merchant Shipping Act 1995
And any other legislation including byelaws which may apply from time to time
in respect of the Council’s functions with regard to the administration and
management of the Harbour. (C)
2.
To discharge these functions within the overall policy discretion set by the
Council (the 1997 report of the Whitstable Harbour and Watersports Working
Group and the 2002 Best Value Review Final Report) within a ring fenced
budget so far as possible. (C/E)
3.
To manage and administer all matters relating to Whitstable Harbour
including harbour land and property in accordance with policies that may be
laid down by the Council from time to time, provided that the exercise of that
function is within the financial estimates for the year, or for which such
provision has been expressly made by the Council. Harbour land and
property is defined on the associated plan. (E)
4.
To properly discharge its duties and powers, as a Harbour Authority, in
relation to marine safety and the safe use of all harbour lands in accordance
with the Port Marine Safety Code. (C)
5.
To ensure that it is open and accountable in all of its activities. (C)
6.
To strive to make the Whitstable Harbour financially self-sustaining.(E)
7.
Have due regard to the changing needs of the Marine Sector and others with
an interest in the port activities of Whitstable Harbour. (E/C)
8.
Have due regard to the interests of the local community in the running of the
Whitstable Harbour and in particular to recognise the contribution which the
Harbour makes to the economic well-being of the area through both direct
and secondary employment and purchasing. (E)
9.
To submit to the Executive in November each year, via the Director of
Corporate Services a five year capital programme, including funding
proposals and three year revenue projections. (E)
- 96 -
10.
To authorise capital expenditure provided the capital expenditure or financing
costs can be covered by the Harbour reserves and anticipated future profits in
the period of the approved revenue projections and capital programme.(E)
C
Memorandum of understanding between the Executive of Canterbury City
Council and the Whitstable Harbour Board
“Whitstable Harbour needs the benefit of decision making which takes an
overall view of the port, and gives as much weight to operational
issues/economics as to political aspirations” (best value review 2003)
The Executive of Canterbury City Council (“the Executive”) and the Whitstable
Harbour Board (“the Board”) wish to confirm their respective objectives and
responsibilities to develop and maintain Whitstable Harbour whilst protecting the
interests of the community of Whitstable and the environment.
Respective positions and responsibilities
The Executive leads the implementation of Council policy within the Council’s policy
and budget framework.
The Board is a committee of Canterbury City Council (“the Council”) and is the
Council’s prime decision-making body for Whitstable Harbour. Whilst the Council is
itself the Competent Harbour Authority, the Board has the delegated authority from
the Council to make certain decisions relating to the Harbour in accordance with the
requirements of the Port Marine Safety Code (“the Code”) and Health and Safety at
Work (etc) legislation (“the legislation”).
Objectives
The objective of the Executive is contained within the Terms of Reference and
powers for the Whitstable Harbour Board set out at B above. The Executive in
particular requires that the harbour should be financially self sustaining having due
regard to:
1.
the changing needs of the marine sector and others with an interest in the
port activities of Whitstable Harbour;
2.
the interest of the local community in the running of the harbour; and
3.
the contribution which the harbour makes to the economic wellbeing of the
area through both direct and secondary employment and purchasing.
The objectives of the Board, as more fully described in its 2003 Annual Review of
Whitstable Harbour, are as follows:
a) Financial
self
sufficiency
b)
Maintenance and development of the harbour infrastructure
c)
Support for the local economy
d)
Contribute to the character and attraction of the town
e)
Development of tourism
f)
Compliance with legal and regulatory requirements
g)
Achievement of environmental considerations
h)
Open and transparent governance
i)
Development of staff
- 97 -
Acceptance of respective objectives and responsibilities
The Executive accepts the Board’s objectives. The Executive further recognises the
responsibility of the Board in exercising the functions of the Competent Harbour
Authority as delegated to it under the requirements of the Code and the legislation
and confirms it will support decisions necessarily taken by the Board to satisfy the
Board’s responsibilities under the Code and the legislation.
The Board will seek to satisfy its responsibilities under the Code and the legislation.
The Board accepts the objectives of the Executive as contained within the Terms of
Reference. The Board will seek to satisfy its wider objectives to the extent that it
satisfies, or does not materially compromise, the Executive’s objective.
- 98 -
Audit Committee
An advisory committee, with the following terms of reference.
Audit activity
(a)
To consider the Head of Internal Audit’s annual report and opinion and a summary of
internal audit activity (both actual and proposed) and the level of assurance it can
give over the council’s corporate governance arrangements.
(b)
To consider summaries of specific internal audit reports as requested, including
responses not implemented within reasonable timescales.
(c)
To consider reports dealing with the management and performance of providers of
internal audit services.
(d)
To consider the external auditor’s annual letter, relevant reports and the report to
those charged with governance.
(e)
To consider specific reports as agreed with the external auditor.
(f)
To comment on the scope and depth of external audit work and to ensure it gives
value for money.
(g)
To liaise with the Audit Commission over the appointment of the council’s external
auditor.
Regulatory framework (h)
To advise the Monitoring Officer of proposals to change the council’s constitution in
respect of contract procedure rules, financial regulations, codes of conduct and
behaviour.
(i)
To review any issues referred to it by the Chief Executive or a Director, or any council
body.
(j)
To monitor the effective development and operation of risk management and
corporate governance within the council including agreeing necessary actions to
ensure compliance with best practice.
(k)
To oversee corporate risk management.
(l)
To monitor council policies on “raising concerns at work” and the anti-fraud and
corruption and whistle-blowing policy.
(m)
To oversee the operation of the council’s complaints procedures, including the
response of the Executive or any council committee to any report by the Local
Government Ombudsman.
(n)
To oversee the production of the statement on internal control and to recommend its
adoption.
(o)
To monitor the council’s compliance with its own and other published standards and
controls.
- 99 -
Accounts
(p)
To review the annual statement of accounts. Specifically to consider whether there
are concerns arising from the financial statements or from the audit that need to be
brought to the attention of the council.
NB
General Purposes Committee will still approve the accounts.
(q)
To consider the external auditor’s report to those charged with governance on issues
arising from the audit of the accounts.
- 100 -
Canterbury Area Member Panel
Terms of reference for Area Member Panels
1.
Each Area Member Panel (“AMP”) will formulate its own way of working consistent
with the Constitution of the council and with these general terms of reference.
2.
Each AMP must give at least annual consideration as to how it is engaging with both
the public and organisations in its area to enable it to reflect the views of its
communities within the council and communicate back to those communities
information which will be of interest. This consideration will include (but will not be
limited to) the time and place of meetings and the nature of items appearing on the
agenda.
3.
Each AMP is to act as a consultative forum. The Executive will use AMPs on
proposed decisions, which particularly affect an AMP area, and by the AMP itself on
its own proposals on local issues.
4.
AMPs will advise officers on the exercise of delegated powers locally and on
expenditure from certain specified budgets designated by the Executive.
5.
Where an Area Member Panel perceives it has observations on a council wide or
functional matter then it may comment to the appropriate decision making person or
body or service head.
6.
AMPs should seek to promote partnership working and to identify potential
partnerships both within their local area and across the district which might enhance
the delivery of services and recommend these to the Executive.
7.
AMPs will be supported by lead officers and area co-ordinators where assigned. The
role of such officers is to obtain information and explain it to members and to act as
the AMPs voice within the officer corps. AMPs have no budget and cannot
commission officers to carry out original new work unless it is authorised by the
Executive.
Note: In deciding on their local working methods AMPs should as soon as possible after
adopting these terms of reference consider their methods of working. They should seek out
and consult stakeholders within the local area and encourage the widest possible local
debate. AMPs should gain ideas on how the public and local organisations can contribute to
council processes.
Further notes
(i)
Panels are consultative and (because they are non-proportional) they are non-
decision making. Officers have no authority to take action on the basis of Panel
recommendations.
(ii)
Recommendations of Panels will be referred by Committee Administrators to the
appropriate body to accompany the relevant report.
(iii)
The accuracy of minutes of panels will be a matter for each panel.
(iv)
Items are placed on the agenda of panels by officers, or group spokespersons,
channelled through the Chair.
- 101 -
(v)
Reports to panels should, where possible, following the format in the template for
reports.
(vi)
Panels should not discuss individual planning applications.
(vii)
Panels should meet six times per annum, at or near the beginning of each council
cycle, with dates fixed in the council timetable at the beginning of each municipal
year.
(viii)
(a)
Each Area Member Panel must consider how it will allow members of the
public to speak at its meetings and resolve upon any rules it wishes to adopt.
(b)
If a member of the public wishes to speak to an item which is to be dealt with
after the public has been excluded, he or she may only speak prior to the
press and public being excluded.
(c)
The Area Member Panel may refuse to allow a member of the public to speak
or to continue to speak if it appears that the speech is defamatory, mere
vulgar abuse, inflammatory or for other good reason.
(ix)
Membership of the panel shall be limited to the councillors for the designated area.
(x)
The Chair of the panel may invite specific individuals to attend and address the panel
on a specific item on the agenda, such invitations to be issued by the Committee
Administrators.
(xi)
Members of the public shall be excluded by vote of the panels during discussion on
confidential items.
(xii)
That Area Member Panel agendas be made available to the public and press on the
same basis as for council agendas.
- 102 -
Herne Bay Area Member Panel
Terms of reference for Area Member Panels
1.
Each Area Member Panel (“AMP”) will formulate its own way of working consistent
with the Constitution of the council and with these general terms of reference.
2.
Each AMP must give at least annual consideration as to how it is engaging with both
the public and organisations in its area to enable it to reflect the views of its
communities within the council and communicate back to those communities
information which will be of interest. This consideration will include (but will not be
limited to) the time and place of meetings and the nature of items appearing on the
agenda.
3.
Each AMP is to act as a consultative forum. The Executive will use AMPs on
proposed decisions, which particularly affect an AMP area, and by the AMP itself on
its own proposals on local issues.
4.
AMPs will advise officers on the exercise of delegated powers locally and on
expenditure from certain specified budgets designated by the Executive.
5.
Where an Area Member Panel perceives it has observations on a council wide or
functional matter then it may comment to the appropriate decision making person or
body or service head.
6.
AMPs should seek to promote partnership working and to identify potential
partnerships both within their local area and across the district which might enhance
the delivery of services and recommend these to the Executive.
7.
AMPs will be supported by lead officers and area co-ordinators where assigned. The
role of such officers is to obtain information and explain it to members and to act as
the AMPs voice within the officer corps. AMPs have no budget and cannot
commission officers to carry out original new work unless it is authorised by the
Executive.
Note: In deciding on their local working methods AMPs should as soon as possible after
adopting these terms of reference consider their methods of working. They should seek out
and consult stakeholders within the local area and encourage the widest possible local
debate. AMPs should gain ideas on how the public and local organisations can contribute to
council processes.
Further notes
(i)
Panels are consultative and (because they are non-proportional) they are non-
decision making. Officers have no authority to take action on the basis of panel
recommendations.
(ii)
Recommendations of panels will be referred by Committee Administrators to the
appropriate body to accompany the relevant report.
(iii)
The accuracy of minutes of panels will be a matter for each panel.
(iv)
Items are placed on the agenda of panels by officers, or group spokespersons,
channelled through the Chair.
- 103 -
(v)
Reports to panels should, where possible, following the format in the template for
reports.
(vi)
Panels should not discuss individual planning applications.
(vii)
Panels should meet six times per annum, at or near the beginning of each council
cycle, with dates fixed in the council timetable at the beginning of each municipal
year.
(viii)
(a)
Each Area Member Panel must consider how it will allow members of the
public to speak at its meetings and resolve upon rules it wishes to adopt.
(b)
If a member of the public wishes to speak to an item which is to be dealt with
after the public has been excluded, he or she may only speak prior to the
press and public being excluded.
(c)
The Area Member Panel may refuse to allow a member of the public to speak
or to continue to speak if it appears that the speech is defamatory, mere
vulgar abuse, inflammatory or for other good reason.
(ix)
Membership of the panel shall be limited to the councillors for the designated area.
(x)
The Chair of the panel may invite specific individuals to attend and address the panel
on a specific item on the agenda, such invitations to be issued by the Committee
Administrators.
(xi)
Members of the public shall be excluded by vote of the panels during discussion on
confidential items.
(xii)
That Area Member Panel agendas be made available to the public and press on the
same basis as for council agendas.
- 104 -
Rural Area Member Panel
(North)
Terms of reference for Area Member Panels
1.
Each Area Member Panel (“AMP”) will formulate its own way of working consistent
with the Constitution of the council and with these general terms of reference.
2.
Each AMP must give at least annual consideration as to how it is engaging with both
the public and organisations in its area to enable it to reflect the views of its
communities within the council and communicate back to those communities
information which will be of interest. This consideration will include (but will not be
limited to) the time and place of meetings and the nature of items appearing on the
agenda.
3.
Each AMP is to act as a consultative forum. The Executive will use AMPs on
proposed decisions, which particularly affect an AMP area, and by the AMP itself on
its own proposals on local issues.
4.
AMPs will advise officers on the exercise of delegated powers locally and on
expenditure from certain specified budgets designated by the Executive.
5.
Where an Area Member Panel perceives it has observations on a council wide or
functional matter then it may comment to the appropriate decision making person or
body or service head.
6.
AMPs should seek to promote partnership working and to identify potential
partnerships both within their local area and across the district which might enhance
the delivery of services and recommend these to the Executive.
7.
AMPs will be supported by lead officers and area co-ordinators where assigned. The
role of such officers is to obtain information and explain it to members and to act as
the AMPs voice within the officer corps. AMPs have no budget and cannot
commission officers to carry out original new work unless it is authorised by the
Executive.
Note: In deciding on their local working methods AMPs should as soon as possible after
adopting these terms of reference consider their methods of working. They should seek out
and consult stakeholders within the local area and encourage the widest possible local
debate. AMPs should gain ideas on how the public and local organisations can contribute to
council processes.
Further notes
(i)
Panels are consultative and (because they are non-proportional) they are non-
decision making. Officers have no authority to take action on the basis of panel
recommendations.
(ii)
Recommendations of panels will be referred by Committee Administrators to the
appropriate body to accompany the relevant report.
(iii)
The accuracy of minutes of panels will be a matter for each panel.
- 105 -
(iv)
Items are placed on the agenda of panels by officers, or group spokespersons,
channelled through the Chair.
(v)
Reports to panels should, where possible, following the format in the template for
reports.
(vi)
Panels should not discuss individual planning applications.
(vii)
Panels should meet six times per annum, at or near the beginning of each council
cycle, with dates fixed in the council timetable at the beginning of each municipal
year.
(viii)
(a)
Each Area Member Panel must consider how it will allow members of the
public to speak at its meetings and resolve upon any rules it wishes to adopt.
(b)
If a member of the public wishes to speak to an item which is to be dealt with
after the public has been excluded, he or she may only speak prior to the
press and public being excluded.
(c)
The Area Member Panel may refuse to allow a member of the public to speak
or to continue to speak if it appears that the speech is defamatory, mere
vulgar abuse, inflammatory or for other good reason.
(ix)
Membership of the panel shall be limited to the councillors for the designated area.
(x)
The Chair of the panel may invite specific individuals to attend and address the panel
on a specific item on the agenda, such invitations to be issued by the Committee
Administrators.
(xi)
Members of the public shall be excluded by vote of the panels during discussion on
confidential items.
(xii)
That Area Member Panel agendas be made available to the public and press on the
same basis as for council agendas.
- 106 -
Rural Area Member Panel
(South)
Terms of reference for Area Member Panels
1.
Each Area Member Panel (“AMP”) will formulate its own way of working consistent
with the Constitution of the council and with these general terms of reference.
2.
Each AMP must give at least annual consideration as to how it is engaging with both
the public and organisations in its area to enable it to reflect the views of its
communities within the council and communicate back to those communities
information which will be of interest. This consideration will include (but will not be
limited to) the time and place of meetings and the nature of items appearing on the
agenda.
3.
Each AMP is to act as a consultative forum. The Executive will use AMPs on
proposed decisions, which particularly affect an AMP area, and by the AMP itself on
its own proposals on local issues.
4.
AMPs will advise officers on the exercise of delegated powers locally and on
expenditure from certain specified budgets designated by the Executive.
5.
Where an Area Member Panel perceives it has observations on a council wide or
functional matter then it may comment to the appropriate decision making person or
body or service head.
6.
AMPs should seek to promote partnership working and to identify potential
partnerships both within their local area and across the district which might enhance
the delivery of services and recommend these to the Executive.
7.
AMPs will be supported by lead officers and area co-ordinators where assigned. The
role of such officers is to obtain information and explain it to members and to act as
the AMPs voice within the officer corps. AMPs have no budget and cannot
commission officers to carry out original new work unless it is authorised by the
Executive.
Note: In deciding on their local working methods AMPs should as soon as possible after
adopting these terms of reference consider their methods of working. They should seek out
and consult stakeholders within the local area and encourage the widest possible local
debate. AMPs should gain ideas on how the public and local organisations can contribute to
council processes.
Further notes
(i)
Panels are consultative and (because they are non-proportional) they are non-
decision making. Officers have no authority to take action on the basis of panel
recommendations.
(ii)
Recommendations of panels will be referred by Committee Administrators to the
appropriate body to accompany the relevant report.
(iii)
The accuracy of minutes of panels will be a matter for each panel.
- 107 -
(iv)
Items are placed on the agenda of panels by officers, or group spokespersons,
channelled through the Chair.
(v)
Reports to panels should, where possible, following the format in the template for
reports.
(vi)
Panels should not discuss individual planning applications.
(vii)
Panels should meet six times per annum, at or near the beginning of each council
cycle, with dates fixed in the council timetable at the beginning of each municipal
year.
(viii)
(a)
Each Area Member Panel must consider how it will allow members of the
public to speak at its meetings and resolve upon any rules it wishes to adopt.
(b)
If a member of the public wishes to speak to an item which is to be dealt with
after the public has been excluded, he or she may only speak prior to the
press and public being excluded.
(c)
The Area Member Panel may refuse to allow a member of the public to speak
or to continue to speak if it appears that the speech is defamatory, mere
vulgar abuse, inflammatory or for other good reason.
(ix)
Membership of the panel shall be limited to the councillors for the designated area.
(x)
The Chair of the panel may invite specific individuals to attend and address the Panel
on a specific item on the agenda, such invitations to be issued by the Committee
Administrators.
(xi)
Members of the public shall be excluded by vote of the panels during discussion on
confidential items.
(xii)
That Area Member Panel agendas be made available to the public and press on the
same basis as for council agendas.
- 108 -
Whitstable Area Member Panel
Terms of reference for Area Member Panels
1.
Each Area Member Panel (“AMP”) will formulate its own way of working consistent
with the Constitution of the council and with these general terms of reference.
2.
Each AMP must give at least annual consideration as to how it is engaging with both
the public and organisations in its area to enable it to reflect the views of its
communities within the council and communicate back to those communities
information which will be of interest. This consideration will include (but will not be
limited to) the time and place of meetings and the nature of items appearing on the
agenda.
3.
Each AMP is to act as a consultative forum. The Executive will use AMPs on
proposed decisions, which particularly affect an AMP area, and by the AMP itself on
its own proposals on local issues.
4.
AMPs will advise officers on the exercise of delegated powers locally and on
expenditure from certain specified budgets designated by the Executive.
5.
Where an Area Member Panel perceives it has observations on a council wide or
functional matter then it may comment to the appropriate decision making person or
body or service head.
6.
AMPs should seek to promote partnership working and to identify potential
partnerships both within their local area and across the district which might enhance
the delivery of services and recommend these to the Executive.
7.
AMPs will be supported by lead officers and area co-ordinators where assigned. The
role of such officers is to obtain information and explain it to members and to act as
the AMPs voice within the officer corps. AMPs have no budget and cannot
commission officers to carry out original new work unless it is authorised by the
Executive.
Note: In deciding on their local working methods AMPs should as soon as possible after
adopting these terms of reference consider their methods of working. They should seek out
and consult stakeholders within the local area and encourage the widest possible local
debate. AMPs should gain ideas on how the public and local organisations can contribute to
council processes.
Further notes
(i)
Panels are consultative and (because they are non-proportional) they are non-
decision making. Officers have no authority to take action on the basis of panel
recommendations.
(ii)
Recommendations of panels will be referred by Committee Administrators to the
appropriate body to accompany the relevant report.
(iii)
The accuracy of minutes of panels will be a matter for each panel.
(iv)
Items are placed on the agenda of panels by officers, or group spokespersons,
channelled through the Chair.
- 109 -
(v)
Reports to panels should, where possible, following the format in the template for
reports.
(vi)
Panels should not discuss individual planning applications.
(vii)
Panels should meet six times per annum, at or near the beginning of each council
cycle, with dates fixed in the council timetable at the beginning of each municipal
year.
(viii)
(a)
Each Area Member Panel must consider how it will allow members of the
public to speak at its meetings and resolve upon any rules it wishes to adopt.
(b)
If a member of the public wishes to speak to an item which is to be dealt with
after the public has been excluded, he or she may only speak prior to the
press and public being excluded.
(c)
The Area Member Panel may refuse to allow a member of the public to speak
or to continue to speak if it appears that the speech is defamatory, mere
vulgar abuse, inflammatory or for other good reason.
(ix)
Membership of the panel shall be limited to the councillors for the designated area.
(x)
The Chair of the panel may invite specific individuals to attend and address the panel
on a specific item on the agenda, such invitations to be issued by the Committee
Administrators.
(xi)
Members of the public shall be excluded by vote of the panels during discussion on
confidential items.
(xii)
That Area Member Panel agendas be made available to the public and press on the
same basis as for council agendas.
- 110 -
Political Management Member Panel
Terms of reference
(a)
To assist officers in the development of the political management consultation
process.
(b)
To consider options for political management and the enhancement of public
involvement in decision making and advise the Monitoring Officer on proposed
changes to the Constitution.
- 111 -
Part Four
Rules of Procedure
Council Procedure Rules
Rule
Page
1.
Annual meeting of the Council
114
2.
Ordinary
meetings
115
3.
Extraordinary
meetings
116
4.
Public
Assembly
Sessions
116
5.
Appointment of substitute Members of committees
116
6.
Time
and
place
of
meetings
117
7.
Notice of and summons to meetings
117
8.
Chair
of
meeting
118
9.
Quorum 118
10.
Partners organisations at public assembly session
118
11.
Questions
by
members
118
12.
Motions
on
notice
120
13.
Motions
without
notice 121
14.
Rules
of
debate 122
15.
Previous
decisions
and
motions
126
16.
Voting
126
17.
Minutes 127
18.
Minutes of committees and reports of Chairs at council meeting
128
19.
Record
of
attendance
128
20.
Exclusion
of
public
129
21.
Members’
conduct
129
22.
Disturbance
by
public
129
23.
Declaration of interest of members in contracts and other matters
130
24.
Interests
of
officers
in
contracts
130
25.
Suspension and amendment of council Procedure Rules
130
26.
Application to committees and sub-committees
130
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1.
Annual meeting of the council
1.01 Timing and business
In a year when there is an ordinary election of councillors, the annual meeting will take
place within 21 days of the retirement of the outgoing councillors. In any other year, the
annual meeting will take place in March, April or May.
The annual meeting will:
(i)
elect a person to preside if the Lord Mayor is not present;
(ii)
elect the Lord Mayor for the ensuing year;
(iii)
receive the report of the returning officer if any;
(iv)
appoint by election the Sheriff and Vice-Chairman of the council;
(v)
elect the Leader;
(vi)
approve the minutes of the last meeting;
(vii)
receive any announcements from the Lord Mayor, Leader, and/or Head of the Paid
Service;
(viii) agree the number of members to be appointed to the Executive and appoint those
members of the Executive;
(ix)
appoint one Overview and Scrutiny Committee, a Standards Committee and such
other committees as the council considers appropriate to deal with matters which
are neither reserved to the council nor are Executive functions (as set out in Part 3,
Table 1 of this Constitution), and to appoint substitute members for such
committees;
(x)
agree the scheme of delegation or such part of it as the Constitution determines it is
for the council to agree (as set out in Part 3 Table 3 of this Constitution);
(xi)
to appoint proper officers of the council;
(xii)
approve a programme of ordinary meetings of the council for the year; and
(xiii) consider any business set out in the notice convening the meeting.
1.02 Selection of councillors on committees and outside bodies
At the annual meeting, the council meeting will:
(i)
decide which committees to establish for the municipal year;
(ii)
decide the size and terms of reference for those committees;
(iii)
decide the allocation of seats and substitutes to political groups in accordance with
the political balance rules;
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(iv)
except where the power of appointment has been delegated by the council to
receive nominations of representatives to serve on each committee and outside
body; and
(v)
appoint to those committees and outside bodies except where such power is
exercisable only by the Executive.
2.
Ordinary meetings
2.01 Ordinary meetings of the council will take place in accordance with a programme decided at
the council’s annual meeting. Ordinary meetings will:
(i)
elect a person to preside if the Lord Mayor and the Sheriff and Vice-Chairman are
not present;
(ii)
have prayers led by the Lord Mayor or Chaplain;
(iii)
receive apologies for absence (if any);
(iv)
receive any declarations of interest from members;
(v) receive
petitions;
(vi)
receive any announcements from the Lord Mayor, the Leader, members of the
Executive or the Head of Paid Service;
(vii)
receive recommendations from the Executive, and receive questions and answers
on any of these recommendations;
(viii)
answer questions received from members under Rule 11 in the order determined by
a ballot undertaken by the Head of Paid Service in advance of the day of the
meeting;
(ix)
consider any other business specified in the summons to the meeting not dealt with
elsewhere in the agenda including consideration of proposals from the Executive in
relation to the council’s budget and policy framework and reports of the Overview
and Scrutiny Committee for debate;
(x)
consider reports on previous motions and to consider fresh motions in the order in
which they were received; and
(xi)
deal with any business required by statute to be done before any other business;
(xii)
approve the minutes of the last meeting and any outstanding from previous
meetings;
(xiii)
receive recommendations from the council’s committees and receive questions and
answers on any of these recommendations;
(xiv)
receive any reports about and receive questions and answers on the business of
external organisations;
(xv)
deal with any business from the last council meeting;
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(xvi)
receive statutory reports;
2.02
The order of items (i), (ii), (iii) or (iv) of paragraph 2.1 shall not be varied. The order of other
business may be varied:
(i)
at the discretion of the Lord Mayor;
(ii)
by a resolution passed at any time during the meeting on a motion (which need not
be in writing) duly moved and seconded, and put without discussion.
3.
Extraordinary meetings
3.01 Calling extraordinary meetings
Those listed below may request the Head of Paid Service to call council meetings in
addition to ordinary meetings:
(i)
the council by resolution;
(ii)
the Lord Mayor;
(iii) the
Leader;
(iv)
the Monitoring Officer; and
(v)
any five members of the council if they have signed a requisition presented to the
Lord Mayor and he/she has refused to call a meeting or has failed to call a meeting
within five working days of the receipt of the requisition.
3.02 Business
Business conducted at an extraordinary meeting shall be restricted to a single item with no
consideration of previous minutes or reports from committees.
4. Public
assembly
session
4.01
The Leader, after consultation with the Lord Mayor may request the Head of Paid Service
to call a public assembly session at which partner organisations via nominated
spokespersons will be able to attend and debate with elected members, matters of public
policy.
5.
Appointment of substitute Members
5.01 Appointments
As well as allocating seats on committees, the council acknowledges that, subject to the
exceptions and restrictions set out in 5.2 below, in the absence of a member at any
particular meeting his/her political group are entitled to appoint a substitute for that meeting.
This ability to substitute also applies at meetings of sub-committees, Member groups and
panels, but is subject to the same exceptions and restrictions.
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5.02
Exceptions and restrictions
(a)
A member may not be substituted on a Scrutiny Review Panel except in the
following circumstances:
(i)
That the departing member of such panel has been appointed Lord Mayor or
Sheriff, a member of the Executive, or has resigned from the council or has
become ill or incapacitated.
(ii)
That any remaining member of the panel believes a substitute member is
desirable and asks either the Overview and Scrutiny Committee or the
Scrutiny Management Review Sub-Committee, whichever may be earlier, to
consider the appointment of a substitute.
(iii)
That the committee or sub-committee as the case may be appoint such a
substitute in consultation with the Leader of the relevant political group,
subject to such conditions as they think fit.
5.03 Number
For each committee, the council will allow the same number of substitutes in respect of
each political group as that group holds ordinary seats on that committee.
5.04 Powers and duties
Substitute members will have all the powers and duties of any ordinary member of the
committee but will not be able to exercise any special powers or duties exercisable by the
person they are substituting.
5.05 Substitution
Substitute members may attend meetings in that capacity only:
(i)
to take the place of the ordinary member for whom they are the designated
substitute;
(ii)
where the ordinary member will be absent for the whole of the meeting or for the
whole of a hearing if the matter is quasi-judicial; and
(iii)
after notifying the Head of Paid Service at the earliest opportunity on or before the
commencement of the meeting of the intended substitution.
6.
Time and place of meetings
The time and place of meetings will be determined by the Head of Paid Service and notified
in the summons.
7.
Notice of and summons to meetings
The Head of Paid Service will give notice to the public of the time and place of any meeting
in accordance with the Access to Information Rules. At least five clear working days before
a meeting, the Head of Paid Service will send a summons signed by him/her by post to
every member of the council or leave it at their usual place of residence. The summons will
give the date, time and place of each meeting and specify the business to be transacted,
and will be accompanied by such reports as are available.
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8.
Chair of meeting
The person presiding at the meeting may exercise any power or duty of the Lord Mayor.
Where these rules apply to committee and sub-committee meetings, references to the Lord
Mayor also include the chair of committees and sub-committees.
9.
Quorum
The quorum of a meeting shall be at least one half of the members of the council. During
any meeting if the Lord Mayor counts the number of members present and declares there is
not a quorum present, then the meeting will adjourn immediately. Remaining business will
be considered at a time and date fixed by the Lord Mayor. If he/she does not fix a date, the
remaining business will be considered at the next ordinary meeting.
10. Partner organisations at public assembly session
10.01 General
In accordance with Rule 4.01, the Head of Paid Service, will by letter, invite partner
organisations through nominated spokespersons (if any), to attend and debate with
members of the council, matters of public policy. The letter of invitation will set out the rules
of debate applicable to public assembly sessions.
11. Questions by Members
11.01 On reports of the Executive or committees
A member of the council may ask the Leader or the chair of a committee any question
without notice upon an item of the report of the Executive or a committee when that item is
being received or under consideration by the council.
11.02 Questions on notice at Full Council
Subject to Rule 11.03, a member of the council may ask:
(i)
the Lord Mayor;
(ii)
the Leader plus any member of the Executive; or
(iii)
the chair of any committee
a question on any matter in relation to which the authority has powers or duties or which
affects the district of Canterbury City Council.
11.03 Number of questions
If three or fewer questions are received, then each question will be answered without
discussion, but the Lord Mayor may permit a maximum of two further questions on the
same subject to be put by any member of the council.
11.04 Notice of questions
A member may only ask a question under Rule 11.02 if either:
(i)
the question has been submitted in writing at least three clear working days prior to
the council meeting to the Head of Paid Service; or
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(ii)
the question relates to urgent matters, they have the consent of the Lord Mayor to
whom the question is to be put and the content of the question is given to the Head
of Paid Service if at all possible no later than 24 hours before the time fixed for the
meeting.
11.05 Sequence of questions
Save for urgent questions under Rules 11.02 and 11.04(i) the sequence of questions shall
be established by a ballot of the questions received conducted under the instructions of the
Head of Paid Service.
11.06 Questions ruled out of order
The Lord Mayor may, in consultation with the Head of the Paid Service, rule out of order
questions which in his/her opinion would risk:
(i)
defamation of any individual;
(ii)
not conforming to the provisions of paragraph 11.02.
No invalid questions will be circulated.
11.07 Response
An answer may be given by the member to whom the question was asked or such other
member as the member to whom the question was addressed may consider appropriate.
An answer may take the form of:
(i)
a direct oral answer;
(ii)
where the desired information is in a publication of the authority or other published
work, a reference to that publication; or
(iii)
where the reply cannot conveniently be given orally, a written answer sent later to
the questioner.
11.08 Supplementary
question
A member asking a question under Rule 11.02 may ask one supplementary question
without notice of the member to whom the first question was asked. The supplementary
question must arise directly out of the original question or the reply.
11.09 Time allowed for questions
One minute is allowed for asking questions under Rule 11.02 and three minutes is allowed
for its answer.
The time allowed in council meetings for dealing with all questions received
under this rule shall not exceed 30
minutes.
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12. Notice of motion
12.01 Notice
Except for motions which can be moved without notice under Rule 13, written notice of
every motion must be delivered to the Head of Paid Service not later than eight clear
working days before the date of the meeting. These will be entered in a book open to public
inspection.
12.02 Motion set out in agenda
Motions for which notice has been given will be listed on the agenda in the order in which
notice was received, unless the member giving notice states, in writing, that they propose to
move it to a later meeting or withdraw it.
12.03 Scope
Motions must be about matters for which the authority has a responsibility or which affect
the district of Canterbury City Council.
12.04 Withdrawing a motion
If a motion set out in the summons is not moved either by the member who gave notice or
by some other member on that member’s behalf it shall, unless postponed by consent of
the council, be treated as withdrawn and shall not be moved without fresh notice.
12.05 Motions out of order
The Lord Mayor may in consultation with the Head of the Paid Service, rule out of order
motions which, in his/her opinion, would risk:
(i)
defamation of any individual;
(ii)
not conforming to the provisions of paragraph 12.3 or which breach standing orders.
Such motions shall not appear on the council agenda or be otherwise circulated.
The Lord Mayor may at his/her discretion vary the order in which motions are taken to seek
to obtain a series of debates which reflect the broad political balance within the chamber.
12.06 Referring a motion
(i)
If the subject matter of any motion of which notice has been duly given comes within
the province of the Executive or any committee or any other body, it shall upon
being formally moved and seconded, stand referred without discussion to the
Executive, a committee or such other body as the council may determine on the
proper officer’s recommendation, for discussion and report back to the council but
subject to paragraph (iii) below.
(ii)
However the Lord Mayor may consider it convenient and conducive to the dispatch
of business either to allow the motion to be dealt with at the meeting at which it is
brought forward or to refer it to the Executive, a committee or such other body as
the Lord Mayor may determine without discussion.
(iii)
Any motion which is referred to the Executive
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(a)
which is within their decision making powers shall be treated as advisory and
the Executive will either take such decisions as it thinks fit and inform the
next appropriate council of the decision taken for the council to note or it will
refer the matter back to council to seek further advice before taking any
decision on the motion, or
(b)
which is outside their decision making powers will be discussed by them and
be the subject of a report back.
(iv)
Any motion which is referred to a committee or other body will be discussed by them
and be the subject of a report back.
(v)
In the event of a motion being referred to a body which does not meet in
accordance with the council’s programme of meetings, a meeting of that body shall
be convened within one council cycle of meetings.
(vi)
At a debate on a report back:
(a)
In the case of a motion referred to the Executive which is within their
decision making powers the report back will be taken as the motion to be
considered and noted.
(b)
In the case of a motion referred without debate to a committee or other body
of the Executive which is outside their decision making powers the original
motion shall be considered first as the matter for debate and will be
proposed and seconded accordingly. The report back, if appropriate, will be
considered as an amendment to the original motion).
12.07
Rights of explanation
Any member of the council without substitution who has moved and seconded a motion
which has been referred to the Executive, a committee or other body or who has proposed
the reference to one of them shall have notice of the meeting at which it is proposed to
consider the motion or matter, and if he or she attend shall have an opportunity of
explaining it.”
13. Motions moved without notice
The following motions may be moved without notice:
(i)
to appoint a chair of the meeting at which the motion is moved;
(ii)
in relation to the accuracy of the minutes;
(iii)
to change the order of business in the agenda;
(iv)
to refer something to an appropriate body or individual;
(v)
to appoint a committee or member arising from an item on the summons for the
meeting;
(vi)
to receive reports or adoption of recommendations of committees or officers and
any resolutions following from them;
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(vii)
to withdraw a motion;
(viii)
to extend the time limit for speeches;
(ix)
to amend a motion;
(x)
to proceed to the next business;
(xi)
that the question be now put;
(xii)
to adjourn a debate;
(xiii)
to adjourn a meeting;
(xiv) to suspend a particular council procedure rule;
(xv) to exclude the public and press in accordance with the Access to Information
Procedure Rules;
(xvi) to not hear further a member named under Rule 22.03 or to exclude them from the
meeting under Rule 22.04;
(xvii) to give the consent of the council where its consent is required by this Constitution;
and
(xviii) to requisition voting by recorded vote or ballot in accordance with Rule 17.
14. Rules of debate
14.01 No speeches until motion seconded
No speeches may be made after the mover has moved a proposal and explained the
purpose of it until the motion has been seconded.
14.02 Right to require motion in writing
Unless notice of the motion has already been given, the Lord Mayor may require it to be
written down and handed to him/her before it is discussed.
14.03 Seconder’s speech
When seconding a motion or amendment, a member may reserve their speech until later in
the debate.
14.04 Content and length of speeches
(a)
Speeches must be directed to the question under discussion or to a personal
explanation or point of order. Except as set out below no speech may exceed three
minutes without the consent of the Lord Mayor having taken the opinion of
councillors present at the meeting.
(b)
The following persons may be allowed to speak for up to 10 minutes:
(i)
The Leader who is presenting a report to the council.
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(ii)
At the annual council meeting and at the council meetings where the budget
is presented and determined shall be allowed 10 minutes to deliver his/her
priorities speech.
(iii)
The Leaders of the two largest opposition groups shall each be allowed 10
minutes to reply to (i) and (ii) above.
(iv)
The Leader shall be allowed a further 10 minutes in total to respond to the
speeches in (iii) above.
14.05 When a member may speak again
A member who has spoken on a motion may not speak again whilst it is the subject of
debate, except:
(i)
if the member has formally seconded a motion or amendment and reserved the right
to speak later;
(ii)
to speak once on an amendment moved by another member;
(iii)
to move a further amendment if the motion has been amended since he/she last
spoke;
(iv)
if his/her first speech was on an amendment moved by another member, to speak
on the main issue (whether or not the amendment on which he/she spoke was
carried);
(v)
in exercise of a right of reply;
(vi)
on a point of order; or
(vii)
by way of personal explanation.
14.06 Amendments to motions
(a)
An amendment to a motion must be relevant to the motion and will either be:
(i)
to refer the matter to an appropriate body or individual for consideration or
reconsideration;
(ii)
to leave out words;
(iii)
to leave out words and insert or add others; or
(iv)
to insert or add words.
as long as the effect of (ii) to (iv) is not to negate the motion.
(b)
Only one amendment may be moved and discussed at any one time. No further
amendment may be moved until the amendment under discussion has been
disposed of.
(c)
If an amendment is not carried, other amendments to the original motion may be
moved.
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(d)
If an amendment is carried, the motion as amended takes the place of the original
motion. This becomes the substantive motion to which any further amendments are
moved.
(e)
After an amendment has been carried, the Lord Mayor will read out or ask to be
read out the amended motion before accepting any further amendments, or if there
are none, put it to the vote.
14.07 Alteration of motion
(a)
A member may alter a motion of which he/she has given notice with the consent of
the meeting. The meeting’s consent will be signified without discussion.
(b)
A member may alter a motion which he/she has moved without notice with the
consent of both the meeting and the seconder. The meeting’s consent will be
signified without discussion.
(c)
Only alterations which could be made as an amendment may be made.
14.08 Withdrawal of motion
A member may withdraw a motion which he/she has moved with the consent of both the
meeting and the seconder. The meeting’s consent will be signified without discussion. No
member may speak on the motion after the mover has asked permission to withdraw it
unless permission is refused.
14.09 Right of reply
(a)
The mover of a motion has a right to reply at the end of the debate on the motion,
immediately before it is put to the vote.
(b)
If an amendment is moved, the mover of the original motion has the right of reply at
the close of debate on the amendment, but may not otherwise speak on it.
(c)
The mover of the amendment shall have a similar right of reply at the close of the
debate upon such amendment immediately prior to that of the mover of the motion.
(d)
A member exercising a right of reply shall not introduce new matter. After the
replies to which this rule refers, a vote shall be taken without further discussion.
14.10 Motions which may be moved during debate
When a motion is under debate, no other motion may be moved except the following
procedural motions:
(i)
to withdraw a motion;
(ii)
to amend a motion;
(iii)
to proceed to the next business;
(iv)
that the question be now put;
(v)
to adjourn a debate;
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(vi)
to adjourn a meeting;
(vii) to exclude the public and press in accordance with the Access to Information
Procedure Rules; or
(viii) to not hear further a member named under Rule 22.03 or to exclude them from the
meeting under Rule 22.04.
14.11 Closure motions
(a)
A member may move, without comment, the following motions at the end of a
speech of another member:
(i)
to proceed to the next business;
(ii)
that the question be now put;
(iii)
to adjourn a debate; or
(iv)
to adjourn a meeting.
(b)
If a motion to proceed to next business is seconded and the Lord Mayor thinks the
item has been sufficiently discussed, he/she will give the mover of the original
motion a right of reply and then put the procedural motion to the vote.
(c)
If a motion that the question be now put is seconded and the Lord Mayor thinks the
item has been sufficiently discussed, he/she will put the procedural motion to the
vote. If it is passed he/she will give the mover of the original motion a right of reply
before putting his/her motion to the vote.
(d)
If a motion to adjourn the debate or to adjourn the meeting is seconded and the
Lord Mayor thinks the item has not been sufficiently discussed and cannot
reasonably be so discussed on that occasion, he/she will put the procedural motion
to the vote without giving the mover of the original motion the right of reply.
14.12 Point of order
A member may raise a point of order at any time. The Lord Mayor will hear them
immediately. A point of order may only relate to an alleged breach of these council
Procedure Rules or the law. The member must indicate the rule or law and the way in
which he/she considers it has been broken. The ruling of the Lord Mayor on the matter will
be final.
14.13 Personal explanation
A member may make a personal explanation at any time. A personal explanation may only
relate to some material part of an earlier speech by the member which may appear to have
been misunderstood in the present debate. The ruling of the Lord Mayor on the
admissibility of a personal explanation will be final.
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14.14 Limit of time
Save as provided in paragraph (i) and (ii) below where the council has not concluded the
whole of its business at the expiration of 4 hours after the commencement of the meeting,
the meeting of the council shall stand adjourned to the following evening or, if necessary, to
another day to be determined by the Lord Mayor at the meeting.
(i)
where the council is sitting as an appellate body or performing a planning, licensing
or other quasi-judicial function then in the interests of fairness and by a majority vote
of not less than 66% of the members present it may extend its meeting for such
period as it thinks reasonable or
(ii)
at any meeting where the council determines that there are exceptional
circumstances which are recorded in the minutes and not less than 66% of the
members present vote in favour the council may extend the meeting by up to 30
minutes.
15. Previous decisions and motions
15.01 Motion to rescind a previous decision
A motion or amendment to rescind a decision made at a meeting of council within the past
six months cannot be moved unless the notice of motion is signed by at least 10 members.
15.02 Motion similar to one previously rejected
A motion or amendment in similar terms to one that has been rejected at a meeting of
council in the past six months cannot be moved unless the notice of motion or amendment
is signed by at least 10 members. Once the motion or amendment is dealt with, no one can
propose a similar motion or amendment for six months.
15.03 Decision of committee to rescind a previous decision
If a committee decides that a decision of the council or a committee made within the
previous six months ought to be rescinded or substantially varied then that committee may
recommend but may not resolve to the council that the decision in question be rescinded or
varied.
15.04 Request for reconsideration by the Executive
This procedure rule does not apply to a request for reconsideration made by the Executive
pursuant to Rule 18.08.
16. Voting
16.01 Majority
Unless this Constitution provides otherwise, any matter will be decided by a simple majority
of those members present and voting in the room at the time the matter was put.
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16.02 Lord Mayor’s second or casting vote
If there are equal numbers of votes for and against, the Lord Mayor will have a second or
casting vote. There will be no restriction on how the Lord Mayor chooses to exercise a
second or casting vote.
16.03 Show of hands
Unless a ballot or recorded vote is demanded at meetings of the council under Rules 16.04
and 16.05, the Lord Mayor will take the vote by show of hands, or if there is no dissent, by
the affirmation of the meeting.
16.04 Ballots at council
The vote will take place by ballot if 10 members demand it in writing no later than midday
on the working day immediately preceding the day of the meeting. The Lord Mayor will
announce the numerical result of the ballot immediately the result is known. A demand for
a ballot would override a demand for a recorded vote.
16.05 Recorded vote at council
If immediately before a vote is taken on the requisition of any member supported by
two further members present at the meeting who signify their support by rising in their
places, the names for and against the motion or amendment or abstaining from voting will
be taken down in writing and entered into the minutes.
16.06 Right to require individual vote to be recorded
Where any member requests it immediately after the vote is taken, their vote will be so
recorded in the minutes to show whether they voted for or against the motion or abstained
from voting.
16.07 Voting on appointments
If there are more than two people nominated for any position to be filled and there is not a
clear majority of votes in favour of one person, then the name of the person with the least
number of votes will be taken off the list and a new vote taken. The process will continue
until there is a majority of votes for one person.
17. Minutes
17.01 Signing the minutes
The Lord Mayor will sign the minutes of the proceedings at the next suitable meeting. The
Lord Mayor will move that the minutes of the previous meeting be signed as a correct
record. The only part of the minutes that can be discussed is their accuracy, which shall be
raised by motion. If no such question is raised, or if it is raised then as soon as it has been
disposed of, the Lord Mayor shall sign the minutes.
17.02 No requirement to sign minutes of previous meeting at extraordinary meeting
Where in relation to any meeting, the next meeting for the purpose of signing the minutes is
a meeting called under paragraph 3 of Schedule 12 to the Local Government Act 1972 (an
Extraordinary Meeting), then the next following meeting (being a meeting called otherwise
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than under that paragraph) will be treated as a suitable meeting for the purposes of
paragraph 41(1) and (2) of Schedule 12 relating to signing of minutes.
17.03 Form of minutes
Minutes will contain all motions and amendments in the exact form and order the Lord
Mayor put to the meeting.
18. Minutes of committees and reports of chairs at council meeting
18.01 The minutes of the Overview and Scrutiny Committee, and other committees shall be
submitted for adoption and information to the council and shall distinguish between
decisions made using delegated powers and those recommended by the appropriate body
having delegated powers. Decisions in the former case shall be preceded by the word
'RESOLVED' and in those demanding a decision by the council 'RECOMMENDED'.
18.02 The person presenting the minutes shall submit the minutes of the Overview and Scrutiny
Committee as appropriate for approval by the council, and shall formally move their
adoption.
18.03 Reports from the Executive containing recommendations shall be submitted for adoption by
the council, and shall formally be moved by the Leader or a member of the Executive.
18.04 Following the seconding of the motion a member may raise an amendment, comment,
question or make an observation relating to the minute/report. A member wishing to move
an amendment must do so at the commencement of his/her speech.
18.05 There shall be no amendment to resolved minutes, save on the written advice from the
Monitoring Officer and/or the Chief Finance Officer.
18.06 At the conclusion of all questions on and debate on amendments of the minutes of a
committee or amendments to reports of the Executive, the Lord Mayor shall put it to the
council meeting that the minutes (or the minutes as amended as the case may be) and
reports shall be adopted.
18.07 Members of the Executive, the Chair of the Overview and Scrutiny Committee and other
committees having given nine working days notice to the Head of Paid Service shall bring
to the attention of the council, such matters in respect of which notice has been given, after
which a debate may follow on matters within that report only. At the conclusion of the
debate the Executive member or Chair of the appropriate committee shall have the right of
final response.
18.08 Notwithstanding Rule 15 the Executive has the power to request the council to reverse a
decision within five days of that decision being made.
19. Record of attendance
All members present during the whole or part of a meeting must sign their names on the
attendance sheets before the conclusion of every meeting.
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20. Exclusion of public
Members of the public and press may only be excluded either in accordance with the
Access to Information Procedure Rules in Part 4 of this Constitution or Rule 22
(Disturbance by Public).
21. Members’ conduct
21.01 Standing to speak
When a member speaks at Full Council they must stand and address the meeting through
the Lord Mayor, except where the member or members may be physically impaired from so
doing. If more than one member stands, the Lord Mayor will ask one to speak and the
others must sit. Other members must remain seated whilst a member is speaking unless
they wish to make a point of order or a point of personal explanation.
21.02 Lord Mayor standing
When the Lord Mayor stands during a debate, any member speaking at the time must stop
and sit down. The meeting must be silent.
21.03 Member not to be heard further
If a member persistently disregards the ruling of the Lord Mayor by behaving improperly or
offensively or deliberately obstructs business, the Lord Mayor or any other member may
move that the member be not heard further. If seconded, the motion will be voted on
without discussion.
21.04 Member to leave the meeting
If the member continues to behave improperly after such a motion is carried, the Lord
Mayor may move that either the member leaves the meeting or that the meeting is
adjourned for a specified period and to a specified place. If seconded, the motion will be
voted on without discussion.
21.05 General disturbance by individual member or groups of members
If there is a general disturbance making orderly business impossible, the Lord Mayor may
adjourn the meeting for as long and to such place as he/she thinks necessary.
22. Disturbance by public
22.01 Removal of member of the public
If a member of the public interrupts proceedings, the Lord Mayor will warn the person
concerned. If they continue to interrupt, the Lord Mayor will order their removal from the
meeting room.
22.02 Clearance of part of meeting room
If there is a general disturbance in any part of the meeting room open to the public, the Lord
Mayor may call for that part to be cleared.
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23. Declarations of interest of Members in contracts and other matters
23.01 Prejudicial interests
If a member of the council has a prejudicial interest as defined in the council’s Code of
Conduct interest as defined in, then the member shall declare his/her interest and withdraw
from the meeting until discussion of the relevant matter is concluded unless:
(i)
the council’s Standards Committee has exercised its powers under the Relevant
Authorities (Standards Committee) (Dispensations) Regulations 2002 and granted
the Member a dispensation; or
(ii)
the matter is under consideration by the council as part of the report of a board or
committee and is not itself the subject of debate but he/she must withdraw
whenever it becomes apparent that the matter is being considered.
23.02 Personal interests
If a member has a personal interest defined in the National Code of Conduct, which is not
clear and substantial then the member shall, after disclosing that interest, be permitted to
remain in the meeting, and to speak and vote.
24. Interest of officers in contracts
The Head of Legal and Democratic
Services shall record in a book to be kept for the
purpose particulars of any notice given by an officer of the authority under Section 117 of
the Local Government Act 1972 (as amended) of a pecuniary interest in a contract, and the
book shall be open during office hours to the inspection of any member of the council.
25. Suspension and amendment of Council Procedure Rules
25.01 Suspension
All of these council Rules of Procedure except Rules 16.6,17.2 and 19-25 may be
suspended by motion on notice or without notice if at least one half of the whole number of
members of the council are present. Suspension can only be for the duration of the
meeting.
25.02 Amendment
Unless it is on the recommendation of the Political Management Member Panel and five
working days prior notice in writing is given to each member of the council of any addition,
variation or revocation of those rules of procedure, any motion to add to, vary or revoke
these council Rules of Procedure will, when proposed and seconded, stand adjourned
without discussion to the next ordinary meeting of the council.
26. Application to committees and sub-committees
All of the council Rules of Procedure apply to meetings of Full Council. None of the rules
apply to meetings of the Executive.
Unless otherwise provided therein Rules 5–9, 11–14, 15-17, 19-26(but not Rule
s 7
(summons for meetings to be signed by the Head of Paid Service) and 21.01) apply to
meetings of committees and sub-committees.
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Access to Information Procedure Rules
The requirements for access to information in respect of decision-taking by the authority are very
largely set out in statute and regulations. This section provides a summary of those statutory
provisions together with more details where the council is considering granting rights of access
over and above the statutory provision.
1. Council
functions
All decisions in respect of council functions are regulated by Sections 100A to 100K of the
Local Government Act 1972 (as amended).
The council has made no supplemental provisions for access to information in respect of
council functions.
2. Executive
functions
All decisions in respect of Executive functions are regulated by the Local Authorities
(Executive Arrangements) (Access to Information) (England) Regulations 2000 as
amended, as follows:
(a)
Advance notice of forthcoming decisions
(i)
The requirement for advance notice of forthcoming Executive decisions
apply to “key decisions”, which are defined by Regulation 8 to comprise any
Executive decision which is likely to:
• result in significant expenditure or significant savings, or
• be significant in terms of its effects on two or more wards or electoral
divisions within the authority’s area.
The council will approve guidelines as to what constitutes significance for
this purpose, and those guidelines will be included in this section of the
Constitution.
The council will also explore means of improving access to information
above the minimum provided for in the regulations and will include any such
provisions in this section of the Constitution.
(ii)
The Leader is required, at least 14 days before the start of each calendar
month, to prepare a Forward Plan (called by the council the Forthcoming
Decision List) which sets out details as from the start of that month (as set
out in Regulation 14) of any matters which he/she considers are likely to be
the subject of a key decision within the next four calendar months.
(iii)
The Leader shall instruct that the authority shall advertise annually the
existence and availability of the Forthcoming Decision List.
(iv)
Where a key decision is required to be taken which has not been publicised
in the Forthcoming Decision List, the decision-taker must give the Chair of
the Overview and Scrutiny Committee notice in writing or if there is no such
person, each member of the Overview and Scrutiny Committee, and make
such notice available to the public for inspection and take such decision at
least three clear days after notice of the proposed decision has been given.
Where the urgency of the decision is such that even that notice cannot be
given, the decision-taker must obtain the consent of the Chair of the
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Overview and
Scrutiny Committee (or in their absence Lord Mayor, Sheriff
and Vice Chairman of the Council) that the decision does need to be taken
as a matter of such urgency and cannot reasonably be deferred.
(b)
The decision-making process
(i)
Where a decision is to be discussed by the whole Executive:
• the agenda for the meeting and every report shall be available for
inspection as soon as they are made available to members of the
decision-making body, unless it discloses confidential or exempt
information. This shall comprise at least five working days notice unless
the meeting is convened at shorter notice or where an item is added to
the agenda at shorter notice in cases of urgency in accordance with the
provisions of the Local Government Act 1972 (as amended).
• the meeting must be a public meeting, although the press and public
may be excluded during consideration of any matter which would involve
the disclosure of confidential or exempt information.
(ii)
Where a decision is to be discussed by a committee of the Executive the
procedure to be followed shall be the same as if it were to be discussed by
the Executive as a whole.
(iii)
Where an officer proposes to take a key decision and receives a report in
respect of that matter, he/she shall not take the decision until the report has
been available to the public for at least five working days save in case of
urgency. As soon as that report is available it shall be copied to the Chair of
the Overview and Scrutiny Committee. Such reports shall include a list of
background papers which have been taken into account in the writing of the
report.
(c)
Recording the decision
Within two clear working days after an Executive decision has been made by the
Executive as a whole or by a committee thereof, or a key decision made by an
officer, the Proper Officer or the officer taking the decision shall make a written
record of that decision which shall include:
i)
a record of the decision;
ii)
the reasons for the decision;
iii)
details of any alternative options which were considered and rejected; and
iv)
a record of any conflicts of interest (and a note of any dispensations) where
the decision has been taken by members.
Records of Executive decisions shall be available for inspection within two clear
working days after the decision has been taken, together with a copy of any report
considered and any background papers.
(d)
Exceptions for exempt and confidential information
In respect of (b)(i) or (ii) above the preceding inspections rules do not apply where
the publication of a report or background paper or attendance at a meeting would be
likely to disclose exempt or confidential information.
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Budget and Policy Framework Procedure Rules
1.
The framework for Executive decisions
The council will be responsible for the adoption of its budget and policy framework as set
out in Article 4. Once a budget or a policy framework is in place, it will be the responsibility
of the Executive to implement it.
2.
Process for developing the Budget and Corporate Plan Framework
The process by which the budget and corporate plan policy framework shall be developed
is:
Corporate Plan
(a)
At least once in the life of a council (ie once in four years), the council will develop a
new four year corporate plan and each succeeding year will review its existing
corporate plan at council at the appropriate time.
(b)
The council will also develop a rolling four year medium term budget strategy linked
to the corporate plan.
(c)
In developing a new corporate plan the council will publish arrangements for
consultation. The consultation period will be not less than three months.
Consultation will take place with business groups, partners, community groups and
parishes as well as the public generally.
(d)
When developing a new corporate plan the Leader will, advise council on the
proposals for it, taking account of prior consultation.
Budget
(e)
The budget and associated policy
setting process will begin in July of any year.
(f)
Before the end of October the Executive will publicise for consultation a summary
overview of the budget position, taking account of any material it thinks relevant and
will publish a timetable for making proposals to the council. The consultation period
for these summary budget proposals shall be not less than four weeks. Before the
end of December the Executive will present its proposals for the review of charges,
grants to voluntary organisations and parish contributions.
(g)
Following consideration of the consultation or other
responses on the budget
proposals and on charges and grants (including any
from the
Overview and Scrutiny
Committee
which it may make of its own volition) the Executive will publish its policy
and budget proposals and priorities by the end of January. Any representations
made to the Executive shall be taken into account in formulating these proposals
and shall be reflected in any report dealing with them.
(h)
The Executive’s proposals shall be referred to the Overview and Scrutiny
Committee at the next scheduled meeting for advice and consideration or further
advice and consideration as the case may be.
(i)
After taking account of any advice and comments from the
Overview and Scrutiny
Committee the Executive will submit its proposals to the council for consideration.
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(j)
The council will consider the proposals of the Executive and may adopt them,
amend them, refer them back to the Executive for further consideration, or
substitute its own proposals in their place.
(k)
If the Executive’s proposals are accepted without amendment they shall become
effective immediately but if they are accepted with amendments then the council’s
decision will become effective on the expiry of five working days after the council
meeting, unless the Leader objects within that period.
(l)
If the Leader objects to the decision of the council, the Leader
shall give written
notice to the Head of Paid Service to that effect prior to the date upon which the
decision is to be effective. The written notification must state the reasons for the
objection. Where such notification is received, the Head of Paid Service shall
convene a further meeting of the council to reconsider its decision and the decision
shall not be effective pending that meeting.
(m)
The council meeting must take place within 10 working days of the receipt of the
Leader’s written objection. At that council meeting, the decision of the Council shall
be reconsidered in the light of the objection, which shall be available in writing for
the council.
(n)
The council shall at that meeting make its final decision on the matter on the basis
of a simple majority.
3.
Process for developing other plans, policies and strategies
The process by which policies shall be developed or revised is:
The Forthcoming Decision List
will indicate plans, policies or strategies intended to form
part of the council’s policy framework to be developed or reviewed and the consultation to
be undertaken.
The Executive will take account of the views of panels, committees and other consultees in
preparing the draft policy for recommendation to council.
Full Council will debate the policy and may adapt the policy, amend it, refer it back to the
Executive for further consideration or substitute its own proposals.
The council decision shall be effective immediately if the council accepts the Executive’s
proposals without amendment or if the Leader at that meeting indicates that the
amendment(s) are acceptable to the Executive.
4. Dispute
resolution
(a)
Where the Executive has submitted a draft plan or strategy to the council for its
consideration and, following consideration of that draft plan or strategy, the council
has any objections to it, the council must take the action set out in paragraph b.
(b)
Before the council -
(i)
amends a draft plan or strategy;
(ii)
approves, for the purpose of its submission to the Secretary of State or any
Minister of the Crown for his approval, any plan or strategy (whether or not in
the form of a draft) of which any part is required to be so submitted; or
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(iii)
adopts (with or without modification) a plan or strategy,
it must inform the Leader of any objections which it has to the draft plan or strategy
and must give to him instructions requiring the Executive to reconsider, in the light
of those objections, the draft plan or strategy submitted to it.
(c)
Where the council gives instructions in accordance with paragraph (b), it must
specify a period of at least five working days beginning on the day after the date on
which the Leader receives the instructions on behalf of the Executive within which
the Leader may -
(i)
submit a revision of the draft plan or strategy as amended by the Executive
(the “revised draft plan or strategy”), with the Executive’s reasons for any
amendments made to the draft plan or strategy, to the council for the
council’s consideration; or
(ii)
inform the council of any disagreement that the Executive has with any of
the council’s objections and the Executive’s reasons for any such
disagreement.
(d)
When the period specified by the council, referred to in paragraph (c), has expired,
the council must, when -
(i)
amending the draft plan or strategy or, if there is one, the revised draft plan
or strategy;
(ii)
approving, for the purpose of its submission to the Secretary of State or any
Minister of the Crown for his approval, any plan or strategy (whether or not in
the form of a draft or revised draft) of which any part is required to be so
submitted; or
(iii)
adopting (with or without modification) the plan or strategy,
take into account any amendments made to the draft plan or strategy that are
included in any revised draft plan or strategy, the Executive’s reasons for those
amendments, any disagreement that the Executive has with any of the council’s
objections and the Executive’s reasons for that disagreement, which the Leader
submitted to the council, or informed the council of, within the period specified.
(e)
Subject to paragraph (i), where, before 8 February in any financial year, the
Executive submits to the council for its consideration in relation to the following
financial year -
(i)
estimates of the amounts to be aggregated in making a calculation (whether
originally or by way of substitute) in accordance with any of the sections 32
to 37 or 43 to 49, of the Local Government Finance Act 1992
(as amended);
(ii)
estimates of other amounts to be used for the purposes of such a
calculation;
(iii)
estimates of such a calculation; or
(iv)
amounts required to be stated in a precept under Chapter IV of Part I of the
Local Government Finance Act 1992,
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and following consideration of those estimates or amounts the council has any
objections to them, it must take the action set out in paragraph (f).
(f)
Before the council makes a calculation (whether originally or by way of substitute) in
accordance with any of the sections referred to in paragraph (e)(i), or issues a
precept under Chapter IV of Part I of the Local Government Finance Act 1992, it
must inform the Leader of any objections which it has to the Executive’s estimates
or amounts and must give to him instructions requiring the Executive to reconsider,
in the light of those objections, those estimates and amounts in accordance with the
council’s requirements.
(g)
Where the council gives instructions in accordance with paragraph (f), it must
specify a period of at least five working days beginning on the day after the date on
which the Leader receives the instructions on behalf of the Executive within which
the Leader may -
(i)
submit a revision of the estimates or amounts as amended by the Executive
(“revised estimates or amounts”), which have been reconsidered in
accordance with the council’s requirements, with the Executive’s reasons for
any amendments made to the estimates or amounts, to the council for the
council’s consideration; or
(ii)
inform the council of any disagreement that the Executive has with any of
the council’s objections and the Executive’s reasons for any such
disagreement.
(h)
When the period specified by the council, referred to in paragraph (g), has expired,
the council must, when making calculations (whether originally or by way of
substitute) in accordance with the sections referred to in paragraph (e)(i), or issuing
a precept under Chapter IV of Part I of the Local Government Finance Act 1992,
take into account -
(i)
any amendments to the estimates or amounts that are included in any
revised estimates or amounts;
(ii)
the Executive’s reasons for those amendments;
(iii)
any disagreement that the Executive has with any of the council’s objections;
and
(iv)
the Executive’s reasons for that disagreement,
which the Leader submitted to the council, or informed the council of, within the
period specified.
(i)
Paragraphs (e) to (h) shall not apply in relation to -
(i)
calculations or substitute calculations which an authority is required to make
in accordance with section 52I, 52J, 52T or 52U of the Local Government
Finance Act 1992; and
(ii)
amounts stated in a precept issued to give effect to calculations or substitute
calculations made in accordance with sections 52J or 52U of that Act.
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5.
Decisions outside the budget or policy framework
(a)
Subject to the provisions of paragraph
7 (Virement) the Executive, and any officers,
committees of the council, or joint arrangements discharging Executive functions
may only take decisions which are in line with the budget and policy framework. If
any of these bodies or persons wishes to make a decision which is contrary to the
policy framework, or contrary to or not wholly in accordance with the budget
approved by Full Council, then that decision may only be taken by the council,
subject to Paragraph 6 below.
(b)
If the Executive, and any officers, committees of the council or joint arrangements
discharging Executive functions want to make such a decision, they shall take
advice from the Monitoring Officer and/or the Chief Finance Officer as to whether
the decision they want to make would be contrary to the policy framework, or
contrary to or not wholly in accordance with the budget. If the advice of either of
those officers is that the decision would not be in line with the existing budget and/or
policy framework, then the decision must be referred by that body or person to the
council for decision, unless the decision is a matter of urgency, in which case the
provisions in paragraph 6
(Urgent decisions outside the budget or policy framework)
shall apply.
6.
Urgent decisions outside the budget or policy framework
(a)
The Executive, and any officers, committees of the council, or joint arrangements
discharging Executive functions may take a decision which is contrary to the
council’s policy framework or contrary to or not wholly in accordance with the budget
approved by Full Council if the decision is a matter of urgency. However, the
decision may only be taken:
i)
if it is not practical to convene a quorate meeting of the Full Council; and
ii)
if the Chair of the Overview and Scrutiny
Committee agrees that the decision
is a matter of urgency.
The reasons why it is not practical to convene a quorate meeting of Full Council and
the chair of the Overview and Scrutiny
Committee’s consent to the decision being
taken as a matter of urgency must be noted on the record of the decision. In the
absence of the Chair of Overview and Scrutiny
Committee, the consent of the Lord
Mayor, and in the absence of both, the Sheriff and Deputy Vice Chairman will be
sufficient.
(b)
Following the decision, the decision taker will provide a full report to the next
available council meeting explaining the decision, the reasons for it and why the
decision was treated as a matter of urgency.
7.
Virement and carry forwards
Virement between budget heads and carry forwards are an integral and important feature of
budgetary control. They allow service providers to adopt service changes within council
policy. The details of virement and carry forwards can be found in Financial Procedure
Rules in Part 4 of the Constitution.
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8.
In-year changes to policy framework
The responsibility for agreeing the budget and policy framework lies with the council, and
decisions by the Executive, a committee of the Executive or officers, or joint arrangements
discharging executive functions must be in line with it. No changes to any policy and
strategy which make up the policy framework may be made by those bodies except those
changes:
(i)
which will result in the closure or discontinuance of a service or part of service to
meet a budgetary constraint;
(ii)
necessary to ensure compliance with the law, ministerial direction or government
guidance;
(iii)
in relation to the policy framework in respect of a policy which would normally be
agreed annually by the council following consultation, but where the existing policy
document is silent on the matter under consideration.
9.
Call-in of decisions outside the budget or policy framework
(a)
Where the Overview and Scrutiny
Committee is of the opinion that an Executive
decision is, or if made would be, contrary to the policy framework, or contrary to or
not wholly in accordance with the council’s budget, then it shall seek advice from the
Monitoring Officer and/or Chief Finance Officer.
(b)
In respect of functions which are the responsibility of the Executive, the Monitoring
Officer’s report and/or Chief Finance Officer’s report shall be to the Executive with a
copy to every member of the Council. Regardless of whether the decision is
delegated or not, the Executive must meet to decide what action to take in respect
of the Monitoring Officer’s report and to prepare a report to council in the event that
the Monitoring Officer or the Chief Finance Officer conclude that the decision was a
departure, and to the Overview and Scrutiny
Committee or if the Monitoring Officer
or the Chief Finance Officer conclude that the decision was not a departure.
(c)
If the decision has yet to be made, or has been made but not yet implemented, and
the advice from the Monitoring Officer and/or the Chief Finance Officer is that the
decision is or would be contrary to the policy framework or contrary to or not wholly
in accordance with the budget, the Overview and Scrutiny
Committee may refer the
matter to council. In such cases, no further action will be taken in respect of the
decision or its implementation until the council has met and considered the matter.
The council shall meet within 10 working days of the request by the Overview and
Scrutiny
Committee. At the meeting it will receive a report of the decision or
proposals and the advice of the Monitoring Officer and/or the Chief Finance Officer.
The council may either:
i)
endorse a decision or proposal of the Executive decision taker as falling
within the existing budget and policy framework. In this case no further
action is required, save that the decision of the council be minuted and
circulated to all councillors in the normal way; or
ii)
amend the council’s financial regulations or policy concerned to encompass
the decision or proposal of the body or individual responsible for that
Executive function and agree to the decision with immediate effect. In this
case, no further action is required save that the decision of the council be
minuted and circulated to all councillors in the normal way; or
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iii)
where the council accepts that the decision or proposal is contrary to the
policy framework or contrary to or not wholly in accordance with the budget,
and does not amend the existing framework to accommodate it, require the
Executive to reconsider the matter in accordance with the advice of either
the Monitoring Officer/Chief Finance Officer.
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Executive Procedure Rules
1.
The operation of the Executive
1.01
Who may make Executive decisions [Derivation: Schedule 1, Part 4, Local
Government Act 2000]
The arrangements for the discharge of Executive functions are set out in Article 13
(Decision Making). Pursuant to Section 15(2) Local Government Act 2000 individual
members of the Executive cannot make decisions. The arrangements provide for
Executive functions to be discharged by:
i)
the Executive as a whole;
ii)
an officer;
iii)
joint arrangements; or
iv)
another local authority.
1.02
Sub-delegation of Executive functions
(a)
Where the Executive are acting as a whole, they may delegate further to a
committee exercising joint arrangements or an officer.
(b)
Even where Executive functions have been delegated, that fact does not prevent
the discharge of delegated functions by the person or body who delegated them.
1.03
The council’s scheme of delegation and Executive functions
The council’s scheme of delegation will be subject to adoption by the council and may only
be amended by the council. It will contain the details required in Article 7 and set out in Part
3 of this Constitution.
1.04
Conflicts of interest
(a)
Where the Leader has a conflict of interest this will be dealt with as set out in the
council’s Members’ Code of Conduct in Part 5 of this Constitution.
(b)
If every member of the Executive has a conflict of interest this will be dealt with as
set out in the council’s Members’ Code of Conduct in Part 5 of this Constitution.
(c)
If the exercise of an Executive function has been delegated to an individual member
of the Executive or an officer, and should a conflict of interest arise, then the
function will be exercised in the first instance by the person or body by whom the
delegation was made and otherwise as set out in the council’s Members’ Code of
Conduct in Part 5 of this Constitution.
1.05
Executive meetings – frequency and venue
The Executive will normally meet at least once every month. The Executive will meet at
times to be agreed by the Leader or in his/her absence the Head of Paid Service. The
Executive shall normally meet at The Guildhall, Westgate, Canterbury or another location to
be agreed by the Leader.
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A meeting of the Executive shall be summoned by the Head of Paid Service who will give a
minimum of five working days notice (or less in the case of urgency) or any other date
convenient to the Leader subject to the requirements of legislation and the Access to
Information Procedure Rules.
1.06
Meetings of the Executive
Meetings of the Executive will be held in public except in so far as the matters for decision
relate to issues which can be dealt with in private in accordance with the Access to
Information Procedure Rules as set out in Part 4 of this Constitution.
1.07
Quorum
The quorum for a meeting of the Executive shall be at least one half of the members of the
Executive.
1.08
Decisions to be taken by the Executive
Executive decisions which have been delegated to the Executive as a whole or to a
committee thereof will be taken at a meeting convened in accordance with the Access to
Information Procedure Rules in Part 4 of the Constitution.
2.
Conduct of meetings
2.01
Chair
The Leader will preside at any meeting of the Executive at which he/she is present, and in
his/her absence the Deputy Leader will preside. In the absence of both the Leader and
Deputy Leader the members present shall appoint another person to preside.
2.02
Attendance
Members of the public (including non-Executive members of the council) may attend all
meetings of the Executive except when exempt or confidential information is being
considered where the press and public (including upon reasons for exclusion being given
exceptionally non-Executive members of the council), may be excluded by resolution of the
Executive in accordance with the Access to Information Procedure Rules contained in Part
4 of this Constitution.
2.03
Order of business
Meetings of the Executive will include the following business:
i)
consideration of the minutes of the last meeting;
ii)
apologies for absence;
iii)
declarations of interest, if any;
iv)
matters referred to the Executive (whether by the Overview and Scrutiny
Committee
or by the council) for reconsideration by the Executive in accordance with the
provisions contained in the Overview and Scrutiny Procedure Rules or the Budget
and Policy Framework Procedure Rules set out in Part 4 of this Constitution;
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v)
consideration of reports from individual members of the Executive;
vi)
consideration of reports from the Overview and Scrutiny
Committee;
vii) forthcoming
decision
list;
viii)
reports of statutory officers; and
ix)
matters set out in the agenda for the meeting, which shall indicate which are key
decisions.
2.04
Consultation
All reports to the Executive from any member of the Executive or an officer on proposals
relating to the budget and policy framework should contain details of the nature and extent
of consultation undertaken with stakeholders and the Overview and Scrutiny Committee.
Reports about other matters will set out the details and outcome of consultation as
appropriate. The level of consultation required will be appropriate to the nature of the matter
under consideration.
2.05
Setting the agenda
(a)
Any member of the Executive may request the Head of Paid Service to place an
item on the agenda of the next available meeting of the Executive for consideration.
If he/she receives such a request the Head of Paid Service will comply, subject to
the agreement of the Leader having regard to other business on the agenda but
whose consent shall not be unreasonably withheld.
(b)
There will be a standing item on the agenda of each meeting of the Executive for
matters referred by the Overview and Scrutiny Committee. However the number of
matters so considered per Executive meeting, will have regard to the amount of
business on the agenda.
(c)
Any resolution of the council which is required to be considered by the Executive will
be so considered within 15 working days of the date of the council resolution, or at
the next scheduled meeting of the Executive, if later.
(d)
The Head of Paid Service, Monitoring Officer and/or the Chief Finance Officer may
include an item for consideration on the agenda of an Executive meeting and may
require the calling of such a meeting either in pursuance of their statutory duties or
in case of urgency. In other circumstances, where the Head of Paid Service or Chief
Finance Officer or Monitoring Officer is of the opinion that a meeting of the
Executive needs to consider a matter that requires a decision, they may include an
item on the agenda of an Executive meeting.
2.06
Timescales
In considering matters in relation to budgetary issues the Executive will have due regard to
any appropriate timescale within which the budget has to be approved by the council. By
way of example the timespan required to deal with this will include consultation with
partners and other external agencies plus reference to the Overview and Scrutiny
Committee.
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2.07
Key decisions
Key decisions shall only be taken provided that the matter in question is contained within
the Forthcoming Decision List, or if not in the Forthcoming Decision List, then (save in case
of urgency) that key decision may be taken only after giving five working days notice,
together with a report to all members of the Overview and Scrutiny Committee and with the
consent of the Chair of the Overview and Scrutiny
Committee (or in his or her
absence the
Lord Mayor or the Sheriff and Vice Chairman) that the decision does need to be taken as a
matter of urgency.
2.08
Recording of decisions
All decisions which include key decisions are to be made by a simple majority of the
members of the Executive present and voting. Except for voting on appointments where
two or more persons are nominated for any position in which case if there is not a clear
majority of votes in favour of one person, then the name of the person with the least
number of votes will be taken off the list and a new vote taken. The process will continue
until there is a majority of votes for one person.
Following a meeting of the Executive at which a report (whether oral or in writing) has been
received and at which an Executive decision has been made, the Proper Officer shall
ensure that a written statement is kept which must include the following:
(i)
record of the decision;
(ii)
record of reasons for the decision;
(iii)
details of alternative options considered;
(iv)
record of any conflict of interest declared; and
(v)
any dispensation granted by Standards Committee, where appropriate.
No decision will be made either by the full Executive or a committee thereof unless there is
present at the meeting of the Executive the Head of Paid Service or the senior officer
responsible for the service or their representative and the Proper Officer for recording
decisions is present which for this purpose shall be an officer who is not the Head of Paid
Service but is a member of his/her department.
A written statement of the decision taken will be produced by the Proper Officer within two
clear working days following the Executive.
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Overview and Scrutiny Procedure Rules
1.
Arrangements for Overview and Scrutiny Committee
The council will have an Overview and Scrutiny Committee as set out in Article 6 and will
appoint to it as it considers appropriate. The Overview and Scrutiny Committee may create
sub sub-committees and working parties as it thinks appropriate according to law. It can
invite non-executive members not serving on the Committee to serve on these bodies if it
resolves to do so.
The Overview and Scrutiny
Committee may from time to time appoint ad
hoc informal working arrangements. Whilst such informal bodies cannot substitute for the
Overview
and Scrutiny
Committees, or exercise the powers associated with scrutiny (which
are the preserve of the Overview and Scrutiny Committee) they can contribute to or inform
the scrutiny process.
Terms of reference for the Overview and Scrutiny Committee
(a)
To carry out an overarching scrutiny role. To approve an annual overview and scrutiny
work programme, to ensure that there is efficient use of time, and that the potential for
duplication of effort is minimised. It will also identify which areas of the scrutiny work
programme will be led by the Overview and Scrutiny
Committee itself.
(b)
Where matters fall within the remit of more than one sub
-committee or working party, to
determine which of them will assume responsibility for any particular issue, and to resolve
any issues of dispute.
(c)
To receive requests from the Executive and/or the Full Council for reports from the
Overview and Scrutiny Committee and to allocate them if appropriate to one or more sub
-
committees
or working parties.
(d)
To put in place and maintain a system to ensure that referrals from overview and scrutiny to
the Executive, either by way of report or for reconsideration are managed efficiently.
(e)
To put in place and maintain a system to ensure that matters upon which the council’s Area
Member Panels may have a view are referred to them for consultation or consideration
efficiently and effectively.
(f)
At the request of the Executive, to make decisions about the priority of referrals made in the
event of the volume of reports to the Executive or creating difficulty for the management of
Executive business or jeopardising the efficient running of council business.
(g)
To have the powers of an Overview and Scrutiny
Committee in relation to Executive
decisions made but not implemented as set out in Section 21(3) of the Local Government
Act 2000.
(h)
Consider matters which have been requested for call-in.
(i)
To monitor the effectiveness and application of the call-in procedure, to report on the
number of and reasons for call-in and to make recommendations to council on any changes
required to ensure the efficient and effective operation of the process.
(j)
To monitor resources available for overview and scrutiny.
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(k)
To approve arrangements for co-option of non-voting members of the public onto the
Overview and Scrutiny Committee and any sub-committees and working parties.
(l)
To regularly review the Forthcoming Decision List
and indicate if the proposed level of
consultation is appropriate.
(m)
To review the policies of the council and the Executive.
(n)
To review the discharge by the Executive of any of its functions, including comparison of
performance against any appropriate targets, plans or standards.
(o)
To review any decisions or proposed decisions of the council and of the Executive.
(p)
To consider any matters which affect the authority or the whole or part of its administrative
area or some or all of the inhabitants of that area and to make recommendations to the
council or the Executive arising from that consideration.
(q)
To consider any matter referred to it by the council or the Executive and recommend to the
council or the Executive accordingly.
(r)
To consider any matter identified by the Overview and
Scrutiny Committee or by
six members of the council.
2.
Members entitled to sit on the Overview and Scrutiny Committee
Any councillors except members of the Executive may be members of the Overview and
Scrutiny Committee. Executive decisions must be subject to effective independent scrutiny
and taken without conflicts of interest.
No member should scrutinise a decision where he/she has been involved in the making of
the original decision. Accordingly, where the
Overview and
Scrutiny Committee (or a sub-
committee or working party thereof)
undertakes scrutiny of a decision taken by a committee
or sub-committee of the council, any member of the Overview and
Scrutiny Committee who
take any part in the decision-making process of that committee or sub-committee will be
unable to participate in the scrutiny process. Such past involvement should be declared by
the member as if it was a prejudicial interest, and the member should then withdraw entirely
from the meeting for the duration of any consideration of that matter.
3.
Co-optees
Any sub-committee or working party
shall be entitled to recommend to the Overview and
Scrutiny
Committee the appointment of a number of people as non-voting co-optees,
whether for all purposes or specific issues.
4.
Meetings of the Overview and Scrutiny Committee
A schedule of meetings will be published. The Overview and Scrutiny
Committee will
normally meet not less than three working days nor more than five working days after the
Executive. Additional meetings may be called from time to time as and when appropriate.
An Overview and
Scrutiny Committee meeting may be called by the
chair of the committee, by any four members of the committee or by the proper officer if
he/she considers it necessary or appropriate.
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5.
Quorum
The quorum for the Overview and Scrutiny Committee shall be as set out for committees in
the council Procedure Rules in Part 4 of this Constitution.
6.
Chair of the Overview and Scrutiny Committee
The chair and vice-chair of the Overview and Scrutiny Committee will be elected by the
committee following the annual council meeting.
In the event that not all political groups are represented within the Executive:
The chair of the Overview and Scrutiny
Committee will be a member of the largest
opposition group on the council and the vice chair will be a member of the
administration group.
“The opposition” means any political group which is not represented on the
Executive and “administration” means any political group which is represented
within the Executive.
All of the above will be subject to the overall composition of the Overview and Scrutiny
Committee reflecting the political composition of the council.
7.
Work programme
Overview and Scrutiny Sub-Committees or working parties
will be responsible for
proposing their own ideas for the
work programme for Scrutiny to the Overview and
Scrutiny
Committee and in doing so amongst other factors they shall take into account
wishes of members who are not members of any political group represented on the
Executive.
8.
Policy review and development
(a)
The role of the Overview and Scrutiny Committee in relation to the development of
the council’s budget and policy framework is set out in detail in the Budget and
Policy Framework Procedure Rules in Part 4 of this Constitution. Proposals must
have regard to the council’s budgetary position and take account of the resources
available.
(b)
In relation to the development of the council’s approach to other matters not forming
part of its policy and budget framework, the Overview and Scrutiny Committee may
make proposals to the Executive in so far as they relate to matters within its
terms
of reference.
(c)
The Overview and Scrutiny Committee may hold enquiries and investigate the
available options for future direction in policy development and may appoint
advisers and assessors to assist them in this process. They may go on site visits,
conduct public surveys, hold public meetings, commission research and do all other
things that they reasonably consider necessary to inform their deliberations. They
may ask witnesses to attend to address them on any matter under consideration
and may pay to any advisers, assessors and witnesses a reasonable fee and
expenses.
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9.
Agenda items
(a)
Any member of the Overview and
Scrutiny Committee shall be entitled to give not
less than 10 working days written notice to the Proper Officer that he/she wishes an
item relevant to the functions of the Overview and
Scrutiny Committee to be
included on the agenda for the next available meeting. On receipt of such a request
the Proper Officer will ensure that it is included on the next available agenda and
will notify the officer responsible for the subject.
(b)
Any member of the council who are not members of the Overview and
Scrutiny
Committee may give not less than 10 working days written notice to the Proper
Officer that they wish an item to be included on the agenda of the Overview and
Scrutiny Committee. If the Proper Officer receives such a notification, then he/she
will include the item on the first available agenda of the Overview and
Scrutiny
Committee and will notify the officer responsible for the subject.
(c)
There will be a standing item on the agenda of all ordinary meetings of the Overview
and Scrutiny Committee which will allow for these requests to be considered. All
requests will be considered alongside the current work programme for overview and
scrutiny. The attendance of Members, officers and other persons and the
production of reports will be governed by the Protocol on Attendance and
Questioning at the Overview and Scrutiny Committee for the time being in force.
(d)
The Overview and Scrutiny Committee shall also respond, as soon as their work
programme permits, to requests from the council and, if it considers it appropriate,
the Executive to review particular areas of the authority’s activities. Where they do
so, the Overview and
Scrutiny Committee shall report their findings and any
recommendations back to the Executive and/or council. The council and/or the
Executive shall consider the report of the Overview and
Scrutiny Committee within
one month of receiving it, or if longer, the first meeting after receipt.
10.
Reports from the Overview and Scrutiny Committee
(a)
Once it has formed recommendations on proposals for policy development, the
Overview and
Scrutiny Committee will prepare a formal report and submit it to the
Proper Officer for consideration by the Executive (for example if the proposals are
consistent with the existing budgetary and policy framework), or to the council as
appropriate (for example if the recommendation would require a departure from or a
change to the agreed budget and policy framework). The expectation is that a
minority report is the exception and that the members of the Overview and Scrutiny
Committee will seek to reach agreement. In any event a maximum of one minority
report on any issue is permitted at the request of
at least two members from the
committee.
(b)
The council or Executive shall consider the report of the Overview and
Scrutiny
Committee within two months of it being submitted to the Proper Officer or if later
the first meeting after receipt.
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11.
Making sure that reports from the Overview and Scrutiny Committee are considered
by the Executive
Once the Overview and
Scrutiny Committee has completed its deliberations on any matter
it will forward a copy of its final report to the Proper Officer who will allocate it to either or
both the Executive and the council for consideration, according to whether the contents of
the report would have implications for the council’s budget and policy framework. If the
Proper Officer refers the matter to council, he/she will also refer a copy to the Leader with
notice that the matter is to be referred to council. The Executive will have four weeks in
which to respond to the overview and scrutiny report, and the council shall not consider it
within that period. When the council does meet to consider any referral from the Overview
and
Scrutiny Committee on a matter which would impact on the budget and policy
framework, it shall also consider the response of the Executive to the overview and scrutiny
proposals.
12.
Rights of overview and scrutiny members to documents
(a)
In addition to their rights as councillors, members of the Overview and
Scrutiny
Committee have the additional right to documents, and to notice of meetings as set
out in the Access to Information Procedure Rules in Part 4 of this Constitution.
(b)
Nothing in this paragraph prevents more detailed liaison between the Executive and
the Overview and
Scrutiny Committee as appropriate depending on the particular
matter under consideration.
13.
Members and officers giving account
(a)
The Overview and
Scrutiny Committee may scrutinise and review decisions made
or actions taken in connection with the discharge of any of the authority’s functions.
As well as reviewing documentation, in fulfilling the scrutiny role, it may require any
member of the Executive, the Head of Paid Service and/or any senior officer to
attend before it to explain in relation to matters within their remit:
i)
any particular decision or series of decisions;
ii)
the extent to which the actions taken implement council policy; and/or
iii)
the performance of the service
and it is the duty of those persons to attend if so required.
Attendance and questioning is subject to the protocol on attendance and
questioning at the Overview and Scrutiny Committee and the Overview and
Scrutiny
Committee must confine its questions to the particular issue on the agenda.
(b)
Where the matter concerns an individual constituent and/or their partner, the
member or officer shall be entitled to elect to provide a written explanation for the
decision or action taken and only if that explanation does not prove satisfactory to
the Overview and
Scrutiny Committee will the officer or member be required to
attend an Overview and
Scrutiny Committee.
(c)
Where any member or officer is required to attend an Overview and
Scrutiny
Committee under this provision, the chair of that committee will inform the Proper
Officer. The protocol on attendance and questioning at the Overview and Scrutiny
Committee will apply.
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(d)
Where, in exceptional circumstances, the member or officer is unable to attend on
the required date, then the Overview and
Scrutiny Committee shall, in consultation
with the member or officer, arrange an alternative date for attendance.
14.
Attendance by others
The
Overview and
Scrutiny Committee may invite people other than those people referred
to in paragraph 13 above to address it, discuss issues of local concern and/or answer
questions. It may for example wish to hear from residents, stakeholders and members and
officers in other parts of the public sector and shall invite such people to attend.
15.
Call-in of decisions (except decisions outside the budget or policy framework which
are set out in the Budget and Policy Framework Procedure Rules)
(a)
When a decision is made by the Executive, or a key decision is made by an officer
with delegated authority from the Executive or under joint arrangements, the
decision shall be published, including by electronic means, and shall be available at
the main offices of the Authority normally within two clear working days of being
made. The
Chair of the Overview and Scrutiny Committee and members of the
Overview and Scrutiny
Committee will be sent copies of the records of all such
decisions within the same timescale, by the person responsible for publishing the
decision.
(b)
The decision will bear the date on which it is published and will specify that it will
come into force, and may then be implemented, on the expiry of three working days
after the publication of the decision, unless the decision is subject to call-in.
Consideration of matters which are called-in is the responsibility of the Overview
and Scrutiny
Committee or an Executive Sub-Committee of it.
(c)
A valid request is required to initiate call-in of the decisions in (a) above. The
request must be in writing addressed to the Proper Officer preferably on the
approved form and giving reasons for the request for call-in. Criteria for call-in have
been set by the Overview and Scrutiny
Committee.
To be valid the request must be:
• following a vote of a majority of the members of the Overview and Scrutiny
Committee and signed by the Proper Officer; or
• signed by six members of the Council; or
• signed by the Chair of the Overview and Scrutiny
Committee; or
• signed by any other member of the Overview and Scrutiny
Committee (provided
he/she has not made such an individual requisition within the previous six
months).
and in each case must:
• state the reasons for the call-in; and
• be delivered to the Monitoring Officer within three clear working days of the
publication of the decision.
The decision on whether the call-in is valid will be delegated to the Monitoring
Officer following consultation with the Overview and Scrutiny
Committee chair/vice
chair. If the Monitoring Officer decides the call-in is valid, he/she will notify the
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Proper Officer. The Proper Officer will then notify the decision-taker of the request
for call-in.
(d)
The decision is suspended from the receipt of the request for call-in, pending
consideration by the Overview and Scrutiny
Committee. If, having sought to do so,
the Proper Officer determines that it is not possible to convene a full meeting of the
Overview and Scrutiny
Committee within five working days of the request for call in
he/she shall convene a panel drawn from the Overview and Scrutiny
Committee of
at least six members (reflecting the overall political composition of the council)
sitting as the Executive Sub-Committee of the Overview and Scrutiny
Committee
with full delegated powers of the parent Committee. In securing members to sit on
the Executive Sub-Committee the Proper Officer shall first approach those members
who have signed the requisition for call-in and shall seek to accommodate them on
the Executive Sub-Committee having regard to the requirement to maintain political
balance.
(e)
If, having considered the decision, the Overview and Scrutiny
Committee or the
Executive Sub-Committee of Overview and Scrutiny
Committee members is still
concerned about it, then it may refer it back to the decision making person or body
for reconsideration, setting out in writing the nature of its concerns, or refer the
matter to a sub-committee or working party
or refer the matter to Full Council
usually only if the decision is deemed to be outside the policy and budget
framework. If referred to a sub-committee or working party
the decision is further
suspended pending a meeting of that body
which must take place within 10 working
days of the decision to refer to it. If referred to Full Council the decision is further
suspended pending a meeting of Full Council, which must take place within 10
working days of the decision to refer to Full Council. If referred back
to the decision
making person or body they shall then reconsider it either within five working days
or if the Head of Paid Service in consultation with the Leader or relevant Chair as
the case may be determines that the matter is not urgent then at the next scheduled
meeting. In either case the decision remains suspended, they may amend the
decision or not, before adopting a final decision.
(f)
If following an objection to a decision, the Overview and Scrutiny
Committee or
Executive Sub-Committee of Overview and Scrutiny
Committee members does not
meet in the period set out above, or does meet but does not refer the matter
elsewhere or back to the decision making person or body, the decision shall take
effect on the date of the Overview and Scrutiny
Committee meeting, or the expiry of
10 working days after the decision was published, whichever is the earlier.
(g)
If the matter was referred to a sub
-committee or to Full Council and neither the sub-
committee nor the council object to a decision which has been made, then no
further action is necessary and the decision will be effective in accordance with the
provision below. However, if the sub-committee or council objects, they have no
locus to make decisions in respect of an Executive decision unless it is contrary to
the policy framework, or contrary to or not wholly consistent with the budget. Unless
that is the case, a sub-committee or the council will refer any decision to which they
object back to the decision making person or body, together with their views on the
decision. That decision making body or person shall choose whether to amend the
decision or not before reaching a final decision and implementing it. Where the
decision was taken by the Executive as a whole or a committee of it, a meeting of
the body making the decision will be convened to reconsider within five working
days of the sub-committee’s or the council’s request.
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(h)
If the sub-committee or the council does not meet, or if they do but do not refer the
decision back to the decision making body or person, the decision will become
effective on the date of the sub-committee or the council meeting or expiry of the
period in which the sub-committee or the council meeting should have been held,
whichever is the earlier.
16.
Non application of call-in and urgency
(a)
The call-in procedure set out above shall not apply where the decision being taken by the
Executive is urgent. A decision will be urgent if any delay likely to be caused by the call in
process would seriously prejudice the council’s or the public’s interests.
The author of a report shall specify if he/she considers it an urgent matter and will set out
the reasons within it. If there is no written report the reasons shall be recorded with the
decision.
The record of the decision, and notice by which it is made public shall state whether in the
opinion of the decision making person or body, the decision is an urgent one, and therefore
not subject to call-in. For a decision to be dealt with as urgent, the Chair of the Overview
and Scrutiny Committee, acting on the advice of the Head of Paid Service, must agree both
that the decision proposed is reasonable in all the circumstances and to it being treated as
a matter of urgency. In the absence of the Chair of the Overview and Scrutiny Committee,
the Lord Mayor’s consent shall be required. In the absence of both, the Sheriff and Vice-
Chairman’s consent shall be required. Decisions taken as a matter of urgency must be
reported to the next available meeting of the Overview and Scrutiny
Committee, together
with the reasons for urgency.
(b)
The operation of the provisions relating to call-in and urgency shall be monitored at least
annually, and a report submitted to Council with proposals for review if necessary.
17.
The Party whip
The expression “party whip” can be taken to mean: “Any instruction given by or on behalf of
a political group to any councillor who is a member of that group as to how that councillor
shall speak or vote on any matter before the council or any committee or sub-committee, or
the application or threat to apply any sanction by the group in respect of that councillor
should he/she speak or vote in any particular manner.”
A member should vote according to their conscience and not as they are directed if it
conflicts with their conscience.
When considering any matter in respect of which a member of any
Overview and Scrutiny
process
is subject to a party whip the member must declare the existence of the whip, and
the nature of it before the commencement of the committee’s deliberations on the matter.
The declaration, and the detail of the whipping arrangements, shall be recorded in the
minutes of the meeting.
18.
Matters within the remit of more than one sub-committee
Where a matter for consideration by overview and scrutiny falls within the remit of one or
more sub-committees, the decision as to which sub-committee will consider it will be
resolved by the Overview and Scrutiny
Committee as described in paragraph 6.02 of the
terms of reference for the Overview and Scrutiny Committee.
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Appendix
Financial Procedure Rules
Index
Page No(s)
1.
Status of Financial Procedure Rules
155
2. Financial
forecasting
155
3.
Financial management and control
156
Introduction 156
Virements 157
Conditions applying to virements
158
IT budgets
159
Overspends 160
Underspends, additional income, carry forwards
160
4. Financial
appraisals
162
5. Accounting
162
6. Internal
audit
162
7. Purchasing
and
procurement
arrangements 163
8. Contract
payments
164
9.
Payment of accounts
164
10.
Collection of income
165
11.
Security and control of assets
167
Introduction
167
Stores and stocks
167
Inventories 167
Land and buildings
168
Information
168
12.
Control of property and other assets
168
13. Insurances
168
Insurance cover
168
Insurance
claims
169
14.
Corporate Governance and Risk Management
169
15.
Preventing fraud and corruption
169
- 153 -
16.
Salaries and wages
170
17.
Imprest accounts and cash floats
170
18. Banking
171
19.
Borrowing and investments
171
20.
Travelling, subsistence and financial allowances
172
21. Taxation
172
22. Leasing
174
23. External
funding
174
24. Partnerships
175
25.
Information technology issues
175
- 154 -
Status of Financial Procedure Rules
1.1
Financial Procedure Rules (“these Regulations”) provide the framework for managing the
authority’s financial affairs. In addition they assist sound administration, reduce the risk of
irregularities and support delivery of effective, efficient and economical services.
1.2
These regulations apply to all officers and members of the authority and anyone acting on
behalf of the authority. It is the responsibility of Directors and Heads of Service to ensure
that all staff in their departments are aware of their responsibilities according to the financial
regulations and other internal regulatory documents (eg the Anti-Fraud and Corruption
Policy) and comply with them.
1.3
Specific positions and/or officers are named in these regulations and it is their responsibility
to ensure compliance.
1.4
Where the Executive has been named in these regulations it will be its responsibility to
ensure compliance. The Executive can delegate such responsibility to committees of itself.
1.5
All members and officers have a general responsibility for taking reasonable action to
provide for the security of the assets under their control, and for ensuring that the use of
these resources is legal, is properly authorised and provides value for money.
1.6
These regulations cover all areas of authority activity.
1.7
The Director of Corporate Services
is responsible for maintaining a continuous review of
these regulations and submitting any additions or changes necessary to Full Council for
approval
1.8
Failure to comply with these regulations, or procedures issued under them may lead
to disciplinary action for employees and an investigation by the Section 151 Officer
or a report to the Standards Board for England.
1.9
The Director of Corporate Services
is also responsible for reporting, where appropriate,
breaches of these regulations to Full Council and/or to the Executive Members.
Financial forecasting
2.1
The Director of Corporate Services
shall, within the general direction provided by the
Executive, produce at least a three year capital programme, an annual revenue budget and
a three year general revenue forecast for consideration by the Executive, before
submission to the Full Council. These estimates and forecasts will cover General Fund and
Housing Revenue Account and will incorporate the Whitstable Harbour Board forecasts and
estimates
. The Director of Corporate Services
will also provide the Executive with
forecasts of financial resources and advise upon the financial and economic implications of
long-term service development plans and programmes and budget strategies. In exercising
this duty he/she shall be mindful of the Code of Practice on a Prudential Approach to Local
Government Commitments and current accepted local government accounting codes.
2.2
The forecasts will indicate the likely changes to the council’s budget for the specified period
both in terms of commitments arising out of statutory variations and Council policy and also
the likely variations to funding from central or local sources.
2.3
The detailed form of the capital and revenue estimates shall be determined by the Director
of Corporate Services
after consultation with the Executive. The Director of Corporate
Services
shall be responsible for the collation and presentation of estimates to the
- 155 -
Executive and Full Council. It is the responsibility of Directors to ensure that budget
estimates reflecting agreed service plans are submitted to the Executive and that these
estimates are prepared in line with guidance issued by the Executive.
2.4
The Executive, having considered the forecasts and options for the specified period shall
propose the overall budget strategy (including such recommendations as they deem
necessary in relation to the levying of a sufficient local tax for the ensuing year) to Full
Council for approval, after the consultation process as outlined in the Budget and Policy
Framework Procedures Rules within the Constitution.
2.5
Copies of the proposed capital programme together with details of the schemes for which
funding is provided and copies of revenue estimates shall be supplied by the Director of
Corporate Services
to each Member of the council together with a statement of the financial
effect of the proposals prior to the Meeting of the Council at which the local tax
recommendations of the Executive are to be considered.
2.6
The Full Council may amend the budget or scheme details or ask the Executive or
Whitstable Harbour Board to reconsider them before approving it. No expenditure shall be
incurred on any capital scheme until the Executive or Whitstable Harbour Board has agreed
to implement the budget allocation approved by Full Council. Where a capital scheme is
envisaged to incur expenditure over a number of years, the approval by Full Council covers
the whole scheme. Where an asset is to have expenditure incurred on a number of distinct
aspects approval covers only those aspects so far reported to the Executive or Whitstable
Harbour Board. Council approval of the capital programme will relate to two years, the
ensuing financial year and the one following (Min. 871(a)(iv) 1997/98 refers).
Budget Directors may capitalise an item of expenditure that was previously in the revenue
budget provided that this meets the definition of capital expenditure and is agreed by the
Director of Corporate Services and that a permanent virement for the borrowing costs is
obtained and that this is reported in the next quarterly monitoring report of the capital
programme to Executive and Overview and Scrutiny
.
2.7
Each Director shall submit to the Executive any recommendation for applications for any
funds from external sources of £100,000 or over
. The Executive shall consider the effect of
the proposed application on the council's resources and shall submit it together with any
proposed amendment, to Full Council for approval.
2.8
The opinion of the Director of Corporate Services
shall be obtained upon any financial
considerations before any agreement is entered into on behalf of the council, except where
the agreement relates to a matter which falls solely within a director’s professional
competence, eg rent reviews on property leases, artistes fees.
2.9
The Director of Corporate Services
in consultation with the Executive is responsible for
issuing guidance on the general content of the budget as soon as possible following
approval by the Full Council.
Financial management and control
Introduction
3.1
The Director of Corporate Services
is responsible for providing appropriate financial
information to enable budgets to be monitored effectively. He/she must monitor
expenditure and income against budget allocations and report to the Executive and the
Overview and
Scrutiny Committee on the overall position.
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3.2
It is the responsibility of Directors and Heads of Service to control income and expenditure
within their cash limit and to monitor performance, taking account of financial information
provided by the Director of Corporate Services. They should also take any action
necessary to avoid exceeding their budget allocation and alert Finance to any problems.
Budget Directors will also be required to report on their financial performance to the
Executive and the Overview and
Scrutiny Committee on pre-determined dates in a format
determined by the Director of Corporate Services in consultation with the Executive and the
Overview and Scrutiny Committee.
3.3
The Executive shall not incur expenditure in excess of the budget provision for a service
unless an appropriate virement has been requested and approved as appropriate to the
circumstances set out below.
3.4
Heads of Service are required to monitor their budgets regularly during the year and take
immediate action as necessary. If a particular budget head requires increasing, a virement
must be sought before any overspending occurs. Under no circumstances should
expenditure be incurred without appropriate provision being put in place first.
3.5
Virements
3.5.1 A virement is defined as the ability to transfer sums from one budget head to another or to
establish a new budget head in order to meet planned expenditure needs in accordance
with policies and priorities of the service.
3.5.2 Virements between budget heads is an integral and important feature of budgetary control.
It provides Heads of Service with the flexibility to adapt expenditure patterns which they
consider appropriate in meeting changing locally determined service needs and objectives
consistent with council policy.
3.5.3 The exercising of virements is as flexible as possible but some restrictions are necessary to
ensure overall control of the council’s finances. In the circumstances where a virement
would mean that the underlying policies agreed by Full Council require change, the
approval of Full Council is required.
3.5.4 (a)
Budget
Holders
Budget Holders (as determined in the Register of Budget Holders) can (subject to
the conditions outlined below) vire up to £10,000 within a cost centre.
(b) Budget
Managers
Budget Managers can (subject to the conditions outlined below) vire up to £20,000
between cost centres they are responsible for, providing the cost centre is within the
same service.
(c)
Divisional Budget Managers
Divisional Budget Managers can (subject to the conditions outlined below) transfer
funds within a service without the requirement to seek committee approval. Where
the virement transfers money between different services under their control, there is
a limit of £25,000.
(d) Budget
Director
Budget Directors can (subject to the conditions outlined below) transfer funds within
a service without the requirement to seek committee approval. Where the virement
transfers money between different services under their control, there is a limit of
35,000.
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(e)
Chief Executive in consultation with Management Team
Any transfers between services in excess of £35,000 and not exceeding £45,000
can (subject to the conditions outlined below) be approved by the Chief Executive in
consultation with Management Team.
(f)
Executive approval should be sought for all virements between services which are
in excess of £45,000, subject to para. 3.5.3.
(g)
All virements between different services in excess of 50% of the Management Team
delegated level should be reported in the next quarterly monitoring report
.
3.6
Conditions applying to virements
(i)
Virements can only be transferred between different services providing the service
delivery is neither materially enhanced or reduced
.
(ii)
Notification of virements in excess of
£1,000
should be given to the appropriate
Financial Services Section by use of a standard form. For virements below this limit,
supporting documentary evidence should still be provided. The minimum virement
limit is £100 and all virements should be rounded to the nearest £100.
(iii)
Where approval is required from a Budget Manager or Divisional Budget Manager
who is on leave or is absent for any reason, approval should be referred up to the
next tier of Budget Holder unless there is a named substitute.
(iv)
Where the Budget Holder, Budget Manager and Budget Director is the same
person, authorisation does not need to be referred on. (A Budget Manager wishing
to undertake a virement across budgets for which he/she is also the Budget Holder,
can authorise the virement.)
(v)
The net amount of the budget transfer between headings must always be zero and
cannot result in an increase in the overall cash limit during the financial year or in
future years.
(vi)
Virements will only be permitted where the expenditure is in accordance with the
Budget and Policy Framework agreed by Full Council, unless Full Council agree the
virement.
(vii)
Service budgets are those defined by CIPFA in the Best Value Accounting Code of
Practice, and any future updates or replacements. The services are as set out in
the ‘Summary of Revenue and Capital Budgets’ booklet published annually.
(viii)
Virements to transfer part of a budget to another heading can only be undertaken, if
it is certain that it will not be needed to meet the spending needs of the original
budget.
(ix)
Virements must be undertaken, as soon as possible, during the financial year to
contain avoidable overspendings that arise from a lack of expenditure control, lack
of action to secure income, overestimates of income or underestimates of
expenditure within the budget. Virements should also be applied to meet
unavoidable overspending that arise from factors not capable of being recognised
within the original budget such as increased workload and legislative changes.
(x)
Virement limits apply for the duration of one financial year. To determine the
appropriate level of authorisation required for the virement, previous virements (both
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temporary and permanent) undertaken on the service within the same financial year
will need to be checked and aggregated.
(xi)
Temporary virements should only be undertaken where there will be no financial
commitment at the start of the next financial year. Requests for additional monies in
future years will not be permitted, where the potential overspend arises from a
financial commitment spanning more than one financial year.
(xii)
Virements to fund additional staffing requirements must be sufficient to cover all
future on-going costs associated with that appointment. In addition all personnel
policies and practices must be complied with.
(xiii)
Virements from and into the following budgets are prohibited:
(a)
Virements from or into the Housing Revenue Account (HRA),
(b)
Virements from a reserve except with the approval of the Director of
Corporate Services or in the case of Harbour reserves,
(c)
Virements from capital to revenue,
(d)
Virements from or into non devolved budgets such as central administration
and notional capital charges.
(e)
Virements by officers from or into delegated budgets.
(Delegated budgets are those budgets which are determined, allocated, and
approved by Members so for delegated budgets, virements can only be approved
by the Executive or Full Council, as appropriate. Please see Register of Budget
Holders for further information).
(xiv)
Where there has been a restructure or realignment of services which has been
approved by Full Council or a realignment of departmental cost centres which has
been approved by the Budget Director, authority will be delegated to the Director of
Corporate Services to carry out the necessary realignment of budgets which will not
be subject to the virement limits.
(xv)
Virements between capital schemes are subject to the above criteria and limits even
where schemes are within the same service definition. For example switching
resources in HRA from bathrooms to roof repairs or in coast protection switching
from a defined scheme at Tankerton to a scheme at the harbour.
(xvi) The virement policy set out above should be operated within the constraints of
departmental cash limited budgets. It is the responsibility of each director to ensure
the overall process is managed effectively within cash limits. Directors may use
their discretion concerning the enforcement of virements between Heads of Service
within their own department, since enforced virements at this level may conceal
underlying problems in one particular division that needs examination by
management.
3.6.1
IT budgets
(i)
Total virements in excess of £45,000 into IT capital budgets to fund acquisitions are
to be reported to the Executive and Overview and Scrutiny Committee as part of the
Chief Executive’s Quarterly Financial Monitoring Report. Details of the amount
vired, the division and section requesting the virement together with some
justification as to why the virement was necessary should be presented to
Members. Members can therefore determine whether they wish to continue to allow
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IT virements or whether sufficient monies have already been vired into the IT capital
budget.
3.7
Overspends/supplementary estimates
3.7.1 Each Budget Holder has a responsibility to remain within their total budget allocation for the
financial year. Any projected overspending against their total budget must be examined
immediately, the reasons ascertained and corrective action taken.
3.7.2 Where the Budget Holder is unable to contain the potential overspend on their total budget
allocation for the financial year with virements from other budgets under their control, the
overspend should be met from other budgets under the control of the Budget Manager or, if
necessary, the Budget Director.
3.7.3 Divisional Budget Managers should attempt to contain potential overspending on individual
services by examining all their budgets to ensure the net expenditure on each service is not
increased. If that is likely then virements will be necessary.
3.7.4 If there is still a predicted overspend on their total budget allocation, the following steps
should be undertaken:
(i)
A report should be submitted to Management Team in conjunction with the quarterly
monitoring report explaining the reason for the potential overspend.
(ii)
Depending upon the amount of the potential overspend and having due regard to
the virement limits, Management Team should endeavour to eliminate or reduce the
potential overspend by utilising any underspends, savings, or increased income
offered by other Budget Directors.
(iii)
Where the potential overspend cannot be eliminated by Management Team, or the
Executive, the Budget Director should seek Full Council approval for a
supplementary estimate
3.8
Underspends, savings, additional income and carry forwards
3.8.1 Underspends, savings or increased income should be declared, as soon as possible, within
the relevant director’s Monitoring Report. This underspend, saving or additional income
can be utilised during the year in accordance with the proposed virements limits.
3.8.2 Alternatively the underspend/saving can be carried forward, in accordance with the
procedures identified below, to meet specified expenditure in the following year.
(i)
Amounts below £1,000 will not be carried forward.
(ii)
Budget Directors can carry forward any amounts between £1,000 and £5,000
providing that their budget is underspent in aggregate by the amount of the
proposed carry forward amounts and this sum is within the limit set for directors use
of virements.
(iii)
Budget Directors can carry forward any amount in excess of £5,000 providing that
their budget and the total council budget is underspent in aggregate by the amount
of the proposed carry forward and that Full Council approval is sought by the
Director of Corporate Services.
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(iv)
Where a Budget Director wishes to carry forward budgets on a number of
subjectives for a particular item of expenditure in the following year, the carry
forward should be aggregated to determine the appropriate level of approval.
(v)
In all cases Management Team will determine carry forward requests in the light of
any structural budget problems that need to be addressed in preference to the
wishes of individual Heads of Service.
(vi)
In the case of capital carry forwards
(a)
where the carry forward is required to cover slippage on the scheme to
which the budget relates, the Budget Director and Director of Corporate
Services are authorised to apply the carry forward. However all capital carry
forwards are subsequently reported annually to Executive;
(b)
where carry forward is required to apply to expenditure on a different
scheme already in the programme, Budget Directors be allowed to carry
forward and vire up to the limits for virements;
(c)
where carry forward is required to apply to a new scheme, Full Council
approval will be required.
3.8.3 The Budget Manager or Budget Director must inform their accountant, by a date
determined by the Director of Corporate Services, of the proposed carry forwards.
3.8.4 A budget is a tool for achieving approved objectives and service provision. Therefore, the
underspends, savings or additional income should be utilised to ensure that the council’s
approved policies are delivered and should not be used to fund additional service provision
or new initiatives without the prior approval of Full Council.
3.8.5 Directors, in consultation with the Head of Personnel and in accordance with the
Recruitment and Restructuring Procedures, will be responsible for dealing with any staffing
matter which can be contained within their revenue budget.
(This responsibility is also exercisable by the appropriate Divisional Budget Manager.)
3.8.6 Nothing in these regulations shall prevent expenditure being incurred as necessitated by
sudden emergency (eg under Section 138 of the Local Government Act, 1972) subject to
their action being reported to the Executive at the earliest date.
3.8.7 The inclusion of items in approved revenue estimates or capital programmes shall not
constitute authority to incur the relevant expenditure. Before expenditure can be incurred,
the Executive in line with the council’s Constitution must authorise the decision to
implement the proposals.
3.8.8 Where Full Council places a reservation on a budget, items in this category should only
proceed once Full Council and Executive approval to implement has been obtained.
3.8.9 Full Council is required to approve any contract which will incur a cost to the council in
years not covered by a specific budget approval, unless the contract is a renewal of an
existing contract.
3.8.10 The Director of Corporate Services
shall supply to each director periodical statements of
receipts and payments under each estimate heads.
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Financial appraisals
4.1
A report by any officer which is likely to affect the council's finances or contains information
relating to the council’s financial position shall be supplied to the Director of Corporate
Services in time to enable him to report on the financial implications to the same meeting at
which it is to be considered.
4.2
Bids for work for others or for partnership involving the acquisition of assets by the council
require a report by the appropriate director and Director of Corporate Services to the
Executive prior to the date the bids are due for submission to enable the Executive to
consider the effect on the council’s capital and revenue budgets and recommend
accordingly to Full Council regarding supplementary finance. All tenders by in-house
trading units for contracts of over £10,000 in value with both the council and third parties
must be checked by the Director of Corporate Services
for financial prudence prior to
submission.
Accounting
5.1
Proper accounting records are one of the ways in which the authority discharges its
responsibility for stewardship of public resources. The council has a statutory responsibility
to prepare its annual accounts to present fairly its operations during the year. These are
subject to internal and external audit. This provides assurance that the accounts are
properly prepared and proper accounting practices have been followed and that
arrangements have been made for securing economy, efficiency and effectiveness in the
use of the authority’s resource.
5.2.
All accounting procedures and records of the council and its officers shall be determined by
the Director of Corporate Services. All accounts and accounting records shall be compiled
by the Director of Corporate Services
or under his direction.
Internal audit
6.1
The Director of Corporate Services under section 151 of the LGA 1972 and the Accounts
and Audit Regulations 2003 has a statutory responsibility for the overall financial
administration of the council’s affairs. This includes the responsibility for maintaining an
adequate and effective system of internal audit of its accounting records and control
systems.
6.2
A continuous internal audit under the independent control and direction of the Director of
Corporate Services
shall apply to all accounting, financial and other operations of the
Council.
6.3
The Director of Corporate Services
or his authorised representative shall have authority to:
(a)
have access to all records, documents and correspondence relating to the
transactions and operations referred to in 5.1 above;
(b)
require explanations as necessary concerning such matters;
(c)
require any council employee to produce cash, stores and any other council
property under his control.
(d)
enter at all reasonable times any authority premises or land
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6.4
It is the duty of all officers and members to follow the corporate Anti-Fraud and Corruption
Policy. Whenever any matter arises involving irregularities concerning cash, stores,
council property, or any council activity, the director concerned shall immediately notify the
Audit and Exchequer Manager who, jointly with the director concerned shall investigate. In
all cases where the identified loss exceeds £5,000 a report will be made to the Executive
and the Overview and
Scrutiny Committee.
Purchasing and procurement arrangements
7.1
Public money should be spent with demonstrable probity in accordance with authority’s
policies.
7.2
Every officer and member of the authority has a responsibility to declare any links or
personal interests that they may have with purchasers, suppliers and or contractors if they
are engaged in contractual or purchasing decisions on behalf of the authority, in
accordance with appropriate codes of conduct.
7.3
These regulations should be considered in conjunction with the relevant parts of Standing
Orders Relating to Contracts, code of practice relating to contracts, procurement strategy,
procurement code of practice, which incorporate the council’s Procurement Policy.
7.4
All orders for the works, goods and services shall be issued and a copy of the same
supplied to the Director of Corporate Services
in a form approved by him and signed by two
officers, at least one of which is the authorised director or the designated Divisional Budget
Manager, Budget Manager or Budget Holder.
7.5
It is the responsibility of directors to ensure that the list of Divisional Budget Managers,
Budget Managers and Budget Holders is kept up to date and Finance are informed of any
changes.
7.6
Authorised officers are responsible for issuing orders within their control and in particular for
ensuring that costs are covered by approved estimates or by a special financial provision
and complies with contract standing orders. In addition authorising officers must be able to
demonstrate that the work, goods or services are required in order to provide authority
services.
7.7
Signature may also include computer-generated signatures from computer authorisation.
7.8
Computer authorisation means approved via computer input, access to which is controlled
via user names and passwords and where officers comply with the council’s computer
security policy by not revealing their password(s) to anyone else.
7.9
Orders shall normally be issued at the time when the goods, works or services are actually
requisitioned but, in cases of urgency, an oral order may be given by a budget holder, in
which case an official confirmatory order must be despatched within three working days.
Orders should not be raised for supplies of utilities, periodic payments such as rent or rates
or for purchases made via corporate credit cards, purchasing cards or petty cash,.
7.10 Orders for goods shall be made through the Central Purchasing Office where the goods
required are available through these sources.
7.11 Orders for information technology hardware and software shall be made through the Head
of ICT and Central Services or raised only with her agreement.
7.12
Orders for building maintenance work shall be made through the Head of Property Services
or raised only with his agreement.
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7.13 Goods and services should be checked on receipt to ensure they are in accordance with
the order. This check should be carried out by a different officer from the person who
signed the order. Officers authorising an official order should not also authorise the invoice
when received.
7.14
All invoices for payment of the following items shall be passed through the relevant section
listed below irrespective of whether budgets are devolved:
a) IT hardware, software and related maintenance - ICT Section
b) Telephone equipment – Office Services
Other purchases may be added to this list by as determined by the Director of Corporate
Services in consultation with Management Team.
Contract payments
8.1
These regulations should be considered in conjunction with the relevant parts of Standing
Orders relating to Contracts, code of practice relating to contracts procurement strategy,
procurement code of practice, which incorporate the council’s Procurement Policy.
8.2
Each director shall keep a contract register in suitable form to record the transactions
between the council and contractors
8.3
Payments on account of contracts shall be made on the basis of appropriate certificates issued
by the architect, engineer or other person stipulated in the contract.
8.4
Variation orders or extras approved shall be authorised in writing. Variations shall be recorded
in accordance with clause 8 of the Procurement Strategy. In addition variations shall comply
with the requirements of clause 27 of Standing Orders with Respect to Contracts regarding
funding and reporting to the appropriate committee.
8.5
It is the responsibility of each director to ensure that adequate systems and procedures are
in place for the verification of the accuracy of contractors final accounts. A final certificate
will only be issued following verification in accordance with these procedures.
8.6
Claims from contractors in respect of matters not clearly within the terms of any existing
contract shall be referred to the Head of Legal and Democratic Services for consideration of
legal liability and where necessary to the Head of Finance for financial consideration.
8.7
Where completion of a contract is unduly delayed it shall be the duty of the director
concerned to take appropriate action, report thereon to the Executive, if appropriate, and
advise the Director of Corporate Servi
ces in respect of any claim for liquidated damages.
Payment of accounts
9.1
The director issuing an order shall be responsible for the examination, verification and
certification of relative invoices and similarly, for other vouchers and accounts emanating
from his department.
9.2
The certificates shall include:
(i)
that the goods, works or services have been received, carried out, examined or
approved;
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(ii)
that the expenditure has been properly incurred within the relevant provisions;
(iii)
that the prices, extensions, discounts, taxes/tax liabilities (see section headed
Taxation concerning tax compliance) are correct;
(iv)
that the proper entries have been made in inventories, store records, etc. as
required; and
(v)
that the account has not previously been passed for payment.
9.3.1 Certification shall be by the personal signature or computer authorisation of the director or
such senior officers as have been authorised by him to certify accounts. The names of
officers authorised to sign such records shall be sent to the Director of Corporate Services
by each director together with specimen signatures and shall be amended on the occasion
of any change.
9.3.2 Under the terms of the ”Late Payment of Commercial Debt Interest Act 1998” (as
amended) payment of accounts should be made within contractual terms to avoid interest
being charged.
9.5
Where an invoice is found to be incorrect e.g. because of an addition error, the VAT is
incorrectly calculated or the invoice is not addressed to the authority, it should be returned
to the supplier with an explanatory note. Handwritten amendments should not be made to
an invoice as this may invalidate the recovery of VAT.
9.6
Particulars of all contracts, loans and other agreements whereby the council incurs liability
shall be kept in a form approved by the Director of Corporate Services.
9.7
The following duties shall not be performed by the same officer except with the approval of
the Director of Corporate Services:
(a)
ordering of goods, works and services;
(b)
receiving of goods, works and services; and
(c)
certifying the relative invoices for payment.
9.8
All certified accounts shall be passed to the Director of Corporate Services
without delay.
He/she will examine them and if satisfied that they are properly payable, he/she will arrange
payment.
9.9
The Audit and Exchequer Manager shall, acting on behalf of the Director of Corporate
Services,
be entitled be entitled to make such enquiries and to receive such explanations
as may be required.
Collection of income
10.1 Effective income collection systems are necessary to ensure that all income due is
identified, collected, receipted and banked properly.
10.2 The collection of all money due to the council shall be under the supervision of the Director
of Corporate Services.
10.3 Each director shall furnish the Director of Corporate Services
with such particulars in
connection with works done, goods supplied or services rendered and of all other amounts
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due as may be required by him to record correctly all sums due to the council and to ensure
the prompt rendering of accounts for the recovery of income due.
10.4
Each director shall ensure that all requests for work, which are not pre-paid are supported
by adequate undertakings to pay accounts raised in response to such requests so that legal
action can be taken if necessary in the event of non-payment.
10.5
In the case of long term agreements e.g. leases, in the absence of adequate proof of the
applicant’s financial standing, advice shall be taken from the Director of Corporate Services
as to the ability of the debtor to discharge his obligations.
10.6 The Director of Corporate Services
shall be notified promptly of all money due to the council
and of contracts, leases and other agreements and arrangements entered into which involve
the receipt of money by the council and the Director of Corporate Services
shall have the right
to inspect any documents or other evidence in this connection as he/ she may decide.
10.7 All receipt forms, books, tickets and other such items shall be ordered and supplied to
departments by the Director of Corporate Services
except where he/she approves
otherwise, who will satisfy himself as to the arrangements for their control.
10.8 All money received by an officer on behalf of the council shall without delay be paid to the
Director of Corporate Services or, as he/she may direct, to the council's banking or National
Giro account or transmitted directly to any other body or person entitled thereto. No
deduction may be made from such money save to the extent that the Director of Corporate
Services may specifically authorise. Each officer who so banks money shall enter on the
paying-slip a reference to the related debt (such as the receipt number or the name of the
debtor) or otherwise indicate the origin of the cheque; on the reverse of each cheque the
officer shall enter some similar identification.
10.9 Every transfer of official money from one member of staff to another will be evidenced in the
records of the departments concerned by the signature of the receiving officer.
10.10 Personal cheques shall not be cashed out of money held on behalf of the council, except in
accordance with the written approval of the Director of Corporate Services.
10.11 Heads of Service, in consultation with the Director of Corporate Services, will be
responsible for advising the Executive on the fixing of fees and charges for services.
10.12 Directors shall take adequate steps to control the opening of post. Where there is a
likelihood of cash being received in the post, two officers shall be present at post opening
so that money received by post is properly identified and recorded.
10.13 No debit in respect of an amount due to the authority once established shall be discharged
otherwise than by payment in full except where write-off has been properly authorised
below.
10.14 The Director of Corporate Services, or officer nominated by the Director of Corporate
Services, shall have authority to write off debts in accordance with the Accounts and Audit
Regulations 1996. He shall have regard to evidence provided by Heads of Service seeking
to write off debts. Heads of Service shall keep a record of all sums written off in respect of
their services and the Director of Corporate Services shall ensure appropriate accounting
adjustments are made.
10.15 The Director of Corporate Services
will report to the Overview and Scrutiny Committee all
write offs in excess of £10,000
or other limit approved by council.
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Security and control of assets
Introduction
11.1 Each director is responsible for maintaining proper security at all times for all buildings,
stocks, stores, furniture, equipment, cash, etc. under his control. He/she shall consult the
Director of Corporate Services
in any case where security is thought to be defective or
where it is considered that special security arrangements may be needed.
Maximum limits for cash holdings shall be agreed with the Director of Corporate Services
and shall not be exceeded without his express permission.
Keys to safes and similar receptacles are to be kept under strict security by those
responsible at all times; the loss of any such keys must be reported to the Director of
Corporate Services
forthwith. The names of keyholders shall be notified to the Director of
Corporate Services.
Stores and stocks
11.2
Each director shall be responsible for the care and custody of stores in his/her department.
Stores records shall be kept in a form approved by the Director of Corporate Services
and
stocktaking shall be carried out on a continuous basis being the responsibility of the director
concerned. Every stores item shall be checked at least once in each year and the Audit
and Exchequer Manager advised of all discrepancies exceeding £1,000. Heads of Service
should ensure that the stock lists at the 31st March are certified and returned to the
relevant Financial Services Manager.
11.3
No stores or other materials valued in excess of £5,000 shall be written off except with the
authority of the Executive following submission of a report by the director concerned.
11.4
Heads of Service should ensure that any material surpluses or obsolete stock are disposed
of in line with legislation and agreed authority procedure. All disposals should be recorded
and the records should be available for inspection.
11.5
Inventories
11.5.1 The Head of Finance shall keep and maintain an inventory of all leased assets
11.5.2 The Head of Finance will keep and maintain an inventory of all plant, vehicle and
equipment in excess of £6,000. A record of all infrastructure in excess of £20,000 will also
be kept and maintained by the Head of Finance.
11.5.3 The council’s assets shall not be removed from authority premises except in accordance
with the ordinary course of the council’s business unless specifically approved by the
appropriate Head of Service.
11.5.4 Heads of Service should ensure that any assets are disposed of in line with legislation and
agreed authority procedure. All disposals should be recorded and records should be
available for inspection. It is the responsibility of Heads of Service to ensure that the Head
of Finance is notified of any disposal to ensure that the correct accounting entries are
made.
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11.6
Land and buildings
11.6.1 The Head of Property Services shall be responsible for the Asset Management Plan and
maintaining or making arrangements for the maintenance of the asset register in
accordance with good practice for all land and buildings with a value in excess of £20,000.
11.6.2 The Head of Property Services shall arrange for the valuation of assets in accordance with
the CIPFA capital accounting regulations.
11.7
Information
11.7.1 Heads of Service are responsible for the security of all information within their service area.
Information can be stored on computers, transmitted across network, printed or written
down on paper and spoken in conversation.
11.7.2 Heads of Service must ensure compliance with the council’s IT Security Policy to ensure:
Confidentiality of information
Integrity of information
Availability of information
All software installed and used is properly licensed and appropriate for business use.
11.7.3 Heads of Service must ensure that appropriate registrations under the Data Protection Act
are in place to cover the user of information within their service areas. The Data Protection
Act 1995 and 1998 (as amended) makes provision for the regulation of information relating
to individuals, including obtaining, holding use or disclosure of information.
See also section 25 of these regulations.
Control of property and other assets
12.1
Property disposals, other than sale of council houses under Right to Buy provisions, where
the value exceeds £50,000 shall be considered by the Executive for the financial effect of
the proposals to be taken into account at the time the decision to dispose is taken.
Insurances
Insurance cover
13.1 The Director of Corporate Services
is responsible for arranging insurance cover for the
council and has the delegated authority to enter into insurance contracts on behalf of the
authority.
13.2
The council’s insurance arrangement will be reviewed at least annually, normally as part of
the insurance renewal process.
13.3
Fidelity guarantee insurance will be arranged for all council employees, although the extent
of cover will differ according to responsibilities.
13.4 Directors and Heads of Service shall give prompt notification to the Risk Management
Officer of all new risks requiring insurance or any alterations affecting the existing insurance
policies.
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13.5 Directors shall consult with the Head of Finance
and with the Head of Legal and
Democratic
Services in respect of any partnerships, contracts or general agreements that
they wish to make, to ensure that all ensuing liabilities are either covered under the council
existing indemnity policies, or additional insurance cover is arranged.
Insurance claims
13.6
The Director of Corporate Services
is responsible for the administration of all claims made
on the Council’s insurance policies.
13.7
The Director of Corporate Services
will represent the council in any negotiations with the
insurance company on the settlement of claims made by the Council on the insurance
policies.
13.8
The Director of Corporate Services
will represent the council in any negotiations with the
insurance company on the repudiation or settlement of any claims made by a third party on
the Council’s insurance policies.
13.9
Directors and Heads of Service will immediately notify the Risk Management Officer of any
loss, liability, damage or incident that could potentially lead to a claim.
13.10 Directors and Heads of Service will notify the police immediately of any suspected criminal
damage to Council property.
Corporate Governance and Risk Management
14.1 The Leader and Chief Executive will sign as part of the council’s final accounts a
compliance ‘statement of internal control/corporate governance to the accounts’ confirming
the council has reviewed and instituted appropriate controls over its general business risks.
14.2. Heads of Service and other designated officers are responsible for ensuring that business
risks specific to their areas of responsibility or any general corporate risk management
strategies or policies are identified, assessed and appropriate controls are put in place as
part of the corporate governance/risk management process in accordance with the
council’s risk management policy.
Preventing fraud and corruption
15.1
The authority will not tolerate fraud and corruption in the administration of its responsibilities
whether from inside or outside the authority.
15.2
The authority’s expectation of propriety and accountability is that members and staff at all
levels will lead by example in ensuring adherence to legal requirements, rules procedures
and practices.
15.3 The authority also expects that individuals and organisations (eg suppliers contractors
service providers) with whom it comes into contact will act towards the authority with
integrity.
15.4
The Director of Corporate Services shall develop and maintain an anti-fraud and corruption
policy.
15.5
Heads of Service are responsible for the implementation of the Anti Fraud and corruption
policy in their service area and should ensure that:
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-
all officers for whom they are responsible are aware of the requirements of the council’s
anti-fraud and corruption policy.
-
where appropriate, applications for council services/benefits etc contain a reference to
the use of the information supplied for data matching purposes to assist in the detection
of fraud. (Advice should be sought from the council’s Data Protection Officer/Audit and
Exchequer Manager).
15.6. All suspected irregularities should be reported to the Audit and Exchequer Manager in
accordance with para. 6.4 above.
Salaries and wages
16.1
The payment of salaries and wages shall be made by the Director of Corporate Services.
16.2
The Head of Personnel shall notify the Director of Corporate Services
as soon as possible
and in the form prescribed by him, of all matters affecting the payment of such emoluments
and in particular:
(a)
appointments - such information concerning new starters to be received before their
first pay period commences;
(b)
resignations, dismissals, suspensions, secondments and transfers;
(c)
changes in remuneration including performance pay other than normal increments
and pay awards and agreements of general application; and
(d)
information necessary to maintain records of service for superannuation, income
tax, national insurance and the like.
16.3
Each director shall notify the Director of Corporate Services
as soon as possible and in a
form prescribed by him, of all matters relating to absences from duty for reasons apart from
approved leave, which affects payment of emoluments.
16.4 Appointments of all employees shall be made in accordance with the regulations of the
council and the approved establishment, grades and rates of pay.
16.5
All time records or other pay documents shall be in a form prescribed or approved by the
Director of Corporate Services and shall be certified in manuscript by or on behalf of the
director. The names of officers authorised to sign such records shall be sent to the Director
of Corporate Services
by each director together with specimen signatures and shall be
amended on the occasion of any change.
Imprest accounts and cash floats
17.1
The Director of Corporate Services shall advance standing imprests to appropriate persons
for the purpose of defraying petty cash expenses. The amounts of such imprests shall be
settled by the Director of Corporate Services in consultation with the appropriate officer
concerned.
17.2 The Director of Corporate Services shall provide such cash floats as he/she considers
appropriate to such Officers of the council who may need them.
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Banking
18.1 All arrangements with the council's bankers shall be made by or under arrangements
approved by the Director of Corporate Services, who shall be authorised to operate such
banking accounts, including the building society accounts, as he/she may consider
necessary.
18.2
All cheques, including payment forms, shall be ordered only on the authority of the Director
of Corporate Services, who shall make proper arrangements for their safe custody.
18.3 The Director of Corporate Services
shall grant an indemnity to the bankers in respect of
cheques bearing facsimile signatures.
18.4
Cheques bearing a facsimile signature shall be countersigned by the Director of Corporate
Services
or other officer authorised to do so if the approved limits are exceeded:
Current limits at 01.04.2006:
(a)
Crossed cheques
£10,000
(b)
Housing Benefit cheques £3,000
18.5 Authorised signatories are:
The Director of Corporate Services
Head of Finance
Financial Services Managers
Local Taxation Manager
Departmental Support Manager
Assistant Manager for Policy, Performance and Research
Head of Revenues and Benefits
Borrowing and investments
19.1 This council adopts the CIPFA’s Code of Practice for Treasury Management in Local
Authorities.
19.2
A treasury management policy statement setting out the matters detailed in paragraph 15 of
CIPFA’s Code of Practice for Treasury Management in Local Authorities shall be adopted
by the Council and thereafter its implementation and monitoring shall be delegated to the
Director of Corporate Services.
19.3
All money in the hands of the council shall be under the control of the officer designated for
the purposes of Section 151 of the Local Government Act 1972, that is the Director of
Corporate Services.
19.4
At or before the start of the financial year the Director of Corporate Services
shall report to
the Executive on the strategy for treasury management it is proposed to adopt for the
coming financial year.
19.5 All executive decisions on borrowing, investment or financing shall be delegated to the
Director of Corporate Services who shall be required to act in accordance with CIPFA’s
Code of Practice for Treasury Management in Local Authorities.
19.6
The Director of Corporate Services
shall report to the Overview and Scrutiny Committee not
less than twice in each financial year on the activities of the treasury management
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operation and on the exercise of delegated treasury management powers. One such report
shall comprise an annual report on treasury management for presentation by 30 September
of the succeeding financial year.
19.7
Should the Director of Corporate Services
wish to depart in any material respect from the
main principles of the code, the reasons should be disclosed in the report to the
committee/council.
19.8
All trust funds shall wherever possible be in the name of the council.
Travelling, subsistence and financial allowances
20.1 All claims for payment of car allowances, subsistence allowances, travelling and incidental
expenses shall be submitted, duly certified in a form approved by the Audit and Exchequer
Manager. Only the named Budget Director/Divisional Budget Director/Budget
Manager/Budget Holder will be authorised to sign such records. It is the responsibility of
directors and Heads of Service to ensure that this list is maintained and that Finance are
notified of any changes. Specimen signatures should be provided to the Audit and
Exchequer Manager on the occasion of any change.
20.2 The certification by or on behalf of the director shall be taken to mean that the certifying
officer is satisfied that the journeys were authorised and undertaken in the most cost
effective manner, the expenses properly and necessarily incurred and that the allowances
are properly payable by the council. All claims shall be sufficiently detailed to enable any
tax liability to be determined. Reimbursement of claims shall be made via the council’s
payroll system where a tax liability arises.
20.3
Officers' claims submitted more than six months after the expenses were incurred will be
paid only with the express approval of the Audit and Exchequer Manager.
20.4 Payments to members, including co-opted members of the council or its committees who
are entitled to claim allowances, subsistence and travelling, will be made by the Director of
Corporate Services
upon receipt of the prescribed form duly completed.
Taxation
21.1 The authority is responsible for ensuring its tax affairs are in order. Tax issues are very
complex and the penalties for incorrectly accounting for tax are severe. It is therefore very
important for all officers and members to be aware of their roles and responsibilities.
21.2 VAT:
21.2.1 Heads of Service are responsible for ensuring that VAT can be correctly and accurately
accounted for within the council’s accounts in accordance with HM Customs and Excise
Regulations. This will include:-
a) Establishing the correct VAT liability for services or goods supplied thus ensuring
that VAT is charged and paid over.
b) Ensuring that VAT on income is declared/accounted for in the correct accounting
period.
c) Obtaining VAT invoices/VAT authenticated receipts in respect of all payments,
which include a VAT charge.
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d) Taking advice on all property and land transactions, which could impact upon the
council’s ability to fully recover VAT.
21.2.2 The Director of Corporate Services
shall determine the VAT treatment of any supplies
which may fall within the VAT exempt definition to the best advantage of the council and
charges will be amended accordingly.
21.3 Construction Industry Scheme:
Heads of Service are responsible for ensuring that tax liabilities and returns can be
correctly compiled under this scheme in accordance with Inland Revenue Regulations. This
will include:
a) Ensuring that orders/contracts for works of a building maintenance or construction
nature (as defined under the Construction Industry Scheme) are only placed with
contractors who hold and have supplied a current and valid card or certificate
entitling them to be paid for works of this type under this scheme.
b) Correctly identifying the value of labour subject to tax on any invoice where a tax
deduction is necessary.
c) Payments for works of a building maintenance or construction nature (as defined
under the Construction Industry Scheme) are processed correctly within the creditor
payments system ie to supplier type contractor.
d) Complying with any changes effected by new regulations proposed to come into
effect in April 2007
21.4 Income Tax and National Insurance:
Heads of Service are responsible for ensuring that liabilities to account for Income Tax and
National Insurance can be correctly and accurately accounted for within the council’s
accounts in accordance with Inland Revenue and Contributions Agency Regulations. This
will include:-
a) Ensuring that all payments to staff (other than those for which a dispensation is
held) are made via the council’s payroll system.
b) Ensuring that any taxable benefit arising from payments made / benefit in kind
supplied to or on behalf of staff is notified to the Payroll Manager for inclusion on
P11D and similar returns.
c) Ensuring that all persons employed by the authority are added to the authority’s
payroll.
Confirming that suppliers of labour other than employees (eg “consultants”) are not liable to
deduction of tax and National Insurance as if they were an employee, ie by obtaining
evidence of Schedule D employment or CIS status.
21.5 If in doubt, Heads of Service should consult the Audit and Exchequer Manager for advice.
Departments will be liable for costs including any penalties and interest charged for
incorrect tax treatment.
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Leasing
22.1 Leasing is a method of financing the purchase of certain types of capital assets and allows
the cost to be spread over several financial years via annual rentals. Leasing
arrangements may only be entered into by the Director of Corporate Services.
External funding
23.1 External funding is potentially a very important source of income, but funding conditions need
to be carefully monitored to ensure that they are compatible with the aims and objectives of
the authority. Local authorities are increasingly encouraged to provide services through
working closely with other agencies and private service providers. Funds from external
agencies such as the National Lottery and the single regeneration budget provide additional
resources to enable the authority to deliver services to the local community.
23.2 Funding should only be sought to meet the priorities approved in the Policy and Budget
Framework approved by Full Council.
23.3 Heads of Service shall ensure that
• key conditions of funding and any statutory requirements are complied with
• the responsibilities for the accountable body are clearly understood
• the project progresses in accordance with the agreed project plan & conditions
• all expenditure is properly incurred and accounted for and
• all claims for funds are made by the due date
• match funding requirements are given due consideration prior to entering into long term
agreements
• future revenue implications are included with the budget approved by Full Council
• appropriate Exit Strategies exist and
• the Head of Finance be informed of all bidding initiatives for external funds.
23.4 The Director of Corporate Services
shall ensure that all funding awarded by external bodies
is received and properly recorded in the authority’s accounts and that the audit
requirements are complied with.
23.5 The responsible officer for each externally funded revenue scheme must provide to the
Head of Finance, before the start of each financial year, the estimates for the next financial
year broken down over heads of expenditure agreed by the Head of Finance, taking
account of the requirements of the funder(s).
23.6 These financial regulations shall apply to all externally funded schemes where the city
council is the accountable body.
23.7 The Director of Corporate Services will monitor expenditure and income against budget
allocations and report to the Executive and the Overview and Scrutiny Committee on any
variances which cannot be contained within the schemes funding.
23.8
Where there is a projected overspending which will impact on the city council’s funds, the
Budget Manager must report to Management Team explaining the reason for the
overspend and setting out the options for dealing with it.
23.9
Capital schemes supported by external funding will be monitored and reported as part of
the council’s capital programme monitoring arrangements.
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Partnerships
24.1. Where the council enters into a partnership arrangement with another organisation, the
appropriate Head of Service will be responsible for:
• Maintaining a register of all contracts entered into with external bodies in accordance
with procedures specified by the Director of Corporate Services
• Ensuring that before entering into agreements with external bodies, a risk management
appraisal has been prepared for the Director of Corporate Services
• Ensuring that such agreements and arrangements do not impact adversely upon the
services provided by the authority
• Ensuring that all agreements are properly documented
• Providing appropriate information to the Director of Corporate Services to enable a note
to be entered into the authority’s statement of accounts concerning material items.
Information technology Issues
25.1
The Head of Legal and Democratic Services shall be responsible for ensuring that all data
is registered under the Data Protection Act 1985 and 1998 (as amended). This shall apply
to data held by the Computer Centre and data held on any other equipment on council
premises.
25.2
No computer applications shall be written or implemented without first consulting the Head
of Information and Computer Technology.
25.3
The Head of Legal and Democratic Services shall be responsible for defining procedures
for maintaining proper security and privacy of all data held by the council in accordance
with the terms of the Data Protection Act 1985 and 1998 (as amended).
25.4 No software, discs, tapes, etc. from outside sources shall be used on council equipment
without first being checked by the Computer Centre for viruses.
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Contract Standing Orders
CONTRACT STANDING ORDERS AND ANCILLARY PURCHASING GUIDANCE
Kent Authorities' Contract Standing Orders at Canterbury
1
Introduction – Purpose of the Contract Standing Orders
1.1
Purchasing decisions and processes are important because the money involved is
public money. The purpose of these Contract Standing Orders is to provide a
structure within which purchasing decisions are made and implemented and which
ensure that the Council:
1.1.1
Furthers its corporate objectives
1.1.2
Uses its resources efficiently
1.1.3
Purchases quality goods, services and works
1.1.4
Safeguards its reputation from any implication of dishonesty or corruption.
1.2
Purchasing by the Council, from planning to delivery, shall incorporate (where
appropriate) principles of sustainability, efficiency, whole life costings and cost
savings.
1.3
These Contract Standing Orders are made in accordance with the requirements of
Section 135 of the Local Government Act 1972.
1.4
These Contract Standing Orders do not provide guidelines on what is the best way
to purchase works, supplies (goods) and services. They set out minimum
requirements to be followed. Further information and guidelines are set out in the
Council’s Purchasing Guide.
2
General Principles – Application and Compliance with Contract Standing Orders
2.1
These Contract Standing Orders apply to the purchase by or on behalf of the
Council of works, supplies (goods) and services.
2.2
These Contract Standing Orders apply to all contracts including all purchase orders,
concessions and contractual arrangements entered into by or on behalf of the
Council, except for the specific types of contracts and purchasing methods which
are listed in 2.3.
2.3
These Contract Standing Orders do not apply to:
2.3.1 Employment contracts
2.3.2 Contracts relating solely to the purchase or sale of interests in land
2.3.3 Contracts for retention of legal counsel and the appointment of expert
witnesses in legal proceedings
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2.3.4. Service level agreements setting out the conditions which the Council
applies to its funding of particular voluntary sector bodies.
3
General Principles Applying to All Contracts
3.1
There should be written evidence of all purchases.
3.2
Standard contract clauses should be used in all contracts of a value of £10,000 or
more. The standard contract clauses are issued by Legal and Democratic Services
and can be found on the intranet.
3.3
As a minimum, all contracts of a value of £10,000 or more shall include clauses
which set out:
3.3.1
The works, supplies (goods), services, material, matters or things to be
carried out or supplied
3.3.2
The time within which the contract is to be performed
3.3.3
Quality requirements and/or standards which must be met
3.3.4
Requirements on the contractor to hold and maintain appropriate
insurance
3.3.5
What happens in the event that the contractor fails to comply with its
contractual obligations (in whole or in part)
3.3.6
Requirements on the contractor to comply with all relevant equalities and
health and safety legislation
3.3.7
That the Council shall be entitled to cancel the contract and recover losses
in the event that the contractor does anything improper to influence the
Council to give the contractor any contract or commits an offence under
the Prevention of Corruption Acts 1889 to 1916 or s117(2) Local
Government Act 1972.
3.4
Written contracts shall not include non-commercial terms unless these are
necessary to achieve best value for the Council. In this context, “non commercial”
means requirements unrelated to the actual performance of the contract.
3.5 All contracts shall include relevant specifications and/or briefs/technical
requirements which are prepared taking into account the need for effectiveness of
delivery, quality, sustainability and efficiency (as appropriate) and the information
set out in the Council’s Purchasing Guide.
3.6
All contracts of a value of £10,000 or more or which involve a substantial risk to the
Council must be subject to a written risk assessment, which should be kept on the
contract file.
4 Regulatory
Context
4.1
All purchasing shall be conducted in accordance with Regulatory Provisions which
are:
4.1.1
All relevant statutory provisions
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4.1.2
The relevant EU Rules and EC Treaty Principles which are defined in the
Council’s Purchasing Guide
4.1.3
The Council’s Constitution including these Contract Standing Orders, the
Council’s Financial Procedure Rules and Scheme of Delegation
4.1.4
The Council’s Purchasing Guide and other policies and procedures of the
Council as appropriate.
4.2
In the event of conflict between the above, the EU Rules will take precedence,
followed by UK legislation, then the Council's Constitution, the Council’s Purchasing
Guide and guidelines, policies and procedures.
5
Responsibilities of Directors, Heads of Service and Responsible Officers
5.1
Each Director shall have overall responsibility for the purchasing undertaken by
his/her Directorate.
5.2
Each Head of Service shall be responsible for the purchasing undertaken by his or
her service and shall
5.2.1
be accountable to the Executive for the performance of his/her duties in
relation to purchasing
5.2.2
comply with the Council's decision making processes including, where
appropriate, implementing and operating a Scheme of Delegation
5.2.3
appoint a Responsible Officer in writing who shall be an authorised
signatory
5.2.4
take immediate action in the event of breach of these Contract Standing
Orders.
5.3
A Responsible Officer is an officer with responsibility for conducting purchasing
processes for the purchase of works, supplies (goods) or services on behalf of the
Council.
5.4
A Responsible Officer’s duties in respect of purchasing are to ensure:
5.4.1
compliance with all Regulatory Provisions and integrity of the tender
process
5.4.2
compliance with the relevant statutory provisions and the Council’s
requirements relating to declarations of interest affecting any purchasing
process
5.4.3
that there is an appropriate analysis of the requirement, timescales,
procedure and documentation to be used
5.4.4
the purchasing process, from planning to delivery incorporates (where
appropriate) principles of sustainability, efficiency, whole life costings and
cost savings
5.4.5
compliance with the Council's decision making processes
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5.4.6
that all contracts of a value of £75,000 or more are included on the
Council’s Contract Register
5.4.7
that proper records of all contract award procedures, waivers, exemptions
and extensions are maintained, with separate files for each purchase of a
value of £75,000 or more
5.4.8
that value for money is achieved
5.4.9
that adequate and appropriate security (such as a bond or guarantee) is
taken
to protect the Council in the event of non-performance.
5.5
In considering how best to procure works, supplies and services, Directors, Heads
of Service and/or Responsible Officers (as appropriate in the context), shall take
into account wider contractual delivery opportunities and purchasing methods
including the use of Purchasing Schemes and e-procurement/purchasing methods,
and the availability of local authority charging and trading powers under the Local
Government Act 2003.
5.6
It is a disciplinary offence to fail to comply with these Contract Standing Orders and
the Council’s Purchasing Guide. All employees have a duty to report breaches of
Contract Standing Orders to the Audit and Exchequer Manager or the Head of Legal
and Democratic Services.
5.7
Any officer or Member who suspects any misconduct or corruption in relation to the
purchase by or on behalf of the Council of works, supplies (goods) and services
must immediately report that suspicion to the Council’s Monitoring Officer and Audit
and Exchequer Manager
6
Scheme of Delegation
6.1
Council purchasing may only be undertaken by officers with the appropriate
delegated authority to carry out such tasks as set out in the Council's Scheme of
Delegation. Officers with delegated authority may only delegate to other officers
who have the appropriate skills and knowledge for the task and such delegation
shall be recorded in writing by the officer delegating the task and notified to the
relevant Head of Service.
6.2
Each Head of Service shall inform officers, where appropriate, of the extent of any
delegated authority and applicable financial thresholds.
7
Financial Thresholds and Procedures
7.1
The table below sets out the general rules applying to the choice of purchasing
procedure for contracts at the stated threshold values.
7.2
There is a general presumption in favour of competition. Wherever possible
contract opportunities should be advertised by way of a public notice. The Council
must consider the potential effect of a contract on interstate trade (at a European
level). If a contract may be of interest to contractors from other member states then
this may result in a need to advertise in a manner which ensures that potential
contractors from other member states are aware of the opportunity, even for small
value contracts or contracts under the EU Threshold levels outlined below.
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7.3
The public notice referred to at 7.2 may take the form of a notice or advertisement in
an electronic or paper format, on an easily accessible website or other electronic
media and/or in the press, trade journals or Official Journal of the European Union
(“OJ”) (as appropriate). The Responsible Officer may choose to place one or more
public notices in different media.
7.4
Table setting out financial thresholds and procedures
Total value
Type of contract
Procedure to be used
£
1,000 to
works, supplies and services
At least one quote in advance
10, 000
10,000 to
works, supplies and services
At least three written quotes in advance
74,999
75,000 to
works, supplies and services
At least three written tenders in advance,
£139,893**
following advertisement by public notice
139,893**
Supplies and services
EU Rules apply – full competitive process
plus
following advertisement in the OJ for
supplies and Part A* services.
**EU
For Part B* services reduced requirements
Threshold for
apply under the EU Rules but there is a
supplies and
presumption in favour of advertising and a
services
competitive process
£139,893 to
Works Full
competitive
process with tenders
£3,497,313**
following advertisement by public notice
£3,497,313** Works
EU Rules apply – full competitive process
with tenders following OJ advertisement
**EU
Threshold for
works
* For the purposes of the EU Rules services are divided into two types and the EU Rules apply to a
different degree. Responsible Officers should act cautiously and seek advice when considering the
procedure to be used and application of the EU Rules to services contracts
** or relevant threshold in force at the time under the EU Rules
7.5
Where contracts are of a type and value that means the EU Rules apply to them
then there are four main types of EU procedures available. These are the open,
restricted, competitive dialogue and competitive negotiated procedures. Care must
be taken to ensure that the correct and most appropriate procedure is used and
assistance on the choice and use of EU procedure should be sought from Legal
Services.
8
Financial Thresholds and Processes Applying to Approval and Execution of
Contracts
8.1
For contracts over the relevant EU threshold (in force at the time), the choice of
purchasing procedure to be used and the decision to proceed to advertisement
must be authorised in writing by the relevant Head of Service in consultation with
the Head of Legal and Democratic Services in advance.
8.2
When a decision is made to award a contract then the Responsible Officer must, in
addition to complying with his/her general obligations under these Contract Standing
Orders ensure, in particular, that:
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8.2.1
the appropriate approvals have been obtained to authorise that decision;
and
8.2.2
where appropriate, a standstill period complying with the EU Rules is
incorporated into the final award process.
8.3
Any contracts valued at £75,000 or above shall be executed as a deed. Officers
with appropriate delegated authority may sign all other contracts. £10,000 shall be
the threshold for the purposes of Regulation 8 of the Local Authority (Executive
Arrangements) (Modification of Enactments and Further Provisions) (England)
Order 2001.
8.4
Electronic signatures may be used in accordance with the Electronic Signature
Regulations 2002 provided the sufficiency of security arrangements has been
approved by the Head of ICT and Central Services and the Head of Legal and
Democratic Services.
9
Calculating the Contract Value
9.1
The starting point for calculating the contract value for the purposes of these
Contract Standing Orders is that the contract value shall be the genuine pre-
estimate of the value of the entire contract excluding Value Added Tax. This
includes all payments to be made, or potentially to be made, under the entirety of
the contract and for the whole of the predicted contract period (including proposed
extensions and options).
9.2
There shall be no artificial splitting of a contract to avoid the application of the
provisions of the EU Rules and/or these Contract Standing Orders.
9.3
The EU Rules can cover contracts, which are below the stated EU threshold, where
they constitute repeat purchases and/or purchases of a similar type in a specified
period. Responsible Officers should therefore seek advice on the application of the
EU Rules where they envisage that they may require to make such purchases.
10
Principles Underlying Tendering Processes and Tender Evaluation
10.1 All tendering procedures (including obtaining quotes), from planning to contract
award and signature, shall be undertaken in a manner so as to ensure:
10.1.1
Sufficient time is given to plan and run the process
10.1.2
Equal opportunity and equal treatment
10.1.3
Openness and transparency
10.1.4 Probity
10.1.5 Outcomes that deliver sustainability, efficiency and cost savings (where
appropriate).
11
Submission and Opening of tenders
11.1
An Invitation to Tender shall be issued by the Council for all contracts over £75,000
and tenders shall be submitted in accordance with the requirements of the Invitation
to Tender.
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11.2
Any tenders received (other than those received electronically, to which 11.3 shall
apply) shall be:
11.2.1
addressed to the Chief Executive
11.2.2 in a sealed envelope marked “Tender” followed by the subject matter to
which it relates
11.2.3
kept in a locked cabinet by Democratic Services
11.2.4
retained unopened until the date and time specified for its opening.
11.3 Where the Council has indicated in the Invitation to Tender that a tender can or
must be submitted electronically, then those tenders shall be:
11.3.1
addressed to the e-mail address as notified in the Invitation to Tender
11.3.2
in the format specified in the Invitation to Tender
11.3.3 stored in a secure mailbox, which requires a code or other appropriate
security measure, to open it
11.3.4
retained unopened until the date and time specified for its opening.
11.4 No tender received after the time and date specified for its opening shall be
accepted or considered by the Council unless the relevant Head of Service is
satisfied that there is sufficient evidence of the tender having been dispatched in
time for it to have arrived before the closing date and time, or other exceptional
circumstances apply and the other tenders have not been opened.
11.5
Tenders shall be opened in the presence of two members of the council, one officer
nominated by the Head of Legal and Democratic Services and one Responsible
Officer nominated by the relevant Head of Service and an immediate record shall be
made of tenders received including names and addresses and the date and time of
opening.
11.6 The tender opening process is set out in detail at Appendix 1 to these contract
standing orders
12
Evaluation of Quotes and Tenders
12.1 All quotes and tenders shall be evaluated in accordance with evaluation criteria
notified in advance to those submitting quotes/tenderers.
12.2 Tenders subject to the EU Rules shall be evaluated in accordance with the EU
Rules.
12.3 Save in exceptional circumstances approved in advance by the relevant Head of
Service
all contracts shall be awarded on the basis of the quote or tender which
represents best value for money to the Council and not on the basis of lowest price.
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13 Waivers
13.1 The requirement for the Council to conduct a competitive purchasing process for
contracts in excess of £10,000 may be waived in the following circumstances.
13.1.1 For contracts which are not subject to the EU Rules, the work, supply or
service is required as a matter of urgency and a delay would be likely to
lead to financial loss, personal injury or damage to property; or
13.1.2 the circumstances set out in the Public Contract Regulations 2006
Regulation 14 apply (whether or not the contract is of a type which is
subject to the application of the EU Rules); or
13.1.3 the contract is awarded under a Purchasing Scheme of a type where a
competition has already been undertaken on behalf of the Council; or
13.1.4 at the discretion of the relevant Head of Service who may proceed in a
manner most expedient to the efficient management of the service/Council
with reasons recorded in writing.
13.2
A Responsible Officer who seeks a waiver of Contract Standing Orders, shall do so
only in advance and only in exceptional circumstances. Further guidance on what
may constitute exceptional circumstances permitting waiver of these Contract
Standing Orders is set out in the Council’s Purchasing Guide.
13.3
All waivers from these Contract Standing Orders must be:
13.3.1 Fully
documented
13.3.2 Subject to a written report in an approved format to be submitted in
advance to the relevant Head of Service which shall include reasons for
the waiver which demonstrate that the waiver is genuinely required
13.3.3
Subject to approval in advance by the Director of Corporate Services and
the Head of Legal and Democratic Services who shall record that they
have considered the reasons for the waiver and that they are satisfied that
the circumstances justifying the waiver are genuinely exceptional.
Applications for waivers which are a result of poor contract planning will
rarely be considered genuinely exceptional.
13.4
All decisions on waivers must take into account:
13.4.1 Probity
13.4.2
Best value/value for money principles.
13.5 For contracts subject to the EU Rules, any waiver from the requirement for
competition must meet the conditions set out in the EU Rules in addition to the
general requirements above.
14
Extensions to Existing Contracts
14.1 Where extensions to existing contracts are made the extensions must be
determined in accordance with the contract terms, for a specified period and made
in accordance with the principles set out in the Council’s Purchasing Guide.
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14.2
Any extension must be:
14.2.1 Fully
documented
14.2.2 Subject to a written report in an approved format to be submitted to the
relevant Head of Service; which shall include reasons for the extension
which demonstrate that the need for the extension is genuinely exceptional
14.2.3
Subject to approval by the Director of Corporate Services and the Head of
Legal and Democratic Services who shall record that they have considered
the reasons for the extension and that they are satisfied that the
circumstances justifying the extension are genuinely exceptional.
14.3
Any extension must take into account:
14.3.1 Probity
14.3.2
Best value/value for money principles.
14.4
For contracts subject to EU Rules, any extension must meet the conditions set out
in the EU Rules in addition to the more general requirements set out above.
15 Purchasing
Schemes
15.1 A Responsible Officer may use Purchasing Schemes subject to the following
conditions and the Council’s Purchasing Guide.
15.2
Responsible Officers must check in advance that
15.2.1
The Council is legally entitled to use the Purchasing Scheme
15.2.2 The purchases to be made do properly fall within the coverage of the
Purchasing Scheme
15.2.3 The establishment and operation of each Purchasing Scheme is in
compliance with the EU Rules (where they apply) and meets the Council's
own requirements.
15.3
A “Purchasing Scheme” may include:
15.3.1
Contractor prequalification lists/select lists
15.3.2 Framework arrangements (including those set up by the Office of
Government Commerce)
15.3.3 Purchasing arrangements set up by central purchasing bodies and
commercial organisations
15.3.4 Consortium
purchasing
15.3.5
Collaborative working arrangements
15.3.6
Formal agency arrangements
15.3.7
E-procurement/purchasing schemes and methods
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15.3.8
Other similar arrangements such as the IDeA Marketplace
15.4 Where a Purchasing Scheme is used then there shall be a whole or partial
exemption from the obligations under these Contract Standing Orders in respect of
the choice and conduct of procedures to the extent permitted and indicated in the
Council’s Purchasing Guide.
16
Review and Changes to these Contract Standing Orders
These Contract Standing Orders shall be reviewed and updated on a regular basis.
Save in the case of revisions to the EU Thresholds in Contract Standing Order 7,
amended Contract Standing Orders shall be recommended by the Audit Board to
Council. The Head of Legal and Democratic Services will make revisions to the EU
Thresholds as they occur.
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Appendix 1
Tender opening
Instructions to opening officers
Present: Any two Councillors
Requirements: Unopened tenders
Authorised Opening Officer
Tenders received [TR] form
Authorised Second Officer
Summary of tenders opened
[STO] form to be completed
in
triplicate
1.
General
1.1
Before opening the tenders the Opening Officer shall check with the Administrative
Officer that the post box was emptied and any tenders collected from Main Reception at
the designated time for receipt; that all tenders received up to that date are in his
possession and that the number in his possession agree with those entered on the TR
Form. If they agree the TR Form should be signed. In the event that the forms do not
agree and the matter cannot be immediately resolved the circumstances shall be
treated as a suspected irregularity and the procedure outlined in Financial Regulations
shall be followed. No action shall be taken with the other tender envelopes until after
the Director of Corporate Services has considered the matter.
1.2
All tenders given to the Opening Officer should be properly sealed, dated and timed on
receipt and show no signs of being tampered with. Where there is evidence of
tampering the tender may still be opened but the Opening Officer shall make a
statement to that effect on the STO Form. If in doubt the Opening Officer should refer
the matter immediately to the Department concerned.
1.3
The Opening Officer shall ensure prior to opening that each set of tenders to be opened
are identifiable as relating to the same scheme. At this stage the Opening Officer
should ascertain whether any late tenders have arrived (see Note 2 below).
1.4
Tenders should be opened as soon as possible after the designated time for receipt
and arrangements should be made in advance of that time with both Opening Officers
and members to facilitate the procedure.
1.5
Although it is not the duty of the Opening Officers to analyse the technical content of
tenders the officer shall at least take note of any tender qualifications (normally in the
form of a letter) and bring them to the attention of the Department concerned. For
these purposes it is best to make a brief note on the STO Form.
1.6
The Opening Officers shall not destroy any of the tender envelopes but shall return
them to the department who invited the tenders who shall consider their future
retention. All envelopes relating to opened late tenders shall be kept.
1.7
If due to unusual circumstances a problem arises which is not covered by this code and
cannot be resolved by the Opening Officer advice should be immediately sought from
the Head of Legal and Democratic
Services.
1.8
One copy of the STO form is to be kept by the Chief Executive; one is for the Client
Department and the third copy is to be delivered immediately to the Director of
Corporate Services
for budgetary purposes.
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2.
Late tenders (see CSO 17.6)
2.1
A late tender is any tender arriving after the designated time on or after the appointed
day. In respect of all such tenders the envelopes shall be endorsed "late tender" and
shall specify the time and date received together with the signature of the receiving
officer.
2.2
If any late tenders are received they may only be opened with a view to acceptance if
the conditions in contract standing order 11.4 are met, namely, 'no tender received after
the time and date specified for its opening shall be accepted or considered by the
council unless the relevant Director is satisfied that there is sufficient evidence of the
tender having been dispatched in time for it to have arrived before the closing date or
time, or other exceptional circumstances apply and the other tenders have not been
opened'.
2.3
In cases where late tenders are opened a note to that effect shall be made clearly on
the STO Form and the envelope in which the tender arrived shall be retained.
Tender opening instructions for each tender opened
Opening officer duties
Second officer duties
(Nominated by the Head of Legal and (Nominated by the Head of Service
Democratic
Services)
concerned)
1.
Open envelope and remove tender.
2.
Read out name and address of
contractor as shown on Form of
Tender.
3.
Check that name and address agrees with
STO Form (See Note A below)
4.
Check that the Form of Tender is
filled in correctly, ie:
a)
Contractor’s
name;
b)
the contract for which he is
tendering;
c)
Tender sum: words and figures
agree;
d)
the Form of Tender is signed and
dated by the contractor.
5.
Read out tender sum.
Write down tender sum next to relevant
6.
contractor on STO Form (see Note B). Pass
STO Form to Opening Officer.
7.
8.
Check that amount entered on STO
Form agrees with tender - if so, initial
form of tender in bottom right hand
corner and pass Form of Tender,
documents, envelope and STO Form
to Second Officer.
9.
Check that tender sum agrees with that
entered on STO Form and, if so, initial next to
Opening Officer on the Form of Tender and
place tender back in envelope.
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10. Repeat process for each tender
received.
11.
Once all tenders have been dealt with STO
Form will indicate those contractors (if any)
from whom a tender has not been received.
In such cases the STO Form shall be clearly
endorsed “No Tender Received”.
12. Once this procedure has been followed, and provided that both officers are satisfied that
their duties have been carried out correctly, the STO Form should be signed by each officer
and endorsed with the date and time at which these procedures were completed. Both
members present shall also sign the STO form to confirm their satisfaction with the tender
opening procedures. The tender envelopes and STO Form can then be returned to the
technical officers concerned.
NOTE A: In the event that a tender is returned from a firm other than that invited, including a subsidiary or
alternative division, the details of the firm and his tender price shall still be entered on the STO Form by the
Second Officer and endorsed to the effect that this tender was received in addition to those invited.
NOTE B: In those circumstances where a contractor is not requested to state a tender sum the STO Form
shall be endorsed "Tender Received" at stage six above and the remaining procedures amended
accordingly.
NOTE C: In those cases where the tender did not require an overall price, but rates, both officers and both
members shall initial all those pages of the tender on which the contractor has inserted rates or prices.
Kent Authorities' Purchasing Guide
Introduction – the Contract Standing Orders (CSOs) and this Purchasing Guide
The CSOs are the starting point for good purchasing practice. They contain the core obligations
for a robust purchasing framework. As they form part of the Council’s Constitution, they
can only be changed by resolution of full Council, unless specific powers to make
amendments have been delegated to an Officer or other body.
They are made under the
Council’s powers under section 135 of the Local Government Act 1972.
•
This Purchasing Guide provides practical guidance on how the CSOs apply to purchasing
decisions and processes. It explains some of the more technical and legal issues involved
in procurement and provides practical working examples.
•
You must use this Purchasing Guide when purchasing on behalf of the Council. You must
also follow the CSOs and the other documents referred to in CSO 4.
•
Purchasing can involve complex technical provisions and legal rules. Breach of those
technical provisions, the legal rules, the CSOs or this Purchasing Guide can have serious
consequences for the Council and for you. If you are in doubt then you must seek
assistance. If you have any queries about the CSOs, this Purchasing Guide or the other
documents used in or related to the Council’s purchasing, then please contact the Head of
Legal and Democratic Services.
•
The structure of this Purchasing Guide follows the structure of the CSOs. In this
Purchasing Guide, the CSOs are set out in shaded boxes, followed by commentary and
guidance on those CSOs.
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•
This Purchasing Guide is a “living” document which will be reviewed annually. If you have
comments or suggestions for improvements, please contact the Head of Legal and
Democratic Services.
PLEASE ALWAYS ENSURE YOU ARE WORKING TO THE LATEST VERSION OF THE
GUIDANCE
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THE PURCHASING GUIDE
17
Introduction – Purpose of the Contract Standing Orders
17.1
Purchasing decisions and processes are important because the money involved is
public money. The purpose of these Contract Standing Orders is to provide a
structure within which purchasing decisions are made and implemented and which
ensure that the Council:
17.1.1
Furthers its corporate objectives
17.1.2
Uses its resources efficiently
17.1.3
Purchases quality goods, services and works
17.1.4
Safeguards its reputation from any implication of dishonesty or corruption.
17.2
Purchasing by the Council, from planning to delivery, shall incorporate (where
appropriate) principles of sustainability, efficiency, whole life costings and cost
savings.
17.3
These Contract Standing Orders are made in accordance with the requirements of
Section 135 of the Local Government Act 1972.
17.4
These Contract Standing Orders do not provide guidelines on what is the best way
to purchase works, supplies (goods) and services. They set out minimum
requirements to be followed. Further information and guidelines are set out in the
Council’s Purchasing Guide.
CSO 1.1
1
Good and effective purchasing must be embedded in the day to day practices of the
Council. The key objectives of purchasing, outlined in CSO 1.1 and CSO 1.2 must be
taken into account from the initial planning and conceptual stages of the purchasing
process. The purchasing process is not limited to the stage when you seek a quote or
tender.
2
Failure to consider these key issues can impact on both the quote or tender process, and
also the long term delivery of the works, supplies or services which are being purchased.
Example: You need to think carefully about the quality and specification for the goods you
wish to purchase. Failure to incorporate your requirements into the contract may result in
substandard or poor quality goods being provided to the Council. The Council is unlikely to
be able to do very much about this, if its own requirements have not been clearly specified in
the tender and contract documents.
Conversely, if the Council has clearly specified the quality of the goods required and when
delivered they are not up to standard, then the Council will be able to ensure that standards
can be improved or, potentially, cancel the contract arrangements.
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CSO 1.2
3
You must take into account the principles of sustainability, efficiency, whole life costings
and cost savings, during the purchasing process.
4
"Sustainability": The UK Government’s sustainable development strategy sets out four
key priority areas for action:
• Sustainable consumption and production
• Climate change and energy
• Protecting natural resources
• Creating sustainable communities and a fairer world
Sustainable procurement is a process whereby organisations meet their needs for goods,
services, works and utilities in a way that achieves value for money on a whole life basis in
terms of generating benefits not only to the organisation, but also to society and the
economy, whilst minimising damage to the environment.
5
"Efficiency": The Council must continuously improve all its services. This means that the
Council must purchase the most appropriate best value works, supplies or services and
deliver continuous improvement throughout each contract. For contracts which relate to
more than just a one off purchase, the Council will need to exercise ongoing monitoring and
review of the contract to ensure
a.
customer satisfaction,
b.
continued high quality delivery,
c.
compliance with environmental and equality standards, and
d.
the opportunity to identify service improvements and cost savings.
This could be reflected in an efficiency and improvement clause in the contract. See further
comments on standard clauses at CSO 3.
6
"Whole life costing": requires you to ensure that the whole potential cost of the contract is
taken into account.
Example: In letting an equipment supply contract, as well as the initial capital spend, you need
to consider the length of the asset’s useful life, the cost of ongoing maintenance, replacement
of parts and servicing and consumables, so that there is true cost to the Council of the
purchase being made. To buy a copier which initially costs £2,500 may be more expensive
than one that initially costs £4,500, if the cheap copier uses expensive paper and toner, needs
servicing every three months and is scrapped after 5 years, whilst the more expensive one
uses cheaper paper and toner, needs servicing only once every 2 years and lasts for 10 years.
7
"Cost savings": Each contract for purchase must set out the agreed price to be paid by
the Council to the contractor. The Council cannot then unilaterally reduce the price but
conditions relating to long term service improvement and efficiencies can be incorporated
into the contract documents.
There may be ways of structuring a purchasing exercise to save costs. This might be
through a joint purchasing exercise with other councils, or by re-examining the way a
service is provided.
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8
Effective contract monitoring is essential to achieve continuous improvement, especially
during the implementation of long-term contracts, particularly if the contractor is under a
duty to work with the Council to seek improvements in delivery and efficiency. It is usually
sensible to provide for annual reviews in the contract, which can then be tied in with, for
example, payments to reflect good performance and provisions allowing for inflation
increases.
Example: The Council needs to demonstrate to central government each year, its compliance
with the Local Government Equalities Standard. An obligation in the contract to ensure
ongoing compliance with Equalities legislation is of little value if the Council fails to review and
record the contractor’s compliance regularly.
9
If the Council knows that a contractor is not complying with contract requirements, then it
needs to address the matter promptly. If the Council has regularly raised and recorded
issues with a contractor, made formal requests for improvements, which are not delivered,
then there may be a clear basis for either an action for damages or termination.
CSO 1.3
10
Section 135 of the Local Government Act 1972 obliges councils to make standing orders for
contracts for the supply of goods and materials and the execution of works entered into by
the Council or on behalf of the Council. The Act requires that the standing orders must
include provisions for securing competition for such contracts and must also regulate the
way in which tenders are invited. The Act allows for exemptions from the obligation to
tender out below a specified threshold and where exemptions identified in the standing
orders apply.
CSO 1.4
11
This Purchasing Guide is the guide referred to in CSO 1.4. It provides broader guidelines
on the best way to purchase works, supplies (goods) and services.
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18
General Principles – Application and Compliance with Contract Standing Orders
18.1 These Contract Standing Orders apply to the purchase by or on behalf of the
Council of works, supplies (goods) and services.
18.2
These Contract Standing Orders apply to all contracts including all purchase orders,
concessions and contractual arrangements entered into by or on behalf of the
Council, except for the specific types of contracts and purchasing methods which
are listed in 2.3.
18.3
These Contract Standing Orders do not apply to:
18.3.1
Employment contracts
18.3.2
Contracts relating solely to the purchase or sale of interests in land
18.3.3
Contracts for retention of legal counsel and the appointment of expert
witnesses in legal proceedings
2.3.5. Service level agreements setting out the conditions which the Council applies to its
funding of particular voluntary sector bodies.
CS0 2.1
1
The CSOs apply to all purchasing activities by, undertaken by or on behalf of the Council.
The words “works”, “supplies” and “services” are the words used in the EU Rules to define
different types of contracts. Put simply, “works” cover construction, refurbishment and other
building related works. “Supplies” are all types of goods - from paperclips to photocopiers
and vehicles, and “services” cover the full range of services provided or purchased by the
Council in its day to day activities. Some contracts can be hybrid arrangements covering
works, supplies or services. If this is the case and you are not sure how to define a
particular arrangement, please take advice from Legal Services or from the consultant you
have employed to assist you with the tendering exercise.
CS0 2.2
2
Words and terms used to describe types of arrangements which are often contracts:
Do not be misled by the label for any particular arrangement. The CSOs apply to all
purchasing and contracts except where specific exemptions apply. A lot of purchasing is by
way of formal contracts. However, contracts can exist even when the word “contract” is not
used. So, for example
, "agreements", "purchase orders", "terms and conditions" and
equipment or vehicle
"leases" are nearly always a type of purchasing and so are contracts
which are subject to the CSOs. (Leases for land or property are not covered by these
CSOs – see comment on CSO 2.3.2). Sometimes a formal agreement may be preceded
by a "memorandum of understanding" or "heads of terms", but take care that such
preliminary documents do not themselves amount to a binding contract.
3
Contracts can also be created by words or actions and so it is possible to have a contract
without having anything in writing.
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Example: Be careful to ensure that a contract is not implied as a result of conversations which
you have with potential contractors or exchanges of correspondence (including e-mails) which
may be intended to be mere exchanges of views but which could amount to a formal contract.
If, for example, you invite quotes and receive a quote in response, you may create a legal
contract if you then ring the contractor and say that you are happy with that quote. A contractor
could then rely on the conversation to either oblige the Council to enter into a formal written
contract or to sue the Council in the event that the Council decides not to go ahead on that
basis, despite those assurances.
4
Concessions are a specific type of contractual arrangement under which, rather than
paying the contractor to deliver a work or service, the Council will grant the contractor the
right to exploit an opportunity and receive some or all of its income from third parties. A
good example is the operation of catering or leisure facilities where some or all of a
contractor’s income can come direct from paying members of the public.
5
The terms “
service level agreements” and “
grant” are particularly problematic and their
usage is inconsistent. Do not assume that a service level agreement or grant is not a
contract. The term “service level agreement” can be used to describe a specification or
technical requirements type document which sets out the level of service required under a
contract. It is also sometimes used to describe what is, in practice, a legally binding
contract. The same issues apply to arrangements classified as grants.
6
Partnering
arrangements: There have been considerable moves over the last few years
toward the concept of working “in partnership” with other public, voluntary and private
sector organisations. When the Council is entering into a partnering type arrangement, it
may need to follow a tendering process resulting in a formal contract. PLEASE TAKE
ADVICE.
7
Some “partnering” arrangements – particularly those with other public bodies such as the
NHS – are genuine partnering (as opposed to a legal partnership (see below)) involving, for
example, the pooling of resources to deliver services. Other arrangements are labelled as
partnering arrangements but are in reality, formal contractual arrangements. A common
example is the “partnering” approach used for construction contracts.
8
A formal legal “Partnership” has a specific legal meaning. A legal partnership will be
caught by statute and other rules. It is possible to create a legal partnership without
intending to do so and this can have significant consequences, as partners usually share
both profits and losses arising from the partnership. Great care must be taken when using
this term, to ensure that a legal partnership is not implied. Legal Services will have a
standard clause to deal with this.
9
Summary: Wherever an arrangement means that works, supplies and/or services will be
provided to the Council, or on behalf of the Council, in return for some sort of “payment”
(which could be a monetary payment but could also be something else of value to the
recipient), then you need to consider whether or not this is a type of contract and
purchasing process which is subject to the CSOs and other Regulatory Provisions listed in
CSO4.
10
The best approach to adopt is to assume that the CSOs will apply to all of the Council’s
purchasing activities with only very limited exceptions. You must take advice from Legal
Services if you are uncertain about whether or not the CSOs apply.
- 194 -
11
There are some specified types of contract to which the CSOs do not apply. These are
listed in CSO 2.3. These are excluded, because it generally does not make practical or
legal sense to require a full tendering process for these types of contract. However, these
arrangements are subject to other specific requirements.
CSO.2.3
12
CSO 2.3.1 Employment contracts: employment opportunities are usually advertised and
people are appointed to their posts as a result of a formal appointment process.
Employees enter into individual employment contracts with the Council.
13
However, contracts involving the purchase of services from individuals – such as
consultancy or advisory service contracts – are often not “employment contracts” for the
purposes of this exception and are likely to be subject to the CSOs. Similarly, contracts with
employment agencies for the provision of temporary staff will be caught by the CSOs.
14
CSO 2.3.2 Contracts relating solely to the transfer of interests in land (including
existing buildings) are generally not caught. This includes the purchase or disposal of land
by way of a freehold or lease. This will apply to most of the Council’s day to day
conveyancing and land transactions.
15
Take care over development type agreements, which may, for example, involve a
combination of a land transfer plus a developer providing a building for the Council. These
can be caught by the EU Rules as they can be classified as “works” contracts because of
the building element. This is a complex area of European law. You must seek advice from
Legal Services
16
CSO 2.3.3 Contracts for the retention of legal counsel and the appointment of expert
witnesses in legal proceedings: The Head of Legal and Democratic Services is
responsible for agreeing fees with and appointing legal counsel (barristers) to work on legal
issues and for the appointment of expert witnesses.
17
CSO 2.3.4 Service level agreements setting out the conditions which the Council
applies to its funding of particular voluntary sector bodies: in some limited
circumstances, funding arrangements for voluntary sector bodies may not be caught by the
CSOs. An example of the type of arrangement, which may fall within this exception, is low
value funding to a voluntary group in order to ensure the continued provision of a critical
local service.
18
Take care because some funding arrangements may, in reality, be more like a contract
than a simple funding arrangement. The Council must ensure that it obtains appropriate
value in respect of all funding and that it is not contravening State Aid, EU Rules or EC
Treaty Principles. You need to look carefully at each funding arrangement and consider
whether it could be delivered better as a result of a competitive process. A Service Level
Agreement is unlikely to be an appropriate method for large scale and/or long term funding.
- 195 -
3
General Principles Applying to All Contracts
3.1
There should be written evidence of all purchases.
3.2
Standard contract clauses should be used in all contracts of a value of £10,000 or
more. The standard contract clauses are issued by Legal Services and can be
found on the intranet.
3.3
As a minimum, all contracts of a value of £10,000 or more shall include clauses
which set out:
3.3.1
The works, supplies (goods), services, material, matters or things to be
carried out or supplied
3.3.2
The time within which the contract is to be performed
3.3.3
Quality requirements and/or standards which must be met
3.3.4
Requirements on the contractor to hold and maintain appropriate
insurance
3.3.5
What happens in the event that the contractor fails to comply with its
contractual obligations (in whole or in part)
3.3.6
Requirements on the contractor to comply with all relevant equalities and
health and safety legislation
3.3.7
That the Council shall be entitled to cancel the contract and recover losses
in the event that the contractor does anything improper to influence the
Council to give the contractor any contract or commits an offence under
the Prevention of Corruption Acts 1889 to 1916 or s117(2) Local
Government Act 1972.
3.4
Written contracts shall not include non commercial terms unless these are
necessary to achieve best value for the Council. In this context, “non commercial”
means requirements unrelated to the actual performance of the contract.
3.5 All contracts shall include relevant specifications and/or briefs/technical
requirements which are prepared taking into account the need for effectiveness of
delivery, quality, sustainability and efficiency (as appropriate) and the information
set out in the Council’s Purchasing Guide.
3.6
All contracts of a value of £10,000 or more or which involve a substantial risk to the
Council must be subject to a written risk assessment, which should be kept on the
contract file.
CSO 3.1
1
Because the Council may need to enforce the terms of an agreement, it is important that
the terms of the agreement are clearly recorded, and confirmed by the other party.
Accordingly, any contract will be in writing. “In writing” does not have to be a formal or
lengthy paper contract. It can be a paper contract, signed by both sides, but it can equally
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be in the form of ordinary correspondence, including emails or faxes rather than hard paper
letters, in which one side sets out its requirements and the other side agrees to comply with
them.
2
A contract in writing can also be created by using the Council’s own standard terms and
conditions, plus an order form, electronic purchasing where pre-terms and conditions have
been pre-agreed or, for example, where a Purchasing Scheme is used so that the terms
and conditions have been agreed centrally, (see commentary on CSO 15).
3
Please note that if the Council does not make it clear that its own terms and conditions,
order forms or contracts apply, then the contractor’s terms and conditions may apply to the
purchase. This may not be in the Council’s best interests.
Example: The Responsible Officer emails a contractor asking them to quote to provide some
new software. The software contractor sends its quote back to the Council by post. On the back
of the quote are the contractor's own legal terms and conditions. The Responsible Officer
accepts the quote, over the telephone and confirms the order by e-mail. A contract has been
created in writing. Unless both of the emails from the Responsible Officer made it clear that the
Council's terms and conditions apply and the contractor has seen those terms and conditions, it
is likely that the contractor's own terms and conditions will apply to that transaction.
CSO 3.2
4
To protect the Council’s interests, this CSO requires you to use certain standard contract
clauses in all contracts over the specified value. This means that risks are allocated
appropriately and that the Council has a remedy in the event of breach of contract.
CSO 3.3
5
This CSO does not set out the actual clauses to be used, but points to the issues which you
need to cover in contracts above the specified value (if a value is specified, or if no value is
specified, to all contracts). You need to consider the value and complexity of the contract
and any potential risks associated with that contract to decide what form of contract and
level of detail is appropriate.
6
CSO 3.3.1: This requires you to describe clearly in the contract what is being purchased.
The description may cross refer to a more detailed description of the works, supplies or
services which could, for example, be attached to the contract by way of an appendix or
schedule. If you do not clearly specify what is being purchased, then there is a lot of
potential for dispute with contractors about the extent of their obligations to the Council.
7
CSO 3.3.2: Be clear about when and for how long the contract is to apply. For example,
with the delivery of equipment it would be important to ensure that there is a clause stating
when equipment will be delivered and installed. For longer term contracts, you need to be
clear about when the obligation to deliver starts and ends.
8
CSO 3.3.3: Be clear about what level of quality and standards are required. Think about
minimum standards required. This should involve discussion with those who are
responsible for the purchase.
9
CSO 3.3.4: All contractors should hold some form of insurance to cover their business
liabilities. There are different types of insurance which will apply to different types of
purchase. Ensure that there is a clause in the contract stating what type and level of
insurance is required. This will link directly to what is being purchased and also the size
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and nature of the contract. For a very high value contract, higher levels of insurance may
be required than for smaller purchases. However, think about the impact of the failure of
the contract. A small purchase could have a large impact on the Council and so insurance
requirements may well be higher. If you are uncertain about insurance requirements, then
please discuss this with the Risk management Officer, Andy Rush, on 2345.
10
The Responsible Officer should ask for evidence of cover before the start of the
contract and during the term of the contract.
Example: The Council may require a contractor providing a relatively low value contract for the
provision of cooked meals direct to users to have higher levels of third party liability insurance than
a contractor providing pencils to the Council. This is because the consequences of a faulty product
being supplied are likely to be far more significant in a contract involving meals than pencils.
11
CSO 3.3.5: The contract must explain what happens if there is a failure to meet the
Council's requirements under the contract. It is common to have provisions for both a
partial failure and a total failure. The implications will vary according to what is being
purchased and the nature of those failures. A contract may, for example, just require the
contractor to remedy a failure within a specific time period. If the contractor remedies the
failure to the Council’s satisfaction, then that may be the only consequence. Failure to
remedy to the Council’s satisfaction may result in more serious consequences, such as the
right to terminate the contract partially or wholly. Think about the practical consequences of
failure and the Council’s interest in terms of failures and their consequences. In the context
of building contracts it is quite common to retain a percentage of the total contract value
pending final sign off and approval of the works so that the Council has some real leverage
in the event that the work is not delivered to the required standard.
12
CSO 3.3.6: Contractors will be subject to their own statutory obligations to comply with both
equalities and health & safety legislation. However, the Council may require additional
compliance in order to reflect its own statutory obligations, or to pick up specific standards
and compliance linked to the subject matter of the contract.
13
CSO 3.3.7: This is a standard provision entitling the Council to cancel a contract and to
recover losses in the event that the contractor is guilty of an offence, such as bribery or
corruption or tries to improperly influence a decision.
CSO 3.4
14
Ensure that the terms used in the contract are relevant to that contract. Do not include
provisions in contracts, which do not relate to the subject matter of the contract. Check the
proposed terms and ensure that they are relevant. For example, detailed clauses for
circumstances where equipment goes wrong may not be relevant to a contract for training
services.
CSO 3.5
15
Good quality specifications and/or technical requirements are critical for letting and
monitoring a successful contract. A contract which only includes legal terms but does not,
clearly describe, what standards are required is of little practical value. Identify these
requirements at the start of the purchasing process, so that the standards are clearly
described when quotations or tenders are invited for inclusion in the contract and ongoing
contract monitoring arrangements.
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16
Specifications and/or technical requirements need to be "proportionate". This means that
for a very simple purchase, the specification could be very simple. For more complex
purchases, the specification may go into quite a lot of detail. For purchases which are
technically demanding, you must address detailed technical and standards compliance.
These documents need to be prepared jointly with officers having specialist knowledge of
the purchase who need to be involved as early as possible in the purchasing process.
CSO 3.6
Even low value contracts may have a significant impact if they go wrong, so it is important to adopt
a risk analysis type approach. This is set out in the risk matrix included as "Attachment 1" at the
end of this Purchasing Guide.
Example 1: A low value contract for photography services may look initially like a simple
arrangement which does not require detailed contract provisions. However, in some
circumstances, such a contract may need to include provisions covering the confidentiality of
individuals, protection of children and copyright issues and so a fuller form of contract may be
appropriate.
Example 2. A contract to set up one stage of a nationally important racing competition event in a
town or city may ostensibly be of low financial value, but the difficulties arising from partnership
working, reputation risks and even adverse weather, could result in major losses for the Council.
The need for careful risk management in the drafting of the contract is correspondingly important.
4 Regulatory
Context
4.1
All purchasing shall be conducted in accordance with Regulatory Provisions which
are:
4.1.1
All relevant statutory provisions
4.1.2
The relevant EU Rules and EC Treaty Principles, which are defined in the
Council’s Purchasing Guide
4.1.3
The Council’s Constitution including these Contract Standing Orders, the
Council’s Financial Procedure Rules and Scheme of Delegation
4.1.4
The Council’s Purchasing Guide and other policies and procedures of the
Council as appropriate.
4.2
In the event of conflict between the above, the EU Rules will take precedence,
followed by UK legislation, then the Council's Constitution, the Council’s Purchasing
Guide and guidelines, policies and procedures.
CSO 4.1
1
This CSO requires purchasing to be conducted in accordance with "Regulatory Provisions".
Regulatory provisions are defined in 4.1.1 to 4.1.4 and cover EU and UK law, as well as the
Council’s own constitution and this Purchasing Guide. This means that when undertaking
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purchasing, you need to take into account a wide range of both legally binding provisions
and also internal rules and guidance.
2
CSO 4.1.1: The statutory provisions applying to purchasing will vary according to the
purchase being made. Key provisions include Section 17 of the Local Government Act
1988 which prohibits the application of non commercial considerations to the tender
process and in particular the selection of contractors, except insofar as is necessary to
secure the achievement of best value. In that context, non commercial considerations
include, for example, the contractor’s terms and conditions of employment, business
activities and interests of contractors in the Government’s defence or foreign policy and the
conduct of contractors in industrial disputes. Please ask for advice on non commercial
considerations for any tendered contract
3
CSO 4.1.2: The term “EU Rules” in the context of these CSOs means the Public Contracts
Regulations 2006 (Statutory Instrument 2006/5) (also referred to as the “Regulations")
which implement European Directives 2004/18/EC and 89/665/EEC. The EU Rules will
affect you if you are making purchases which exceed the EU Threshold Values set out in
CSO 7.4. You MUST seek assistance in these cases.
In certain, limited, circumstances the Council may be classified as acting in the capacity of
a “utility”. This could occur where the Council is delivering or running certain types of water,
energy, transport or telecoms services. Practical examples may include the running of an
airport or operation of a tramway or the production of drinking water or, in certain
circumstances, undertaking land drainage works. In this case the Utilities Contracts
Regulations 2006 (Statutory Instrument 2006/6) which implements European Directives
2004/17/EC and 92/13/EC apply. These CSOs do not cover the rules applying to activities
caught by the Utilities Regulations. If you are uncertain about the application of these
provisions you must take advice from Legal Services.
4
The reference to “EC Treaty Principles” mean those principles derived from the EC Treaty
1957 which apply to all purchasing by the Council. These EC Treaty Principles require the
Council to ensure that it acts in a way that is open and transparent, ensures equal
treatment of all contractors, and permits appropriate competition.
Example: When you invite quotes or tenders, do not act in a way that favours local contractors
over contractors from elsewhere in the European Union. All contractors must have the same
opportunities and receive the same treatment.
5
The EU Rules do not apply to all contracts, but they do apply to most contracts above the
specified EU Threshold financial values which are set out in CSO 7.5. For purchases
caught by the EU Rules or where you are uncertain whether or not the EU Rules apply you
must take advice from Legal Services.
6
CSO 4.1.3: You need to understand how the Council’s Constitution, Financial Procedure
Rules and Scheme of Delegation, as they apply to purchasing, interact with these CSOs.
CSO 4.2
7
If there is a conflict between the different sets of Regulatory Provisions, then there is a
"hierarchy" application. EU Rules will always take precedence. Where UK legislation
seems to conflict with EU Rules their interpretation will apply rather than the UK legislation.
If you are uncertain about these issues then you must contact Legal Services.
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5
Responsibilities of Directors, Heads of Service and Responsible Officers
5.1
Each Director shall have overall responsibility for the purchasing undertaken by
his/her Directorate.
5.2
Each Head of Service shall be responsible for the purchasing undertaken by his/ her
Service and shall
5.2.1
be accountable to the executive for the performance of his/her duties in
relation to purchasing
5.2.2
comply with the Council’s decision-making processes including, where
appropriate, implementing and operating a Scheme of Delegation
5.2.3
appoint a Responsible Officer in writing who shall be an authorised
signatory
5.2.4
take immediate action in the event of breach of these Contract Standing
Orders.
5.3
A Responsible Officer is an officer with responsibility for conducting purchasing
processes for the purchase of works, supplies (goods) or services on behalf of the
Council
5.4
A Responsible Officer’s duties in respect of purchasing are to ensure:
5.4.1
compliance with all Regulatory Provisions and integrity of the tender
process
5.4.2
compliance with the relevant statutory provisions and the Council’s
requirements relating to declarations of interest affecting any purchasing
process
5.4.3
that there is an appropriate analysis of the requirement, timescales,
procedure and documentation to be used
5.4.4
the purchasing process, from planning to delivery incorporates (where
appropriate) principles of sustainability, efficiency, whole life costings and
cost savings
5.4.5
compliance with the Council's decision-making processes
5.4.6
ensuring that all contracts of a value of £75,000 or more are included on
the Council’s Contract Register
5.4.7
making sure that that proper records of all contract award procedure,
waivers/exemptions and extensions are maintained, with separate files for
each purchase of a value of £75,000 or more
5.4.8
that value for money is achieved
5.4.9
that adequate and appropriate security (such as a bond or guarantee) is
taken
to protect the Council in the event of non-performance.
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5.4
In considering how best to procure works, supplies and services Directors, Heads
of Service and/or Responsible Officers (as appropriate in the context) shall take
into account wider contractual delivery opportunities and purchasing methods
including the use of Purchasing Schemes and e-procurement/purchasing methods,
and the availability of local authority charging and trading powers under the Local
Government Act 2003.
5.5
It is a disciplinary offence to fail to comply with these Contract Standing Orders
and the Council’s Purchasing Guide. All employees have a duty to report
breaches of Contract Standing Orders to the Audit and Exchequer Manager or the
Head of Legal and Democratic Services.
5.6
Any officer or Member who suspects any misconduct or corruption in relation to the
purchase by or on behalf of the Council of works, supplies (goods) and services
must immediately report that suspicion to the Council’s Monitoring Officer and
Audit and Exchequer Manager.
CSO 5
1
The Director has overall responsibility for the purchasing processes undertaken by, or on
behalf of his or her Directorate. The Head of Service is responsible for ensuring
compliance as set out in CSO 5.2.
2
CSO
5.1.3: Scheme of Delegation (please refer to the Council’s Constitution on the
Intranet)
3
CSO
5.1.5: Upon becoming aware of a breach of regulatory provisions (including the
contract standing orders) a Head of Service must take immediate action. A failure to take
immediate action may result in a purchasing process continuing in breach of the Regulatory
Provisions, explained in CSO 4. This could have unwelcome practical, financial and legal
consequences for the Council.
If an officer or Member becomes aware of a breach, or a suspected breach, of the Council’s
contract standing orders then he or she must report the matter immediately to the head of
Corporate Services or the Head of Legal and Democratic Services to ensure that
appropriate steps are taken to address the breach or potential breach.
CSO 5.2
4
The Responsible Officer is appointed by the Director. The Responsible Officer’s duties are
set out in
CSO 5.3.
CSO 5.3
5
CSO 5.3.1: The Regulatory Provisions are explained at CSO 4. In addition to the specific
Regulatory Provisions, Heads of Service must ensure that the tender process is conducted
in a way which complies with all the requirements of the Contract Standing Orders and in a
manner which is open and transparent and ensures equality of treatment and opportunity to
all participants.
6
CSO 5.3.2: Due attention must be made to the requirements in respect of declarations of
interests, affecting both Members and officers in respect of purchasing. In the case of
Members, the requirements of the Code of Conduct would include:
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•
Registering any contracts which they or companies with which they are associated
have with the Council for goods, services or works;
•
Declaring any personal interest which they may have in any contract which is under
consideration, and to withdraw from consideration of any contract in which they have
a prejudicial interest;
•
Not using their position as a Member improperly to seek to confer an advantage or
disadvantage on any person or to compromise or seek to compromise the impartiality
of any officer;
•
Only authorising the use of Council resources, to act in accordance with the Council’s
requirements;
•
Preventing Members from corruptly soliciting or accepting any gift or advantage for
doing or forbearing to do anything as a Member.
In the case of officers, such requirements would include:
•
To disclose to the Council any interest which they may have in any contract which the
Council has entered or proposes to enter into under Section 117 of the Local
Government Act 1972;
•
To act in the best interests of the Council and not to participate in any matter in which
they have a private interest in accordance with their contracts of employment;
•
Preventing officers from corruptly soliciting or accepting any gift or advantage for
doing or forbearing to do anything as an officer of the Council.
7
CSO
5.3.3: The purchasing process must be planned properly so that timescales are
reasonable, all those involved know and understand what procedure and documents are to
be used and the levels of resource and timescales are understood. A failure to analyse and
provide for these requirements can result in poor procurement practice and a failure to
deliver purchasing to meet the Council’s requirements.
Example: Purchases may require approval at a Directorate, Executive or full Council level. This
approval may require the provision of documentation in advance of that consideration and so this
needs to be factored into the overall procurement timescale and project planning.
8
CSO 5.3.4: See comment on CSO 1.2.
9
CSO 5.3.5: The Council’s decision making processes must be factored into the overall
planning.
10
CSO 5.3.6: The Council’s contracts register should include all details of the contracts let to
ensure that the name of the contractor, the delivery period, the price and a brief description
of the supply service or works, including, in all cases, the CPV code (European Common
Procurement Vocabulary) for the contract.
The contracts register ensures that the Council has clear records of contracts awarded and
that no particular contractor has been unfairly treated or favoured. Some councils are now
using on line tendering systems, which include contract register systems and information
which is then made publicly available. This helps to demonstrate transparency in
purchasing processes.
11
CSO 5.3.7: Proper records of contracts and award procedures must be maintained. This
does not necessarily require a very detailed explanation, but it does require records to be
maintained in writing and to be easily retrievable should they need to be consulted. The
Council’s records/data retention schedule sets out how long each record should be kept.
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12
CSO 5.3.8: Value for money is a balance of quality, price and delivery and does not mean
that the contract will necessarily be awarded on the basis of the lowest cost to the Council.
Heads of Service and Responsible Officers should note the requirement for “active”
contract monitoring. It is only by active and ongoing participation in contract monitoring that
the Council can ensure that contracts continue to represent good value and meet the
Council’s requirements. This can help drive through efficiency savings and improvements,
and ensure that poor contract performance can be addressed promptly.
13
CSO 5.3.9: Contract provisions should include arrangements for mechanisms to be
employed in the event of poor performance (see commentary at CSO 3.3).
14
In addition to contract provisions, it may also be appropriate (depending upon the nature of
the purchase), to include requirements such as provision of a parent company guarantee or
some form of bond. The appropriate levels of "security" documents will depend upon the
purchase being made and also the financial standing of the contractor. Advice should be
sought from the Council’s Risk Management Officer when considering additional forms of
security, such as bonds or guarantees.
Example: if the Council is concerned about the ability of a contractor to honour its obligations in
the event of poor performance and that contractor is a company falling within a larger company
structure, then it may be appropriate to seek a form of parent company guarantee from the
parent company. Similarly, in large services or works contracts, it is quite common to have
some form of bond which provides a direct payment to the Council, in the event of failure to
deliver to the contract standard.
CSO 5.4
15
Directors, Heads of Service and Responsible Officers (as appropriate) need to think
carefully about the best way in which purchases are made. For example, in some
circumstances it may make sense to use one of the Purchasing Schemes, identified in CSO
15. It may also prove better value for money to use e-Procurement or other e-purchasing
methods.
16
Carry out sufficient analysis and understanding of the market to enable the Council to best
select the potential contractors. For certain types of contract, (for example high value
and/or long term), it may be appropriate to undertake market research and pre-purchasing
enquiries to establish who may be best placed to deliver the requirements and which route
will best meet the Council’s needs. Market sounding or pre purchasing enquiries must not
result in the Council favouring a particular supplier in breach of the EU Rules or EC Treaty
Principles.
CSO 5.5
17
It may be a disciplinary offence for any officer to fail to comply with the CSOs and the
Council’s Purchasing Guide. All employees have a personal obligation under the CSOs to
report breaches of Contract Standing Orders. Failure to report a breach may also amount
to a disciplinary offence. Equally, any failure by a Member to comply with the CSOs and
the Council's Purchasing Guide may amount to a breach of the Code of Conduct for
Members.
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CSO 5.6
18.
Failure by an officer or a Member to report any suspected breach of the CSOs, or any
suspected corruption can itself amount to a disciplinary offence for an officer, or a failure to
comply with the Code of Conduct for Members.
6
Scheme of Delegation
6.1 Council purchasing may only be undertaken by officers with the appropriate
delegated authority to carry out such tasks as set out in the Council's Scheme of
Delegation. Officers with delegated authority may only delegate to other officers
who have the appropriate skills and knowledge for the task and such delegation
shall be recorded in writing by the officer delegating the task and notified to the
relevant Head of Service.
6.2
Each Head of Service shall inform officers, where appropriate, of the extent of any
delegated authority and applicable financial thresholds.
CSO 6.1
1
Officers who make purchases may only carry out tasks that are properly delegated to them.
If you act in good faith and within the powers delegated to you, any consequential liability
accrues to the Council as your employer and not to you as an individual. But if you act
outside the powers that have been delegated to you, you act as an individual, not as agent
for the Council, and the Council is not necessarily bound by your actions. You can then
incur personal liability to the Council and to the contractor for any loss which they may
suffer.
2
The Council’s Scheme of Delegation is in the Constitution on the intranet.
7
Financial Thresholds and Procedures
7.1 The table below sets out the general rules applying to the choice of purchasing
procedure for contracts at the stated threshold values.
7.2 There is a general presumption in favour of competition. Wherever possible,
contract opportunities should be advertised by way of a public notice. The Council
must consider the potential effect of a contract on interstate trade (at a European
level). If a contract may be of interest to contractors from other member states then
this may result in a need to advertise in a manner which ensures that potential
contractors from other member states are aware of the opportunity, even for small
value contracts or contracts under the EU Threshold levels outlined below.
7.3
The public notice referred to at 7.2 may take the form of a notice or advertisement in
an electronic or paper format, on an easily accessible website or other electronic
media and/or in the press, trade journals or Official Journal of the European Union
(“OJ”) (as appropriate). The Responsible Officer may choose to place one or more
public notices in different media.
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7.4
Table setting out financial thresholds and procedures
Total value
Type of contract
Procedure to be used
£
1,000 to 10, 000
works, supplies and services
At least one quote in advance
10,000 to 74,999
works, supplies and services
At least three written quotes in advance
75,000 to 139,893**
works, supplies and services
At least three written tenders in advance,
following advertisement by public notice
139,893** plus
supplies and services
EU Rules apply – full competitive process
following advertisement in the OJ for supplies
**EU Threshold for
and Part A* services.
supplies and
For Part B* services reduced requirements
services
apply under the EU Rules but there is a
presumption in favour of advertising and a
competitive process
139,893 to
works
Full competitive process with tenders following
3,479,313**
advertisement by public notice
3,479,313**
works
EU Rules apply – full competitive process with
tenders following OJ advertisement
**EU Threshold for
works
* For the purposes of the EU Rules services are divided into two types and the EU Rules apply to a different degree. Responsible
Officers should act cautiously and seek advice when considering the procedure to be used and application of the EU Rules to services
contracts
** or relevant threshold in force at the time under the EU Rules
7.5
Where contracts are of a type and value which means that they are subject to the
EU Rules then there are four main types of EU procedures available. These are the
open, restricted, competitive dialogue and competitive negotiated procedures. Care
must be taken to ensure that the correct and most appropriate procedure is used
and assistance on the choice and use of EU procedure should be sought from Legal
Services or a specialist consultant.
CSO 7.1
1
The table at CSO 7.4 sets out a number of thresholds and the purchasing procedures to be
used at each of the threshold levels specified. The Council needs to ensure there is
appropriate competition for it’s purchasing, both to comply with statutory requirements, but
also in order to demonstrate that it is achieving best value. The table identifies different
thresholds because it is also important to ensure that the process undertaken is
proportionate to the purchase. Thus, for example, it may be inappropriate to run a more
complex tender process of the type provided for by the EU Rules for a small scale, low
value purchase.
2
As is noted in CSO 7.2, there is a general presumption in favour of competition and so
wherever possible, contract opportunities should be advertised by way of some form of
public notice. It should be noted that EC Treaty Principles mean that even if a contract is
relatively small, if it is of potential interest to contractors from other member states (and this
is possible in most situations), then the Council must consider advertising in a manner
which ensures that potential contractors from other member states are aware of the
opportunity and have a chance to apply to deliver these services. This requirement may be
satisfied, for example, by advertising on a website, (either the Council’s own website or, for
example, the south east business portal) which ensures that contractors from other
member states have a chance to search for and so be aware of contract opportunities
offered by the Council.
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3
The EU Threshold levels set out in 7.4 are fixed for 2 year periods. The current levels of
£139,893 for supplies and services contracts and £3,497,313 for works contracts will apply
until 31 December 2007. The EU Thresholds will then be recalculated by reference to
exchange rates at that date and new EU Threshold levels will apply with effect from 1
January 2008 for the following 2 years (and so on).
CSO 7.2
4
Whilst there is a general presumption in favour of competition, there will be some
circumstances where a competition will not be undertaken for a new contract. These are
outlined in CSO 13. All of those involved in the purchasing process must bear in mind that
these are genuinely exceptional circumstances and so where a competitive process is not
used, then this needs to be clearly evidenced and appropriate approvals obtained in
advance.
CSO 7.3
5
Public notices for quotes or tenders can take a number of different formats, but the general
principle is that they should be easily accessible and easily understood. Whilst paper
format, for example an advert in the press or trade journals, may be appropriate,
increasingly it is important to ensure that opportunities are made available electronically on
an easily accessible website, or other electronic media.
6
If an advertisement is to be placed in the Official Journal of the European Union (OJ), then
that requires a standard format to be adopted and submitted electronically. If an OJ
advertisement is being used, then an advertisement may not be placed for the same
contract in any other media until the advertisement has been dispatched to the OJ.
CSO 7.4
7
As explained above, the procedures to be used tie in with the estimated value of the
contract.
For contracts under £10,000 it is normally appropriate to award a contract
following receipt of just a written quote. For purchasing at this level, it is quite likely that
one of the Purchasing Schemes referred to in CSO 15 may be more appropriate and
deliver better overall value to the Council. The Council’s basic requirements and principles
as outlined in CSO 1 must be complied with, so that even when only a single quote is
sought, resources are used efficiently and principles of sustainability, efficiency, whole life
costings and costs savings are incorporated, where appropriate, into the process.
8
For contracts up to £75,000, it is acceptable to undertake a process involving obtaining
quotes, rather than formal written tenders, but serious consideration should be given to the
requirement for a public advertisement (see commentary on CSO 7.1).
9
For a contract in excess of £75,000, you are required to ensure that written tenders are
provided in advance, following an advertisement by way of public notice. Written tenders
will usually be submitted by contractors in response to an invitation to tender, issued by the
Council. Written invitations to tender will generally include relevant specifications and briefs
of the technical requirements, the contract terms to be used and instructions on the conduct
of the procurement process itself, including timescales for responses.
10
For contracts of a type and value caught by the EU Rules, much more detailed provisions
apply. The EU Threshold for supplies and services contracts and for works contracts differ
significantly. The supplies and services threshold is much lower than the threshold for
works contracts.
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11
Under the EU Rules there are two types of service contracts. Part A contracts are listed in
Schedule 3, Part A of the Regulations. For these type of contracts,
all of the EU Rules will
apply if the contract value is over the threshold. This includes the obligation to advertise in
the OJ, follow the detailed EU Rules relating to selection and evaluation processes
including the requirement to publish the award criteria and weightings in advance, as well
as the requirement to comply with statutory timescales.
12
Part B services are listed in Schedule 3, Part B of the Regulations. For these types of
contracts, there is no obligation to advertise in the OJ or to follow most of the detailed EU
Rules, but there is a presumption in favour of advertising and a competitive process. There
are also obligations under the EU Rules to ensure that specifications and technical
requirements are defined in a non discriminatory way and to publish an advertisement in
the OJ, once the contract has been awarded. Please seek advice from Legal
Serviceswhen dealing with any contract which may, or does, fall within the EU Rules
including service contracts for Part B services.
13
Contracts often involve a mix of works, supplies and services i.e. hybrid contracts. Where
the contract is a mixed contract and is of a value which means that it may fall within the EU
Rules, then great care needs to be taken in calculating the potential value of the contract to
establish whether or not the EU Rules apply. (See notes on calculating the contract value
at CSO 9). If you are in any doubt as to whether or not the EU Rules apply, then seek
advice from Legal Services
CSO 7.6
14
There are four main types of competitive procedures available for contracts which are
caught by the EU Rules. These all involve advertising in the OJ. The open and restricted
procedures are the procedures which the Council will generally use for all purchasing which
is caught by the EU Rules.
15
Open Procedure: This involves accepting applications and tenders from all interested
parties. Full contract and specification documents are issued to all applicants and there is
no opportunity to negotiate.
16
Restricted
Procedure:
This procedure allows the Council to restrict the number of
applicants (tenderers) to whom it issues an invitation to tender. The Council is permitted to
shortlist applicants responding to the OJ advertisement using specified short-listing criteria.
The Council can then issue an invitation to tender to the shortlisted tenderers. The
invitation to tender will include the full contract specification and technical requirements, as
well as the contract terms. The Council is not permitted to negotiate with the tenderers.
17
Competitive Dialogue and Competitive Negotiated Procedures: In exceptional
circumstances, the Council may use the competitive dialogue, or competitive negotiated
procedures. These procedures are only appropriate in the context of complex projects*. In
practice, the competitive negotiated procedure will rarely be available for the Council to
use. A decision to use a competitive dialogue or competitive negotiated procedure can only
be taken after consultation with Legal Services and following approval from the relevant
Head of Service.
*The Regulations do not state whether the competitive dialogue procedure or the
competitive negotiated procedure should be used of preference. However, the competitive
dialogue procedure has been introduced to provide a clearly structured process for use in
the context of complex projects. One of the main reasons for its introduction was to
address major concerns at a European level relating to the over use of the competitive
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negotiated procedure – which was only intended for use in genuinely exceptional
circumstances. There was a particular reservation about the extent to which authorities
were negotiating with a single bidder towards the end of the procurement process. This
was regarded as potentially anti competitive. These concerns led to the introduction of the
competitive dialogue, which provides for structured negotiations with bidders but little room
for further discussion once final tenders are submitted.
Both the European Commission and the UK's Office of Government Commerce have made
it clear in their notes/guidance on use of the competitive dialogue that it should be used in
preference to the competitive negotiated procedure. The OGC has indicated that the
competitive negotiated procedure may only be used in truly exceptional circumstances and
has provided the development of the London Underground as an example. Competitive
dialogue is now being used as the standard procedure in most PFI, PPP and complex
outsourcing projects.
The circumstances where a contracting authority can use the competitive negotiated
procedure without prior publication of a contract notice was clarified in January 2008. The
Regulations now allow use of this procedure, where a competitive dialogue has been
discontinued, because none of the bids received is compliant or satisfactory following
evaluation.
18
PIN: The Council has the option to file a PIN (Prior Information Notice) and if it does so
then in certain circumstances it may reduce some of the statutory timescales under the
Rules.
In respect of supplies and services contracts, a PIN should be published as soon as
possible after the commencement of each financial year. The PIN should contain details of
supply and services contracts for which the Council expects to seek tenders during the
forthcoming 12 months.
For works contracts, a PIN should be issued as soon as possible after the decision
approving the planning of a work or works which exceeds the relevant threshold.
If the Council does decide to publish a PIN then the standard PIN form should be used.
Standard forms are accessible through the European Commission's website:
http://simap.eu.int/ or http://www.bipsolutions.com/html/ecdirectives.htm
8
Financial Thresholds and Processes Applying to Approval and Execution of
Contracts
8.1
For contracts over the relevant EU Threshold (in force at the time), the choice of
purchasing procedure to be used and the decision to proceed to advertisement
must be authorised in writing by the relevant Director and Head of Legal and
Democratic Services in advance.
8.2
When a decision is made to award a contract then the Responsible Officer must,
in addition to complying with his/her general obligations under these Contract
Standing Orders ensure, in particular, that:
8.2.1
the appropriate approvals have been obtained to authorise that decision;
and
8.2.3
where appropriate, a standstill period complying with the EU Rules is
incorporated into the final award process.
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8.3
Any contracts valued at £75,000 or above shall be executed as a deed. Officers
with appropriate delegated authority may sign all other contracts. £10,000 shall
be the threshold for the purposes of Regulation 8 of the Local Authority
(Executive Arrangements) (Modification of Enactments and Further Provisions)
(England) Order 2001.
8.4
Electronic signatures may be used in accordance with the Electronic Signature
Regulations 2002 provided the Head of ICT and Central Services and the Head
of Legal and Democratic Services have approved the sufficiency of the security
arrangements.
CSO 8.2.2 1
Where contracts are subject to the specific requirement under the EU Rules to advertise in
the OJ, then Regulation 30 requires the Council to include a standstill period once it has
decided on a successful contractor. The Council is required to write to all of the candidates
and tenderers in the process notifying them of its decision and including specified
information. The Council may enter into the contract with the successful contractor, only
after a period of 10 days has passed and only then, if there has been no formal challenge
of the Council’s award decision. The provisions of Regulation 30 are quite complex.
Correspondence with the candidates and tenderers and timescales must comply with the
Regulations. You MUST take advice from Legal Services on this point.
CSO 8.3
2
Where a local authority contract is at or above the threshold value of £10,000 but below
£75,000, the contract must be signed by two persons on behalf of the Council, at least one
of whom must be an officer, or the contract can be under seal. This means that a Member
cannot enter a major contract on behalf of the Council without the countersignature of an
officer.
These CSOs require that all contracts at or over the specified threshold value of £75,000
will be under seal, and that the seal must be witnessed by or on behalf of the Head of Legal
and Democratic Services. For ceremonial purposes, the seal can also be countersigned by
a Member of the Council in addition to the signature of the Head of Legal and Democratic
Services, if that is felt appropriate.
CSO 8.4
3
Helpful guidance on the Electronic Signature Regulations is available at www.dti.gov.uk
9
Calculating the Contract Value
9.1
The starting point for calculating the contract value for the purposes of these
Contract Standing Orders is that the contract value shall be the genuine pre-
estimate of the value of the entire contract excluding Value Added Tax. This
includes all payments to be made, or potentially to be made, under the entirety of
the contract and for the whole of the predicted contract period (including proposed
extensions and options).
9.2
There shall be no artificial splitting of a contract to avoid the application of the
provisions of the EU Rules and/or these Contract Standing Orders.
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9.3
The EU Rules can cover contracts which are below the stated EU threshold where
they constitute repeat purchases and/or purchases of a similar type in a specified
period. Responsible Officers should therefore seek advice on the application of the
EU Rules where they envisage that they may require to make such purchases.
CSO 9.1
1
The estimated contract value is the entire contract value. In practice, this means you need
to take into account all of the actual, or potential, payments to be made under the contract,
during the whole life of the contract.
Examples: For the purchase of equipment you should take into account the actual and likely costs
of:
• The initial purchase (including cost of purchase if it is funded by way of a lease);
• Installation;
• Servicing for the entire contract period;
• Training and other support for the entire contract period; and
• Consumables for the entire contract period.
For the carrying out of cleaning services you should take into account the actual and likely costs of:
• The annual cost of providing the service multiplied by the number of years of the
contract INCLUDING possible extensions allowed for in the contract;
• Possible inflation uplifts during the contract period.
2
You must take into account the entire contract period. If the contract is for an initial period
of, for example, 3 years but there is an option to extend for a further 2 years, then the value
of the contract should be the total potential 5 year period and not just the initial 3 year
period. Similarly, if the contract relates to an initial purchase but there are options to make
additional purchases in the future, then the total potential value, including the value of
potential additional purchases, must be taken into account, in calculating the value of the
contract.
3
You should also take into account, using your best genuine estimates, the impact of any
inflation value or uplift on the contract. Thus, for example, if the contract allows for a 3%
increase each year and the contract is for up to a 5-year period, then you need to allow for
the total value of the contract, including the likely inflation provisions.
4
Where there is uncertainty surrounding the potential total contract value, for example, the
inflation provisions have not been finally agreed or there are a number of options, then you
need to use your best estimate and act cautiously and assume that the higher potential
value will apply.
CSO 9.2
5
It is very important to ensure there is no artificial splitting of a contract to avoid either the
application of the EU Rules, or the CSOs. Whilst there may be genuine reasons why the
Council’s requirements may be split into various contracts, under the EU Rules there are
specific provisions which prevent this being done with the intention of avoiding those EU
Rules. In this context, it is also important to understand that if the Council requires repeat
purchases of same or similar items, services or works, then you may have to take into
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account all of those potential requirements for all Council departments in order to establish
whether or not the EU Procurement Rules apply.
Example: The Council knows that it is going to purchase a number of PCs in the next 12
months. It is clear what its requirement is immediately, but it has also budgeted for ongoing
purchases over the next 12 months, which take the potential value of the contract over the EU
threshold for supplies. In these circumstances, the Council will need to ensure that the
purchase is advertised in the OJ and follow the EU Rules.
6
The detailed EU Rules on calculating the value of the contract are in place to ensure that
the EU Rules are not avoided, due to the inappropriate splitting of contracts. If it is possible
that the Council as a whole may have repeated requirements for the same or similar items,
services or works, then you must discuss this with Legal Services.
7
Where there is a requirement for repeated purchases, it may well be that a Purchasing
Scheme is a better approach for the Council to adopt. Purchasing Schemes such as a
centrally organised framework arrangement run by a central purchasing body should
ensure that the EU Rules have already been satisfied, so there is no ongoing obligation to
advertise in the OJ or elsewhere each time a requirement arises. This may well represent
better overall value to the Council.
10
Principles Underlying Tendering Processes and Tender Evaluation
10.1
All tendering procedures (including obtaining quotes), from planning to contract
award and signature, shall be undertaken in a manner so as to ensure:
10.1.1
Sufficient time is given to plan and run the process
10.1.2
Equal opportunity and equal treatment
10.1.3
Openness and transparency
10.1.4 Probity
10.1.5
Outcomes which deliver sustainability, efficiency and cost savings (where
appropriate).
CS0 10
1
Pre-planning is critical for all purchasing. All purchasing procedures (both through quotes
and more formal tendering) must be undertaken in a manner which ensures integrity of the
process and within appropriate timescales.
2
For purchasing processes subject to the EU Rules, there are statutory timescales which
must be followed. These are minimum timescales and should be used as a starting point
for planning an appropriate timetable.
3
In considering how much time is required, you should allow for preparation time, the
amount of time and resources required to draft the relevant technical and legal documents.
You also need to take account of internal procedural requirements such as approvals and
despatch processes as well as appropriate timescales to allow contractors to fully prepare
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their responses. Different timescales will apply according to the nature and complexity of
the purchase being made.
4
CSO 10.1.2: The EC Treaty Principles apply to
all purchasing by the Council. This means
that all contracts must be let fairly. Councils must not do anything that might prejudice fair
and open competition for a contract. The principles require the Council to ensure that there
is equal opportunity and equal treatment of all potential contractors through any purchasing
exercise. The Council must not unduly favour contractors or applicants from a particular
country including favouring applicants from the UK.
5
CSO 10.1.3: The EC Treaty Principles also require all purchasing processes to be run in an
open and transparent manner. This means that the documents being used in the
purchasing process should make it clear to all parties participating in the process, what is
happening, when and why. All potential contractors should be given an equal opportunity
to clarify the Council's requirements and processes.
6
CSO 10.1.4: Probity means that each purchasing exercise transparently secures the best
value for the Council in the public interest, untainted by conflicts of interest, collusion or
private advantage.
7
CSO 10.1.5: See comment above at CSO 1.
11
Submission and Opening of tenders
11.1
An Invitation to Tender shall be issued by the Council for all contracts over £75,000
and tenders shall be submitted in accordance with the requirements of the Invitation
to Tender.
11.2
Any tenders received (other than those received electronically, to which 11.3 shall
apply) shall be:
11.2.1
addressed to the Chief Executive
11.2.2
in a sealed envelope marked “Tender” followed by the subject matter
to
which it relates
11.2.3
kept in a locked cabinet by Democratic Services
11.2.4
retained unopened until the date and time specified for its opening.
11.3
Where the Council has indicated in the Invitation to Tender that a tender can or
must be submitted electronically, then those tenders shall be:
11.3.1
addressed to the e-mail address as notified in the Invitation to Tender
11.3.2
in the format specified in the Invitation to Tender
11.3.3 stored in a secure mailbox, which requires a code or other appropriate
security measure, to open it
11.3.4
retained unopened until the date and time specified for its opening.
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11.4
No tender received after the time and date specified for its opening shall be
accepted or considered by the Council unless the relevant Director
is satisfied that
there is sufficient evidence of the tender having been dispatched in time for it to
have arrived before the closing date and time, or other exceptional circumstances
apply, and the other tenders have not been opened.
11.5
Tenders shall be opened in the presence of 2 councillors, one officer nominated by
the Head of Legal and Democratic Services and one officer nominated by the
relevant Director and an immediate record shall be made of tenders received
including names and addresses and the date and time of opening.
CSO 11
1
Tender processes must be undertaken in an open and transparent way and explained to
tenderers so that they understand what you are doing, why and when.
2
All contracts over £75,000 must involve a formal advertisement and invitation to tender
process. All contracts above the EU Rules thresholds must also comply with the detailed
EU Rules applying to the conduct of the tender process. These may differ according to the
type of process used.
3
The invitation to tender should, as a minimum, include:
• Instructions to tenderers which set out when and how tenders must be submitted, in
what format and where queries should be addressed to at the Council.
• The specification/technical details of the subject matter of the contract.
• The contract terms and conditions which will apply.
• The tender evaluation criteria.
• The process for awarding the contract.
4
Invitations to tender should be written in plain language and avoid the overuse of
unnecessary technical terms.
5
CSO 11.2: All tenderers must be treated in the same way; hence the requirements that the
tenders are all presented in a similar manner when submitted to the Council by the tender
return date. Tenders are to remain unopened until the date and time specified for opening
so that, for example, there is no potential for an early tender to influence the process.
6
CSO 11.3: The same reasoning as for CSO 11.2 underlines the provisions relating to
electronic submission of tenders.
7
CSO 11.4: Late tenders should normally be rejected unless (1) late delivery is a result of
actions outside the control of the tenderer or (2) other exceptional circumstances exist
which the Council, in exercising reasonable discretion, deems sufficient to allow
acceptance. Where a decision is made to accept a late tender, then it is sensible to
document the time of receipt of that tender and the reasons why the tender has been
accepted.
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Practical examples of the sort of circumstances where late tenders may on occasion be
accepted include:
• Where the Council's offices were unexpectedly closed at the date specified for receipt
of tenders so that tenders could not be delivered on time.
•
Particularly severe weather which may have delayed the arrival of a tender sent by
courier but where there is clear evidence of dispatch with sufficient time allowed for
delivery to comply with the tender return time and date.
•
Where a tender has not been received at all but there is genuine and persuasive
evidence that the tender was prepared and dispatched on time.
8
CSO 11.5: There needs to be a clear audit trail of all tenders received, from whom and
when they are opened, to ensure that there is no preferential or unfair treatment. The
tender opening process is set out in detail at Appendix 1 to these contract standing orders
9
What happens if tender processes do not go as planned or if there is technical non
compliance? The Council's standard "Invitation to Tender" document should include
provisions stating that tenders can be rejected if they are not compliant with the
requirements of the Council, including compliance with submission dates, times and format.
Where a tender is received which is non compliant because, for example, the envelope is
not marked as required, then, subject to any limitations in the Scheme of Delegation, the
Responsible Officer (or Head of Service where appropriate), may exercise some discretion
in terms of whether or not that tender is accepted. Similarly, where there is provision for this
in the Invitation to Tender, if after undertaking an initial review of the tender documents, the
Responsible Officer is of the view that a genuine mistake, such as a mathematical error has
been made in the tender, then the Responsible Officer (or Head of Service where
appropriate) may wish to exercise discretion and go back to the affected tenderer to clarify
the submission made. If you wish to exercise this type of discretion, you should ensure that
this falls within your delegated powers and you should take advice from Legal Services. All
exercises of discretion should be carefully recorded in writing, including reasons why the
discretion was exercised.
10
Where tenders are submitted electronically or by other digital media, then the Council
should have in place, appropriate systems to ensure that receipt can be clearly recorded to
ensure that tender timescales are complied with. Again, the Responsible Officer (or Head
of Service where appropriate) may exercise discretion as to whether or not to receive and
accept tenders which are not submitted strictly in accordance with these requirements,
although exercise of that discretion, should be exceptional and you should take advice from
Legal Services.
12
Evaluation of Quotes and Tenders
12.1
All quotes and tenders shall be evaluated in accordance with evaluation criteria
notified in advance to those submitting quotes/tenderers.
12.2
Tenders subject to the EU Rules shall be evaluated in accordance with the EU
Rules.
12.3
Save in exceptional circumstances approved in advance by the relevant Director
all
contracts shall be awarded on the basis of the quote or tender which represents
best value for money to the Council and not on the basis of lowest price.
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CSO 12.1
1
The Council is under a general obligation to ensure that it is open and transparent about its
purchasing procedures. This includes how you select the best tender or quote. This
general obligation under the EC Treaty Principles applies to all purchasing and contracts –
both those subject to the EU Rules and those not caught by those EU Rules.
2
“Evaluation criteria” are the criteria which you will use to assess a quote or tender in order
to come to a decision on which quote or tender best meets the Council’s requirements and
so who should be awarded a contract. It is important that you are clear and open with
tenderers about what criteria you will use and that both they and you know, in advance,
how the Council will assess/mark against the criteria. Where the EU Rules apply to the
contract, then you are obliged by law to disclose the tender evaluation criteria in advance
(see CSO 12.2).
3
This means that for all purchasing, the evaluation criteria must be set out in advance and
be provided to the tenderers together with any scoring or assessment scheme which will be
used. The criteria and scoring or assessment scheme cannot be changed after they have
been provided to the tenderers, so you must be certain that the criteria are robust and the
scoring or assessment scheme is appropriate for the particular contract and purchasing
process.
4
Notification of the criteria and scoring or assessment scheme can be done in a number of
ways – depending upon the type of process which you are using. For simple quotes, the
evaluation could just be set out in a list in the letter inviting contractors to quote. For more
formal processes, it would generally be more appropriate to include this information in the
Invitation to Tender document and this may involve a more complex presentation style.
5
Specific provisions relating to tender evaluation criteria apply to contracts which are subject
to the EU Rules (see commentary on CSO12.2)
CSO 12.2
6
The EU Rules have specific provisions applying to tender evaluation criteria. The main
legal provisions are at Regulation 30. This section now goes on to explain some of the key
provisions of Regulation 30.
7
The Council is required to award contracts on the basis of an offer which is either (1) the
lowest price or (2) the “most economically advantageous” – which means that other factors,
in addition to price, can be taken into account such as quality, timing and delivery. In
practice, the Council is extremely unlikely to opt to award a contract on the basis of lowest
price only and CSO 12.3 reflects this.
8 Regulation 30 provides examples of the sort of evaluation criteria which can be used to
assess what amounts to the “most economically advantageous tender”. This includes
factors such as quality, price, technical merit and after sales service. The list is not
exhaustive and so other evaluation criteria can be used. All evaluation criteria used by the
Council in evaluating a tender must be linked to the subject matter of the contract. This
means that the criteria must be related to the works, supplies or services which are actually
being purchased. We have given two examples of evaluation criteria below. There is more
guidance in the Office of Government Commerce papers “Social Issues in Purchasing” and
“Fair and Ethical Trading”.
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Example 1. Environmental Considerations
The Community of Helsinki decided to put their bus services out to tender. They used
award criteria such as overall price, quality of the bus fleet and operational quality. Under
one award criterion, companies could score extra points if they could comply with certain
emission and noise levels. On the basis of these extra points, the contract was awarded to
the municipal transport company.
A losing tenderer opposed this decision, arguing that emission and noise levels could not
be used as an award criteria.
The European Court of Justice ruled that the criteria could be used as (1) there was a
sufficient link to the subject matter of the contract, (2) the criteria were specific and
objectively quantifiable, (3) use of these criteria were notified in advance and (4) it was in
accordance with basic Treaty principles.
Example 2. Social considerations -the social issue must be relevant to the purchase
Buying coffee/Fairtrade principles
The Council may specify organic coffee because the production process relates to the
production of the coffee in terms of chemical content and the way it is grown. However,
they cannot specify
only fair trade coffee because this relates to the standard of living of
the coffee growers and not the product. The Council can say in its contract documents that
it would welcome fair trade coffee options such as Fairtrade or equivalent as part of a
coffee supply contract. The bids should be evaluated on a value for money basis using the
organic criteria and others directly related to the subject of the contract. Where the winning
tenderer can supply fair-trade coffee, then the contract documentation may say that it
should be made available at civic meetings.
9
The evaluation criteria which the Council will use must be stated in advance either in the OJ
advertisement or in the tender documents. (The Regulations refer to the “contract
documents” but in this context this means the Invitation to Tender (or equivalent documents
if the open or restricted procedures are not being used).
10
In addition to setting out in advance what the evaluation criteria are, the Council is also
required to state what “weighting” will be applied to assessing each of the criteria. The
weightings must be listed together with the criteria – either in the OJ notice or in the tender
documents. This requires the Council to give careful thought well in advance as to how
tenders will be evaluated. Either the procurement team or a specialist consultant should be
able to give you advice on formulating evaluation matrices.
11
It is only in very exceptional circumstances, that the Council will be able to avoid the
requirement to list the weightings in advance. You should start with the assumption that
weightings must be provided. If you consider that it is not possible to do this, then you must
discuss this with Legal Services. If weightings cannot be provided, then Council is still
required to list the criteria and must list them in descending order of importance.
13 Waivers
13.1
The requirement for the Council to conduct a competitive purchasing process for
contracts in excess of £10,000 may be waived in the following circumstances.
13.1.1 For contracts which are not subject to the EU Rules, the work, supply or
service is required as a matter of urgency and a delay would be likely to
lead to financial loss, personal injury or damage to property; or
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13.1.2
the circumstances set out in [EU] Regulation 14 apply (whether or not the
contract is of a type which is subject to the application of the EU Rules); or
13.1.3 the contract is awarded under a Purchasing Scheme of a type where a
competition has already been undertaken on behalf of the Council; or
13.1.4 at the discretion of the relevant Director who may proceed in a manner
most expedient to the efficient management of the service/Council with
reasons recorded in writing.
13.2
A Responsible Officer who seeks a waiver of Contract Standing Orders, shall do so
only in advance and only in exceptional circumstances. Further guidance on what
may constitute exceptional circumstances permitting waiver of these Contract
Standing Orders is set out in the Council’s Purchasing Guide.
13.3
All waivers from these Contract Standing Orders must be:
13.3.1 Fully
documented
13.3.2 Subject to a written report in an approved format to be submitted in
advance to the relevant Director which shall include reasons for the waiver
which demonstrate that the waiver is genuinely required
13.3.3
Subject to approval in advance by the Director of Corporate Services and
the Head of Legal and Democratic Services who shall record that they
have considered the reasons for the waiver and that they are satisfied that
the circumstances justifying the waiver are genuinely exceptional.
Applications for waivers which are a result of poor contract planning will
rarely be considered genuinely exceptional.
13.4
All decisions on waivers must take into account:
13.4.1 Probity
13.4.2
Best value/value for money principles.
13.5
For contracts subject to the EU Rules, any waiver from the requirement for
competition must meet the conditions set out in the EU Rules in addition to the
general requirements above.
CSO 13
1 The requirements of the CSOs can only be waived in very exceptional circumstances and
in advance. If a waiver is made to these CSOs, then the provisions of CSO 13 must be
complied with to ensure it is clear why the decision has been made and by whom. All the
relevant circumstances must be taken into account.
2 These provisions should not be used merely where to go out to tender would, for example,
result in additional administrative or procedural burdens or a short period of delay. The
waiver provisions should not be used as an excuse for poor procurement practice or for a
lack of advanced planning (see CSO 13.6). The general presumption is that contracts will
be put out to competitive tender so as to ensure that the Council uses its resources
efficiently, purchases quality goods, services and works, safeguards its reputation from any
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implication of dishonesty or corruption and is able to demonstrate principles of
sustainability, efficiency, whole life costings and cost savings.
3
It is very important to note that if the contract is of a type and value which means that it is
subject to the EU Rules then there are only very limited circumstances in which a contract
can be awarded without competition and the permitted circumstances are extremely
narrowly interpreted. If you are seeking to exclude an EU contract from the requirement to
go out to competition then you must seek advice in advance from Legal Services.
4
For contracts which are not subject to the EU Rules there are still obligations in terms of
ensuring appropriate levels of competition (see comment at CSO 4.1.2 and CSO 7.1).
CSO 13.1
1
CSO 13.1.1: This CSO sets out the circumstances where it may be permissible due to a
matter of urgency for the Council to purchase works, supplies or services without going
through a competitive process.
Example: For a contract not subject to the EU Rules, a waiver from the requirement of competition
may be appropriate using CSO 13.1.1 where, due to unforeseen circumstances, there is an urgent
requirement for the provision of domiciliary care services and failure to deliver those services as
speedily as possible may lead to health and safety issues for users.
3
CSO 13.1.2: Regulation 14 of the Public Contracts Regulations 2006 sets out certain,
narrowly constrained circumstances where contracts which are subject to the EU Rules can
be awarded without following a competitive purchasing process. These EU Rules also
provide a good steer for the sort of circumstances where it may be acceptable to waive the
requirement for competition for contracts which are not subject to the EU Rules. These
include the following types of situation:
Examples:
• Where the Council has already gone out to an open and competitive tender, but only non
compliant tenders have been received. It therefore decides to terminate the procurement
process and negotiate the contract with those bidders who submitted a tender as part of the
previous process.
• Where the Council went out to open competition and received no responses at all, in which
case it decides to approach a single contractor and negotiate a deal on the basis of the
original terms included in the public tender process.
• Where the Council already has a contract under which goods have been supplied to it and
it then requires additional goods which could not be provided by another supplier and
obtaining goods from another supplier would result in genuine incompatibility between the
existing goods and those to be purchased or genuine and disproportionate technical
difficulties in procuring the goods from elsewhere. Under the EU Rules, the additional
requirements must also be purchased within 3 years of the original contract.
• Where there is a closing down sale so that goods can be purchased on a particularly
advantageous basis.
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These examples are not an exhaustive list but they do give an indication of the sort of
circumstances where the purchase of additional goods, works or services without
competition may be permissible. Where the Council wishes to extend a contract then CSO
14 will also apply.
5
CSO 13.1.3: Where a contract is awarded using a Purchasing Scheme (where appropriate,
one which is compliant with the EU Rules) then provided that the Council is satisfied that
the conditions set out in CSO 15 are met then there will be no further need to run a
competition as that has already been undertaken on behalf of the Council.
6
CSO 13.1.4: In exercising discretion as to the award of the contract without the competitive
process, the individual making that decision must pay due regard to the requirements of the
CSOs and this purchasing guide. If the EU Rules apply then they must seek advice from
Legal Services prior to proceeding.
Examples of where a waiver may be justified include:
•
Requiring two rather than three written quotes for a contract between the value of £10,000
- £75,000 where there is clear evidence that the number of potential contractors is
extremely limited
•
A decision to go down a written quotation route rather than the requirement to obtain three
written tenders in advance (for contracts below the EU threshold) and where the Council is
satisfied that (1) there is no obligation to advertise that opportunity to comply with the
general requirements of the EC Treaty Principles and (2) the general underlying
requirements of the procurement process will still be satisfied.
NB
Waivers should not be used for reasons of poor planning. It should not be the case that a
contract is due to expire and has not been properly planned for. Appropriate tender lead
cycles need to be factored into the planning process to avoid avoidance of best practice
procedures.
14
Extensions to Existing Contracts
14.1
Where extensions to existing contracts are made, the extensions must be
determined in accordance with the contract terms, for a specified period and made
in accordance with the principles set out in the Council’s Purchasing Guide
.
14.2
Any extension must be:
14.2.1 Fully
documented
14.2.2
Subject to a written report in an approved format to be submitted
to the relevant Director; which shall include reasons for the
extension which demonstrate that the need for the extension is
genuinely exceptional.
14.2.3
Subject to approval by the Head of Legal and Democratic Services
and the Director of Corporate Services, who shall record that they
have considered the reasons for the extension and that they are
satisfied that the circumstances justifying the extension are
genuinely exceptional.
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14.3
Any extension must take into account:
14.3.1 Probity
14.3.2
Best value/value for money principles.
14.4
For contracts subject to EU Rules, any extension must meet the conditions set out
in the EU Rules in addition to the more general requirements set out above.
CS0 14
1
This CSO is primarily aimed at addressing the issue of when and how a contract period
may be extended. There is a general presumption against the extension of contracts.
Contracts may only be extended beyond their original term in genuinely exceptional
circumstances. Any extension must be for a limited and specified period. Where the
contract is caught by the EU Rules then the contract period may only be extended in limited
circumstances and you must seek advice from Legal Services.
2
Clarity and certainty are key factors in establishing whether or not an extension is
permissible. A well drawn up contract will set out in advance the clear basis upon which
that contract may be extended.
Example: When the contract for IT support services was advertised, it was made clear in the
advertisement that the contract would be:
• for an initial period of five years
• with an option to extend for up to a further two years
The provisions of the original contract explained how the extension is to be exercised together with
the costs. The Council is now proposing to exercise the option to extend. There will be no
renegotiation of either the legal terms, scope of the contract or the payment arrangements (except
for the price inflation provisions specifically allowed for within the contract and clearly defined in
advance). This extension is permissible.
3
The problems with contract extensions arises where either there is no provision for
extension within the contract or the potential for extension was not made clear at the outset
or where the arrangements for the contract extension result in renegotiations. In these
circumstances, there are specific provisions which apply in the context of contracts subject
to the EU Rules and you must seek advice from Legal Services.
4
For contracts not subject to the EU Rules then the basic principle is that any period of
extension should be limited, for a specified period and the effect of the extension should not
be such as to create a disproportionate expansion in the coverage either in terms of value,
time period or subject matter of the contract. This is because it may well be regarded as
anti-competitive to agree an extension of the contract which effectively awards a valuable
opportunity to the existing supplier without having exposed that opportunity to competition
and providing other providers with the opportunity to deliver those additional requirements.
5
Any extension of the subject matter (as opposed to the contract period) of a contract can
generally only be permitted in accordance with the provisions of the contract or in very
exceptional circumstances covered by the EU Rules. For longer term or major contracts,
there are often provisions that allow for the evolution of the contract to meet the Council's
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needs, for example, by way of continuous efficiency and improvements clauses. Most of
these contracts also incorporate mechanisms to allow for a certain degree of variation or
change to reflect the practical issues associated with implementation and ongoing service
delivery. Contracts must not be drafted in such a way as to be so flexible that they are in
breach of the basic requirement that the contract terms must be clear and certain or to
allow for changes which are so significant as to be potentially anti competitive because, for
example, they effectively amount to the award of a new contract.
6
Particular caution should be exercised in terms of the practical effect of an extension on the
contract value. In no circumstances should an extension be made to a contract that has
the effect of increasing the contract to a value over the EU Rules thresholds in force at that
time.
15 Purchasing
Schemes
15.1 A Responsible Officer may use Purchasing Schemes subject to the following
conditions and the Council’s Purchasing Guide.
15.2
Responsible Officers must check in advance that
15.2.1
The Council is legally entitled to use the Purchasing Scheme
15.2.2 The purchases to be made do properly fall within the coverage of the
Purchasing Scheme
15.2.3 The establishment and operation of each Purchasing Scheme is in
compliance with the EU Rules (where they apply) and meets the Council's
own requirements.
CS0 15
1
There are an increasing number of Purchasing Schemes which the Council may choose to
participate in which assist in terms of purchasing efficiencies and value for money. An
illustrative list is set out in CS0 15.3 and these types of schemes are discussed in further
detail below.
2
CSO 15.2: Responsible Officers must check three key factors in advance, prior to using a
Purchasing cheme:
2.1
CSO 15.2.1: Responsible Officers must check that the Council is legally entitled to use the
Purchasing Scheme.
Example: in the context of a framework arrangement or purchasing arrangement set up by
central purchasing bodies, it is important to ensure that the original process (particularly if it is an
EU process) made it clear that the Council could potentially purchase under the terms of that
scheme. If the Council was not sufficiently clearly identified in the original establishment of the
schemes, then there may be problems with use of that scheme. If it is a purchase subject to the
EU Rules, then if the Council has not been sufficiently clearly identified in advance, it may not be
able to rely on that scheme to satisfy its own obligations under the EU Rules.
2.2
CSO 15.2.2: Responsible Officers need to check that the Purchasing Scheme covers the
purchases to be made. All Purchasing Schemes should clearly specify what can be
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purchased under the scheme. This is to ensure that contractors participating in the scheme
know what they are providing and purchasers are clear about the coverage and limitations
of the scheme. It is therefore important to check that particular schemes do cover all your
requirements.
15.3
A “Purchasing Scheme” may include:
15.3.1
Contractor prequalification lists/select lists
15.3.2 Framework arrangements (including those set up by the Office of
Government Commerce)
15.3.3 Purchasing arrangements set up by central purchasing bodies and
commercial organisations
15.3.4 Consortium
purchasing
15.3.5
Collaborative working arrangements
15.3.6
Formal agency arrangements
15.3.7
E-procurement/purchasing schemes and methods
15.3.8
Other similar arrangements such as the IDEA Marketplace
2.3 CSO
15.2.3: Responsible Officers should ensure that the Purchasing Scheme has been
established and is operated in accordance with the detailed EU Rules (where they apply).
Purchasing Schemes can be a very efficient way of ensuring compliance with the EU Rules
without having to undertake further separate EU procurement processes. The Council
cannot discharge itself from its obligations to ensure compliance with the EU Rules.
Example: In the context of framework arrangements it is important to ensure that types of potential
purchases to be made by the Council are clearly identified in the original OJ notice, that the
framework is established for the permissible four year period and that any mini competitions are
operated in accordance with the provisions of the EU Rules.
CSO 15.3
6
The term "Purchasing Scheme" is used to describe a range of different purchasing
practices and the list is not intended to be exhaustive.
7
CSO 15.3.1: Contractor prequalification lists/select lists are often operated by councils
to produce a list of contractors who are appropriately pre qualified to deliver the
requirements of the Council. This streamlines purchasing as it means that a contractor's
suitability does not have to be assessed every time a contract award is contemplated. Care
does need to be taken to ensure that these arrangements do not fall into the trap of being
caught by the EU Rules, because they amount to a repeated requirement for the same or
similar provision (see comment at CSO 9). Pre qualification and select lists are not
permitted for purchasing caught by the EU Rules.
8
CSO 15.3.2: Framework Arrangements: care needs to be taken to ensure that you
understand what is intended by this term and whether or not the Purchasing Scheme is a
framework arrangement subject to the EU Rules. The EU Rules define framework
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arrangements as a very specific type of arrangement. Where the EU Rules apply,
frameworks are subject to controls including a limit of 4 years on the life of the framework
and the conduct of mini competitions within a framework. However, the term "framework" is
used more generally and so you need to be clear about what type of framework you are
participating in and whether or not it complies with EU Rules.
9
CSO 15.3.3: Purchasing arrangements: set up by central purchasing bodies and
commercial organisations (including arrangements established by the Office of
Government Commerce) are frequently forms of framework arrangements set up to comply
with the EU Rules. However, you will need to check that you understand what format the
purchasing arrangements comprise and whether or not EU Rules have been taken into
account and, where appropriate, complied with in their award.
10
CSO 15.3.4: Consortium purchasing may refer to purchasing by groups of authorities
together or as one authority on behalf of others, in which case, it is more likely that
technically this amounts to a central purchasing arrangement.
11
CSO 5.3.5: Collaborative working arrangements may involve different levels of formality.
Some collaborative working is merely a loose agreement between different organisations to
work together in their purchasing. Collaborative working is also used to refer to
arrangements which may in practice, involve the pooling of resources. It is important to
clarify which sort of collaborative working arrangement is proposed, so as to identify the
rules which may apply.
12
CSO 15.3.6: In some circumstances, a
formal legal agency arrangement may apply in
which case you need to ensure that you understand the legal terms which the Council will
be required to contract on.
13 CSO
15.3.7: All of the above types of Purchasing Schemes may include some form of EU
procurement, but there are also other forms of electronic Purchasing Schemes and
methods including the use of the electronic purchasing cards, online listings and
information sharing
15.4
Where a Purchasing Scheme is used then there shall be a whole or partial
exemption from the obligations under these Contract Standing Orders in respect of
the choice and conduct of procedures to the extent permitted and indicated in the
Council’s Purchasing Guide.
CSO 15.4 14
Where a Purchasing Scheme is used then, as a main driver behind many of these
Purchasing Schemes is to simplify procurement, some or all of the CSOs may not apply. In
practice, the CSOs less likely to apply are those that relate to the tendering procedures, as
many of these procedures will often be undertaken as part of the Purchasing Scheme
process. The extent of the application of the CSOs and the exemptions from those
standing orders will vary according to the type of scheme being used.
15
In general, the provisions of the following CSOs will continue to apply when a Purchasing
Scheme is used:
CSO 1 – Purpose of the contract standing orders
CSO 2 – General principles
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CSO 3 – General principles applying to all contracts – contracts in writing/standard
clauses
CSO 4 – Regulatory context
CSO 5 – Responsibilities of Directors, Heads of Service and Responsible Officers
CSO 6 – Schemes of Delegation
16
CSO 7: Financial Thresholds and Procedures
CSO 7.1: Will apply where a Purchasing Scheme is used.
CSO 7.2: Will apply where a Purchasing Scheme is used.
CSO 7.3: Will apply where a Purchasing Scheme is used where the Responsible Officer is
required to make a decision as to the choice of advertising media.
CSO 7.4: This CSO will apply only to the extent that it is relevant for a particular Purchasing
Scheme. Quotes or written tenders may be procured by way of the Purchasing Scheme.
In some circumstances, for example where a framework arrangement for supplies has been
established, then the Council can purchase direct from contractors on the framework
without the need for a further quote or tender process.
CSO 7.5: Will apply where a Purchasing Scheme is used.
17
CSO 8: Financial Thresholds and processes applying to approval and execution of
contracts.
CSO 8.1: For contracts over the relevant EU threshold, the choice of purchasing procedure
– including choice of the Purchasing Scheme (and thus procedure) should still be
authorised in writing in advance.
CSO 8.2, CSO 8.3 and CSO 8.4: Responsible Officers still need to ensure that if a
Purchasing Scheme is used, then these requirements are complied with.
18
CSO 9: Calculating the contract value. These principles still apply in calculating the
contract value of purchases to be made under Purchasing Schemes.
19
CSO 10: Principles underlying tendering processes and tender evaluation. The
extent to which this CSO will apply will depend upon the nature of the Purchasing Scheme.
Some Purchasing Schemes will involve the undertaking of tender evaluation entirely by
another organisation. In these circumstances, the Council still needs to be satisfied that the
process to be undertaken by that other organisation meets its basic requirements but for
example, less attention will need to be paid to ensuring sufficiency of time in planning and
running the process as this has been done on behalf of the Council.
21
Basic EC Treaty principles of equal opportunities and equal treatment, openness and
transparency as well as the need to ensure probity and that the outcomes deliver
sustainability, efficiency and cost savings will still apply irrespective of the type of
procurement process used, including the use of Purchasing Schemes.
22
CSO 11: Submission and opening tenders: For certain types of Purchasing Schemes,
the Council will not need to issue Invitations to Tender and comply with the other
requirements of this CSO as the process itself may be run by another organisation. Again,
this will be dependant on the type of Purchasing Scheme used.
- 225 -
23
CSO 12: Evaluation of quotes and tenders: Irrespective of the Purchasing Scheme used,
the Council should be satisfied that the criteria used to select contractors meets its
requirements and ensure that best value is obtained. However, for certain types of
Purchasing Schemes such as centrally organised framework arrangements and those
undertaken by central purchasing bodies, the evaluation criteria and processes will be run
by another organisation.
24
CSO 13: Waivers: These provisions still apply to the extent that they are relevant under
Purchasing Schemes.
25
CSO 14: Extension to existing contracts: These provisions will continue to apply and any
extensions to contracts awarded under Purchasing Schemes will also need to meet the
requirements of those Purchasing Schemes and be carried out in accordance with those
arrangements.
26
CSO 16: Review and change of these CSOs: These provisions apply. It should be noted
that the list at CSO 15.3 of permissible Purchasing Schemes allows for a range of
Purchasing Schemes to apply. These are not identified specifically but generically and so
new Purchasing Schemes may well fall within the permitted type of Purchasing Scheme
without a requirement for a change in the CSOs themselves.
16
Review and Changes to these Contract Standing Orders
16.1
These Contract Standing Orders shall be reviewed and updated on a regular basis.
Save in the case of revisions to the EU Thresholds in Contract Standing Order 7,
amended Contract Standing Orders shall be recommended by the Audit Board to
the Council. The Head of Legal and Democratic Services will make revisions to the
EU Thresholds as they occur.
CS0 16
1
The CSOs themselves can only be updated in accordance with the provisions set out in the
Council's Constitution.
2
The EU Thresholds are set by the EU every two years and apply to all member states.
There is no discretion available in terms of the threshold at which the EU Rules will apply.
It is therefore more appropriate to arrange for amendment of CSO 7 to reflect the new EU
Threshold under a scheme of delegation.
3
The provisions of this Purchasing Guide can be updated and amended more easily than the
CSOs themselves. If you have comments, suggestions or proposals for amendments or
improvements to this Purchasing Guide then please contact the Head of Legal and
Democratic Services.
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ATTACHMENT 1
RISK ASSESSMENT
The most common form of assessment in general usage is the 5 x 5 matrix. The colours red,
amber, green reflect differing levels of overall risk with green and amber being acceptable and red
requiring caution and ways of reducing/managing that risk.
The table at Appendix 1 sets out suggested criteria for assessing the likelihood and impact to
produce an overall score.
Ideally, scoring should be undertaken by more than one person to allow for different perceptions of
risk; one person’s high risk can be another’s low to medium.
Where the scoring differs across the criteria for impact and likelihood, it is suggested that a
cautious approach is to use the score, which is highest for any of the criteria rather than an
average. However, be prepared to apply a common sense approach and score accordingly
RISK MATRIX
VERY
LIKELY
5
10
15
20
25
SCORE 5
L
LIKELY
I
SCORE 4
4
8
12
16
20
K
E
L
I
POSSIBLE
SCORE 3
3
6
9
12
15
H
O
O
D
UNLIKELY
SCORE 2
2
4
6
8
10
HIGHLY
UNLIKELY
1
2
3
4
5
SCORE 1
NEGLI-GIBLE
LOW
MEDIUM
HIGH
VERY HIGH
SCORE
SCORE
SCORE
SCORE
SCORE
1
2
3
4
5
IMPACT
- 227 -
Score - 2
Score - 3
Score - 4
Score - 5
Unlikely
Possible
Likely / Highly Likely
Very Likely / Definite
Previous experience discounts this risk as
The council has in the past
The council has experienced
The council is experiencing
being likely to occur but other
experienced problems in this area but
problems in this area in the last
problems in this area or expects to
organisations have experienced problems
not in last three years.
three years.
in the next 12 months.
in this area.
Some controls are in place and
There are controls in place that whilst not
generally work but there have been
Controls may be in place but are
No controls are in place.
tested appear to be effective.
occasions when they have failed and
generally ignored or ineffective.
problems have arisen.
Score - 2
Score - 3
Score - 4
Score - 5
Low Medium
High
Very
High
The financial impact would be extra costs
The financial impact would be extra
The financial impact would be
The financial impact would be
or loss of income of no greater than
costs or loss of income of no greater
extra costs or loss of income of
greater than £500,000.
£25,000.
than £100,000.
no greater than £500,000.
Severe service disruption on a
Some temporary disruption to the activities
Regular disruption to the activities of
departmental level or regular
Severe disruption to the activities of
of one council service but not beyond this.
one or more council services.
disruption affecting more than
all council departments.
one department.
It may cost more or there may be delay in
A number of corporate objectives
Many corporate objectives
delivering one of the council's corporate
Unable to deliver most objectives.
would be delayed or not delivered.
delayed or not delivered.
objectives.
Some loss of confidence and trust in the
A general loss of confidence and trust
A major loss of confidence and
A disastrous loss of confidence and
council felt by a certain group or within a
in the council within the local
trust in the council within the local
trust in the council both locally and
small geographical area.
community.
community.
nationally.
- 228 -
Officer Employment Procedure Rules
Explanatory note
These rules are to be read, where appropriate, with the Scheme of Delegation to officers.
1.
In this Part -
"the 1989 Act" means the Local Government and Housing Act 1989;
"the 2000 Act" means the Local Government Act 2000 (as amended);
“authority” in these rules means the council;
"disciplinary action" has the same meaning as in the Local Authorities (Standing
Orders) (England) Regulations 2001;
"Executive" and "Executive Leader" have the same meaning as in Part II of the 2000
Act and Executive Leader has the same meaning as “Leader” elsewhere in the
Constitution;
"member of staff" means a person appointed to or holding a paid office or
employment under the authority; and
"Proper Officer" means an officer appointed by the authority for the purposes of the
provisions in this part.
2.
Subject to paragraphs 3 and 7, the function of appointment and dismissal of, and
taking disciplinary action against, a member of staff of the authority must be
discharged, on behalf of the authority, by the officer designated under section 4(1) of
the 1989 Act (designation and reports of head of paid service) as the head of the
authority's paid service or by an officer nominated by him.
3.
Paragraph 2 shall not apply to the appointment or dismissal of, or disciplinary action
against -
(a)
the officer designated as the head of the authority's paid service;
(b)
a statutory chief officer within the meaning of section 2(6) of the 1989 Act
(politically restricted posts);
(c)
a non-statutory chief officer within the meaning of section 2(7) of the 1989
Act;
(d)
a deputy chief officer within the meaning of section 2(8) of the 1989 Act; or
(e)
a person appointed in pursuance of section 9 of the 1989 Act (assistants for
political groups).
4.
(1)
Where a committee, sub-committee or officer is discharging, on behalf of the
authority, the function of the appointment or dismissal of an officer designated
as the head of the authority's paid service, the authority must approve that
appointment before an offer of appointment is made to him or, as the case
may be, must approve that dismissal before notice of dismissal is given to
him.
- 229 -
(2)
Where a committee or a sub-committee of the authority is discharging, on
behalf of the authority, the function of the appointment or dismissal of any
officer referred to in sub-paragraph (a), (b), (c) or (d) of paragraph 3, at least
one member of the Executive must be a member of that committee or sub-
committee.
5.
(1)
In this paragraph, "appointor" means, in relation to the appointment of a
person as an officer of the authority, the authority or, where a committee, sub-
committee or officer is discharging the function of appointment on behalf of
the authority, that committee, sub-committee or officer, as the case may be.
(2)
An offer of an appointment as an officer referred to in sub-paragraph (a), (b),
(c) or (d) of paragraph 3 must not be made by the appointor until -
(a)
the appointor has notified the Proper Officer of the name of the person
to whom the appointor wishes to make the offer and any other
particulars which the appointor considers are relevant to the
appointment;
(b)
the Proper Officer has notified every member of the Executive of the
authority of -
(i)
the name of the person to whom the appointor wishes to make
the offer;
(ii)
any other particulars relevant to the appointment which the
appointor has notified to the Proper Officer; and
(iii)
the period within which any objection to the making of the offer
is to be made by the Executive Leader on behalf of the
Executive to the Proper Officer; and
(c)
either -
(i)
the Executive Leader has, within the period specified in the
notice under sub-paragraph (b)(iii), notified the appointor that
neither he nor any other member of the Executive has any
objection to the making of the offer;
(ii)
the Proper Officer has notified the appointor that no objection
was received by him within that period from the Executive
Leader; or
(iii)
the appointor is satisfied that any objection received from the
Executive Leader within that period is not material or is not
well-founded.
6.
(1)
In this paragraph, "dismissor" means, in relation to the dismissal of an officer
of the authority, the authority or, where a committee, sub-committee or
another officer is discharging the function of dismissal on behalf of the
authority, that committee, sub-committee or other officer, as the case may be.
(2)
Notice of the dismissal of an officer referred to in sub-paragraph (a), (b), (c) or
(d) of paragraph 3 must not be given by the dismissor until -
- 230 -
(a)
the dismissor has notified the Proper Officer of the name of the person
who the dismissor wishes to dismiss and any other particulars which
the dismissor considers are relevant to the dismissal;
(b)
the Proper Officer has notified every member of the Executive of the
authority of -
(i)
the name of the person who the dismissor wishes to dismiss;
(ii)
any other particulars relevant to the dismissal which the
dismissor has notified to the Proper Officer; and
(iii)
the period within which any objection to the dismissal is to be
made by the Executive Leader on behalf of the Executive to
the Proper Officer; and
(c)
either -
(i)
the Executive Leader has, within the period specified in the
notice under sub-paragraph (b)(iii), notified the dismissor that
neither he nor any other member of the Executive has any
objection to the dismissal;
(ii)
the Proper Officer has notified the dismissor that no objection
was received by him within that period from the Executive
Leader; or
(iii)
the dismissor is satisfied that any objection received from the
Executive Leader within that period is not material or is not
well-founded.
7.
Nothing in paragraph 2 shall prevent a person from serving as a member of any
committee or sub-committee established by the authority to consider an appeal by -
(a)
another person against any decision relating to the appointment of that other
person as a member of staff of the authority; or
(b)
a member of staff of the authority against any decision relating to the
dismissal of, or taking disciplinary action against, that member of staff.
8.
All appointments will be made in accordance with the council’s Recruitment
Procedure.
9.
Appointments of any assistant to a political group shall be in accordance with the
wishes of that group.
10.
Declarations
(a)
The authority will draw up a statement requiring any candidate for
appointment as an officer to state in writing whether they are the partner,
parent, grandparent, child, stepchild, adopted child, grandchild, brother,
sister, uncle, aunt, niece or nephew of a serving Member or employee of the
authority or of the partner of such a person. This statement will be included in
appropriate recruitment literature.
- 231 -
(b)
Where a candidate has declared such a relationship, any offer of employment
shall be subject to approval by the appropriate Head of Service, except where
the Head of Service is the officer to whom the candidate has declared a
relationship, in which case the appropriate Corporate Director will approve
any proposed offer of employment.
11.
Seeking support for appointment
(a)
The authority will disqualify any candidate who directly or indirectly seeks the
support of any Member or officer for any appointment with the authority. The
content of this paragraph will be included in any recruitment information.
(b)
No Member or officer will seek to support any candidate for appointment.
(c)
Councillors must not stand as referees for officers or candidates for
appointment as officers of the authority.
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Member arrangements for the Joint Transportation Board
Part A
Joint Transportation Boards
1.1
A Joint Transportation Board (JTB) will be established by KCC and the council.
1.2
Each Party shall be responsible for their own costs incurred in the operation of the
JTB.
1.3
The JTB shall be a non statutory forum
Membership
2.1
JTB membership will comprise all KCC local members for divisions in the council’s
area in equal number of members appointed by the council and a representative of
the parish and town councils within the district. The council may appoint substitutes
for its Members.
2.2
The parish and town council representative will be nominated by the Area Committee
of the Kent Association of Parish Councils or other representative body for parish
councils within the district if this provides a more complete representation a substitute
member may also be nominated. The parish or town council representative may
speak but may neither vote nor propose a motion nor an amendment.
2.3
Any KCC Cabinet Member responsible for transportation functions council Member
the Chair of the KCC Highways Advisory Board or KCC local member may place a
relevant item on the agenda and/or attend and speak at any meeting of the JTB but
may not vote nor propose a motion nor an amendment (unless voting members of
the JTB)
2.4
The Chair of any parish or town council within the area of the council (or a parish
councillor of that parish nominated by him/her) may attend any meeting to speak with
the permission of the Chair on any item on the agenda of a particular reference to
that parish.
Chair
3.1
In alternate years a Member of KCC (who is a member of the JTB) will chair the JTB
and a council Member (who is a member of the JTB) will be Vice-Chair of the JTB
and then a Member of the council will chair the JTB and a KCC Member will be Vice-
Chair of the JTB and so on following on the arrangements which existed in the year
before this agreement came into force. The Chair and Vice Chair will be appointed
by the respective councils as they may determine within their constitutional
arrangements. The Chair and Vice Chair of the JTB will take office at the first
meeting of the JTB following the Annual Meetings of both Councils each year.
Meetings
4.1
The JTB will generally meet four times a year on dates and at times and venues to
be specified by the council in accordance with its normal arrangements in
consultation with KCC.
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4.2
The quorum for a meeting shall be four comprising at least two voting members
present from each of KCC and the council.
4.3
Subject to the procedural rules in Clauses 2, 3 and 4.2 above taking precedence the
council’s procedural rules shall apply to JTB meetings as if they were council
committees.
4.4
The JTB will be clerked by an officer of the council. Copies of all papers shall be
sent to the Monitoring Officers of both councils who may attend and speak at any
meeting (or instead each Monitoring Officer may arrange for a substitute officer to
speak on his/her behalf).
4.5
The access to information principles shall be applied to the JTB as if it were a council
committee.
Terms of reference
5.1
The JTB will consider:
(i)
capital and revenue funded works programmes
(ii)
traffic regulation orders
(iii)
street management proposals
and will provide advice on these matters to the relevant Executive as appropriate
5.2
Be a forum for consultation between KCC and the council on policies plans and
strategies related to highways road traffic and public transport
5.3
Review the progress and out-turn of works and business performance indicators
5.4
Recommend and advise on the prioritisation of bids for future programmes of work
5.5
Receive reports on highways and transportation needs within the district
Overview and Scrutiny
6.1
An Overview and/or Scrutiny Committee of either council can require the member of
that council holding the office of Chair or Vice-Chair of JTB to attend and be asked
questions subject to the provisions of the Constitution on KCC or the council
whichever is relevant
6.2
The Overview and Scrutiny Committee of either council can request (but not compel)
members of the other council who serve on the JTB and officers employed by the
other council who report to the JTB to attend and be asked questions.
6.3
Overview and Scrutiny Committees of both councils will abide by the protocol of inter-
authority co-operation on Overview and Scrutiny agreed by the former Kent
Association of Local Authorities and appended as Appendix 1 to this schedule.
Local Member and parish consultation
7.
The local members of both the KCC and the council and the parish or town council(s)
will be consulted on any relevant scheme proposals (other than routine operational
maintenance of the highway) within the scope of this agreement.
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Executive action
8.1
The KCC Executive will normally act in accordance with the advice or views of the
JTB. If the Executive is minded to act otherwise, no decision will be taken until after
a discussion at the KCC Highways Advisory Board at which the Chair and Vice Chair
of the JTB may attend and speak.
8.2
The council Executive will normally act in accordance with the advice or views of the
JTB. If the Executive is minded to act otherwise, no decision will be taken until after
a discussion between the relevant Executive member and the Chair and Vice-Chair
of the JTB.
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Part Five
Codes and protocols
Members’ code of Conduct
The Model code of Conduct
Part 1
General provisions
1.
Introduction and interpretation
(1) This Code applies to
you as a member of an authority.
(2) You should read this Code together with the general principles prescribed by the
Secretary of State4.
(3) It is your responsibility to comply with the provisions of this Code.
(4)
In this Code:
"meeting" means any meeting of:
(a)
the
authority;
(b)
the executive of the authority;
(c) any of the authority's or its executive's committees, sub-committees, joint
committees, joint sub-committees, or area committees;
"member" includes a co-opted member and an appointed member.
(5) In relation to a parish council, references to an authority's monitoring officer and an
authority's standards committee shall be read, respectively, as references to the
monitoring officer and the standards committee of the district council or unitary county
council which has functions in relation to the parish council for which it is responsible
under section 55(12) of the Local Government Act 2000.
2. Scope
(1)
Subject to sub-paragraphs (2) to (5), you must comply with this
Code whenever you:
(a) conduct the business of your authority (which, in this Code, includes the business
of the office to which you are elected or appointed); or
(b) act, claim to act or give the impression you are acting as a representative of your
authority,
and references to your official capacity are construed accordingly.
(2) Subject to sub-paragraphs (3) and (4), this Code does not have effect in relation to your
conduct other than where it is in your official capacity.
4 See the Relevant Authorities (General Principles) Order 2001 (S.I. 200111401).
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(3) In addition to having effect in relation to conduct in your official capacity, paragraphs
3(2)(c), 5 and 6(a) also have effect, at any other time, where that conduct constitutes a
criminal offence for which you have been convicted.
(4) Conduct to which this Code applies (whether that is conduct in your official capacity or
conduct mentioned in sub-paragraph (3)) includes a criminal offence for which you are
convicted (including an offence you committed before the date you took office, but for
which you are convicted after that date).
(5) Where you act as a representative of your authority:
(a) on another relevant authority, you must, when acting for that other authority,
comply with that other authority's code of conduct; or
(b) on any other body, you must, when acting for that other body, comply with your
authority's code of conduct, except and insofar as it conflicts with any other lawful
obligations to which that other body may be subject.
3.
General obligations
(1) You must treat others with respect.
(2)
You must not:
(a) do anything which may cause your authority to breach any of the equality
enactments (as defined in section 33 of the Equality Act 2006);
(b)
bully any person;
(c)
intimidate or attempt to intimidate any person who is or is likely to be:
(i)
a
complainant;
(ii)
a witness; or
(iii) involved in the administration of any investigation or proceedings, in
relation to an allegation that a member (including yourself) has failed to
comply with his or her authority's code of conduct; or
(d) do anything which compromises or is likely to compromise the impartiality of
those who work for, or on behalf of, your authority.
(3) In relation to police authorities and the Metropolitan Police Authority, for the purposes
of sub-paragraph (2)(d) those who work for, or on behalf of, an authority are deemed to
include a police officer.
4.
You must not:
(a) disclose information given to you in confidence by anyone, or information
acquired by you which you believe, or ought reasonably to be aware, is of a
confidential nature, except where:
(i)
you have the consent of a person authorised to give it;
(ii)
you are required by law to do so;
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(iii) the disclosure is made to a third party for the purpose of obtaining
professional advice provided that the third party agrees not to disclose
the information to any other person; or
(iv) the disclosure is:
(aa)
reasonable and in the public interest; and
(bb) made in good faith and in compliance with the reasonable
requirements of the authority; or
(b) prevent another person from gaining access to information to which that
person is entitled by law.
5.
You must not conduct yourself in a manner which could reasonably be regarded as
bringing your office or authority into disrepute.
6.
You:
(a) must not use or attempt to use your position as a member improperly to confer
on or secure for yourself or any other person, an advantage or disadvantage;
and
(b) must, when using or authorising the use by others of the resources of your
authority:
(i) act in accordance with your authority's reasonable requirements;
(ii) ensure that such resources are not used improperly for political purposes
(including party political purposes); and
(c) must have regard to any applicable Local Authority Code of Publicity made
under the Local Government Act 1986.
7.
(1)
When reaching decisions on any matter you must have regard to any relevant
advice provided to you by:
(a) your authority's chief finance officer; or
(b) your authority's monitoring officer,
where that officer is acting pursuant to his or her statutory duties.
(2)
You must give reasons for all decisions in accordance with any statutory
requirements and any reasonable additional requirements imposed by your
authority.
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Part 2
Interests
8. Personal interests
(1)
You have a personal interest in any business of your authority where either:
(a)
it relates to or is likely to affect:
(i)
any body of which you are a member or in a position of general control or
management and to which you are appointed or nominated by your
authority;
(ii)
any
body:
(aa)
exercising functions of a public nature;
(bb)
directed to charitable purposes; or
(cc) one of whose principal purposes includes the influence of public
opinion or policy (including any political party or trade union),
of which you are a member or in a position of general control or
management;
(iii) any employment or business carried on by you;
(iv) any person or body who employs or has appointed you;
(v)
any person or body, other than a relevant authority, who has made a
payment to you in respect of your election or any expenses incurred by you
in carrying out your duties;
(vi) any person or body who has a place of business or land in your authority's
area, and in whom you have a beneficial interest in a class of securities of
that person or body that exceeds the nominal value of £25,000 or one
hundredth of the total issued share capital (whichever is the lower);
(vii) any contract for goods, services or works made between your authority and
you or a firm in which you are a partner, a company of which you are a
remunerated director, or a person or body of the description specified in
paragraph (vi);
(viii) the interests of any person from whom you have received a gift or
hospitality with an estimated value of at least £25;
(ix) any land in your authority's area in which you have a beneficial interest;
(x) any land where the landlord is your authority and you are, or a firm in which
you are a partner, a company of which you are a remunerated director, or a
person or body of the description specified in paragraph (vi) is, the tenant;
(xi) any land in the authority's area for which you have a licence (alone or jointly
with others) to occupy for 28 days or longer; or
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(b) a decision in relation to that business might reasonably be regarded as affecting
your well-being or financial position or the well-being or financial position of a
relevant person to a greater extent than the majority of:
(i)
(in the case of authorities with electoral divisions or wards) other council tax
payers, ratepayers or inhabitants of the electoral division or ward, as the
case may be, affected by the decision;
(ii)
(in the case of the Greater London Authority) other council taxpayers,
ratepayers or inhabitants of the Assembly constituency affected by the
decision; or
(iii) (in all other cases) other council tax payers, ratepayers or inhabitants of your
authority's area.
(2)
In sub-paragraph (1)(b), a relevant person is:
(a) a member of your family or any person with whom you have a close association; or
(b) any person or body who employs or has appointed such persons, any firm in which
they are a partner, or any company of which they are directors;
(c) any person or body in whom such persons have a beneficial interest in a class of
securities exceeding the nominal value of £25,000; or
(d) any body of a type described in sub-paragraph (1)(a)(i) or (ii).
9.
Disclosure of personal interests
(1) Subject to sub-paragraphs (2) to (7), where you have a personal interest in any business
of your authority and you attend a meeting of your authority at which the business is
considered, you must disclose to that meeting the existence and nature of that interest at
the commencement of that consideration, or when the interest becomes apparent.
(2) Where you have a personal interest in any business of your authority which relates to or
is likely to affect a person described in paragraph 8(1)(a)(i) or 8(1)(a)(ii)(aa), you need
only disclose to the meeting the existence and nature of that interest when you address
the meeting on that business.
(3) Where you have a personal interest in any business of the authority of the type
mentioned in paragraph 8(1)(a)(viii), you need not disclose the nature or existence of that
interest to the meeting if the interest was registered more than three years before the
date of the meeting.
(4) Sub-paragraph (1) only applies where you are aware or ought reasonably to be aware of
the existence of the personal interest.
(5) Where you have a personal interest but, by virtue of paragraph 14, sensitive information
relating to it is not registered in your authority's register of members' interests, you must
indicate to the meeting that you have a personal interest, but need not disclose the
sensitive information to the meeting.
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(6) Subject to paragraph 12(1)(b), where you have a personal interest in any business of
your authority and you have made an executive decision in relation to that business, you
must ensure that any written statement of that decision records the existence and nature
of that interest.
(7)
In this paragraph, "executive decision" is to be construed in accordance with any
regulations made by the Secretary of State under section 22 of the Local Government
Act 2004
5.
10. Prejudicial interest generally
(1) Subject to sub-paragraph (2), where you have a personal interest in any business of
your authority you also have a prejudicial interest in that business where the interest is
one which a member of the public with knowledge of the relevant facts would
reasonably regard as so significant that it is likely to prejudice your judgement of the
public interest.
(2) You do not have a prejudicial interest in any business of the authority where that
business:
(a) does not affect your financial position or the financial position of a person or body
described in paragraph 8;
(b) does not relate to the determining of any approval, consent, licence, permission
or registration in relation to you or any person or body described in paragraph 8;
or
(c) relates to the functions of your authority in respect of:
(i)
housing, where you are a tenant of your authority provided that those
functions do not relate particularly to your tenancy or lease;
(ii)
school meals or school transport and travelling expenses, where you are
a parent or guardian of a child in full time education, or are a parent
governor of a school, unless it relates particularly to the school which the
child attends;
(iii)
statutory sick pay under Part XI of the Social Security Contributions and
Benefits Act 1992, where you are in receipt of, or are entitled to the
receipt of, such pay;
(iv) an allowance, payment or indemnity given to members;
(v)
any ceremonial honour given to members; and
(vi) setting council tax or a precept under the Local Government Finance Act
1992.
5See the LocalAuthorities (Executive Arrangements) (Access to Information) (England) Regulations
(S.12000/3272).
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11. Prejudicial interests arising in relation to overview and scrutiny committees
You also have a prejudicial interest in any business before an overview and scrutiny
committee of your authority (or of a sub-committee of such a committee) where:
(a) that business relates to a decision made (whether implemented or not) or action
taken by your authority's executive or another of your authority's committees,
sub-committees, joint committees or joint sub-committees; and
(b) at the time the decision was made or action was taken, you were a member of
the executive, committee, sub-committee, joint committee or joint sub-committee
mentioned in paragraph (a) and you were present when that decision was made
or action was taken.
12. Effect of prejudicial interests on participation
(1) Subject to sub-paragraph (2), where you have a prejudicial interest in any business of
your authority:
(a)
you must withdraw from the room or chamber where a meeting
considering the business is being held
(i) in a case where sub-paragraph (2) applies, immediately after making
representations, answering questions or giving evidence;
(ii) in any other case, whenever it becomes apparent that the business is
being considered at that meeting;
unless you have obtained a dispensation from your authority's standards
committee;
(b)
you must not exercise executive functions in relation to that business; and
(c)
you must not seek improperly to influence a decision about that business.
(2) Where you have a prejudicial interest in any business of your authority, you may attend
a meeting (including a meeting of the overview and scrutiny committee of your
authority or of a sub-committee of such a committee) but only for the purpose of
making representations, answering questions or giving evidence relating to the
business, provided that the public are also allowed to attend the meeting for the same
purpose, whether under a statutory right or otherwise.
Part 3
Registration of Members' Interests
13. Registration of members' interests
(1) Subject to paragraph 14, you must, within 28 days of:
(a)
this Code being adopted by or applied to your authority; or
(b) your election or appointment to office (where that is later), register in your
authority's register of members' interests (maintained under section 81(1) of the
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Local Government Act 2000) details of your personal interests where they fall
within a category mentioned in paragraph 8(1)(a), by providing written notification
to your authority's monitoring officer.
(2) Subject to paragraph 14, you must, within 28 days of becoming aware of any new
personal interest or change to any personal interest registered under paragraph (1),
register details of that new personal interest
or change by providing written notification
to your authority's monitoring officer.
14. Sensitive information
(1) Where you consider that the information relating to any of your personal interests is
sensitive information, and your authority's monitoring officer agrees, you need not
include that information when registering that interest, or, as the case may be, a change
to that interest under paragraph 13.
(2) You must, within 28 days of becoming aware of any change of circumstances which
means that information excluded under paragraph (1) is no longer sensitive information,
notify your authority's monitoring officer asking that the information be included in your
authority's register of members' interests.
(3) In this Code, "sensitive information" means information whose availability for inspection
by the public creates, or is likely to create, a serious risk that you or a person who lives
with you may be subjected to violence or intimidation.
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First protocol to the Canterbury City Council Code of Conduct
Note – See paragraph 1(2) of the code of the key provision under which this protocol
is made.
THE GENERAL PRINCIPLES
Selflessness
1.
Members should serve only the public interest and should never improperly confer an
advantage or disadvantage on any person.
Honesty and Integrity
2.
Members should not place themselves in situations where their honesty and integrity
may be questioned, should not behave improperly and should on all occasions avoid
the appearance of such behaviour.
Objectivity
3.
Members should make decisions on merit, including when making appointments,
awarding contracts, or recommending individuals for rewards or benefits.
Accountability
4.
Members should be accountable to the public for their actions and the manner in
which they carry out their responsibilities, and should co-operate fully and honestly
with any scrutiny appropriate to their particular office.
Openness 5.
Members should be as open as possible about their actions and those of their
authority, and should be prepared to give reasons for those actions.
Personal Judgement
6.
Members may take account of the views of others, including their political groups, but
should reach their own conclusions on the issues before them and act in accordance
with those conclusions.
Respect for Others 7.
Members should promote equality by not discriminating unlawfully against any
person, and by treating people with respect, regardless of their race, age, religion,
gender, sexual orientation or disability. They should respect the impartiality and
integrity of the authority's statutory officers, and its other employees.
Duty to Uphold the Law
8.
Members should uphold the law and, on all occasions, act in accordance with the
trust that the public is entitled to place in them.
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Stewardship
9.
Members should do whatever they are able to do to ensure that their authorities use
their resources prudently and in accordance with the law.
Leadership 10.
Members should promote and support these principles by leadership, and by
example, and should act in a way that secures or preserves public confidence
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Second protocol to the Canterbury City Council Code of Conduct
Note – See paragraph 4(a)(iv)(bb) for the key provision under which this protocol is
made.
GUIDANCE ON THE DISCLOSURE OF CONFIDENTIAL INFORMATION BY MEMBERS
1. Introduction
1.1
As a Member, you will have access to a great deal of information which is
confidential, either because it is personal information or because it is commercially
sensitive or it is information which would not otherwise be placed in the public
arena/domain.
1.2
The handling of confidential information is an essential element in the relationships of
trust that should exist between Members, Officers and the public and a mishandling
of such information and/or its accidental or deliberate disclosure is likely to damage
trust as well as lead to formal proceedings being taken against the Council, individual
Members or Officers.
1.3
The Council is committed to the principles of openness and transparency. However,
in the practical application of these principles, you need to have regard to legal
obligations which, in some cases, may require information to be kept confidential.
1.4 The
Member Code of Conduct (paragraph 4) provides that:
‘You must not disclose information given to you in confidence by anyone, or
information acquired by you which you believe, or ought reasonably to be aware, is of
a confidential nature, except where –
(i)
you have the consent of the person authorised to give it;
(ii)
you are entitled by law to do so;
(iii)
the disclosure is made to a third party for the purpose of obtaining
professional advice provided that the third party agrees not to disclose the
information to any other person; or
(iv)
the disclosure is –
(aa)
reasonable and in the public interest; and
(bb)
made in good faith and in compliance with the reasonable
requirements of the authority.’
1.5
The Council’s Constitution provides rules which you must follow in relation to
inspection of and/or access to Council information.. These rules are summarised in
para. 6 of this Guidance.
1.6
The Council has a policy on whistleblowing. Data protection, freedom of information,
human rights and other statutory provisions may also be relevant to the disclosure of
confidential information. You should seek advice from the Monitoring Officer or his
deputy on the application of the law if you are in doubt.
1.7
Information in documents held by the Council, belongs to the Council corporately and
not to individual Officers or Members.
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2.
What is confidential information?
2.1
In order to ascertain whether information is confidential, it is important to understand
what is meant by a duty of confidence and how confidentiality can be established.
2.2
A duty of confidence arises when one person (the ‘confident’) is provided with
information by another (the ‘confider’) in the expectation that the information will only
be used or disclosed in accordance with the wishes of the confider. This is generally
known as the common law duty of confidence.
2.3
There are various ways in which a person or the Council may be under a duty of
confidentiality (either explicitly or implied), such as:
(i)
if the relationship is inherently confidential e.g. between client and
lawyer.
(ii)
if the relationship is personal e.g. it is between colleagues in circumstances
that suggest an expectation of confidentiality.
(iii)
if the source of the information will be put at risk if identified e.g. whistle
blowers.
2.4
Confidentiality is unlikely to be established where the information is already known to
a wide circle or is in the public domain.
2.5
Information which at one time was to be treated as confidential may subsequently
cease to be confidential by passage of time or where, in the case of exempt
Information, the relevant meeting did not resolve to exclude the press and public.
2.6
Confidentiality can be agreed either verbally or in writing. However, It is not
necessary for the person who supplied the information to have stated expressly that
the information is confidential. For example, the fact that correspondence is not
marked ‘confidential’ does not necessarily prevent it from being confidential. In many
cases, the fact that the information is confidential may be inferred from the subject
matter and the surrounding circumstances.
2.7
With the consent of the ‘confider’, confidentiality can be set aside.
2.8
It may be difficult to establish that a confidentiality agreement existed retrospectively.
This is especially true if there is little or no evidence of an attempt having been made
to restrict or protect the information at the time the information was given, but, as
outlined in para. 2.3 of this Guidance, some relationships are inherently confidential
and in those circumstances,
confidentiality may well be implicit, rather than explicit.
2.8
Committee agenda context
The meaning of the term ‘confidential’ in the committee agenda context, is very
restricted and tightly defined in law and will relate to information which has been
supplied to the Council by a government department upon terms which prevent its
disclosure to the public, or information which by law, is prohibited from being
disclosed to the public. The public and press must be excluded from meetings where
such information is being considered.
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3.
What is exempt Information?
3.1
Schedule 12A of the Local Government Act 1972 sets out a number of categories
and circumstances of exemption: information about individuals, financial or business
affairs of an individual including the Council, trade disputes, legal advice, crime and
Standards Committee deliberations etc.
3.2
Reports normally at the end of a committee agenda and on pink paper (referred to as
‘the pink items’) will relate to exempt information matters which remain confidential
until the Proper Officer (i.e. the Monitoring Officer) considers the public interest test
and decides that it is in the interests of the public to release some or all of the
information. In practice, this exercise is undertaken at the time the report is drafted
and/or following a specific Freedom of Information or Environmental Information
Regulations request.
The public and the press may be excluded from a meeting where exempt
information is being considered.
4.
Other confidential Information
4.1
It would be a mistake to consider that it is only ‘confidential information’ or ‘exempt
information’ as defined in the legislation that should be protected from disclosure.
Information other than that which is to be discussed at, or is the subject of a report to,
a committee meeting may be provided to you in confidence.
4.2
Information provided expressly ‘in confidence’ to you (whatever words are used to
describe its confidential nature), should be treated as confidential information. An
example might include sensitive legal or financial information provided to you by
Officers outside the context of a formal committee meeting, or sensitive information
provided to you by a constituent.
5.
When is information likely to be confidential?
5.1
Generally, the confidentiality or otherwise of information needs to be considered in
the context of individual circumstances. By way of indicative guidance, the following
categories of information would normally be treated as confidential:
(a)
Where there is a legal restriction on the disclosure of information for example
under the Data Protection Act 1998, contractual obligations, a court order or
pending legal proceedings covered by the sub judice rule.
(b)
All reports that are the pink items in committee agendas or are otherwise
described as exempt or confidential items (refer to paras. 2.10 and 3 of this
Guidance). Occasionally there are mistakes and items which should be
printed on pink paper are not. Always check with the Monitoring Officer or his
deputy if you are in any doubt.
(c)
Where information is supplied to a Member by an Officer or other person in
confidence.
(d)
Matters concerning terms and conditions of employment of individual Officers
or pending grievance or disciplinary proceedings.
(e)
Matters concerning details of commercial negotiations.
(f)
Personal information concerning an individual.
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(g)
Information protected by legal professional privilege (i.e. arising from a
relationship of lawyer and client).
(h)
Information which, given its nature, timing and context is such that a
reasonable person would consider it to be confidential.
(i)
Information relating to the business of working groups (there is a presumption
that the business of working groups is confidential).
(j)
Where the disclosure of information would normally tend to have a
detrimental effect on the interests of the Council, the service users or third
parties involved.
6.
Your right as a Member to access confidential information
6.1
The Council has a general commitment to openness. Your access to information and
documents is therefore restricted only where there is a good reason for doing so.
6.2
You have a common law right to access information on a ‘need to know’ basis. This
entitles you to access information or documents that are reasonably necessary to
enable you to discharge your functions as a Councillor. This would cover your role as
a member of committees, sub-committees or working groups, as well as positions to
which you are appointed by the Council and in the undertaking of your ward
Councillor responsibilities. The right is limited to a need to know and a mere curiosity
or desire to know is not sufficient. The courts have also held that as a Councillor, you
have no right to a ‘roving commission’ to examine the books or documents of the
Council.
6.3
One aspect of the need to know principle is proportionality. In asking for information
and documents, you need to ensure that what you are asking (in terms of volume of
documents, time needed to locate, research and collation of the information etc.), is
commensurate to your need to know.
6.4
An Officer receiving a request for information from you, is entitled to know the
reasons why the information is needed so that a proper assessment of the need to
know can be made. Where you are dissatisfied with the Officer response, you may
refer the matter to the Monitoring Officer or in his absence the Chief Executive for a
review. Their Monitoring Officer’s decision will be final.
6.5
You cannot demand to see a document which relates to business not yet due to
come before a committee meeting.
7.
When am I subject to a duty of confidentiality under the Member Code of
Conduct?
7.1
The duty of confidentiality under the Code applies only when you are acting in an
‘official’ capacity. The information must therefore have been received and/or
disclosed by you in your role as a Councillor. This should however not be interpreted
as meaning confidential information which has been received in your role of
Councillor, can be disclosed with impunity in a private capacity. The duty under the
Code is not limited to information supplied by Officers or the Council - it also covers
information given to you in your capacity as a Councillor, by any person.
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8.
What requirements must I comply with under the Member Code of Conduct?
8.1
The Member Code of Conduct imposes a duty of confidentiality on you and prohibits
the disclosure of confidential information except in a defined range of circumstances
and subject to a number of requirements.
8.2
The defined range of circumstances
8.2.1 The first defined range of circumstances is that before disclosing confidential
information, you must have the consent of the person authorised to give it. This
would normally be the author of the document or the Director or a Senior Officer of
the Department which includes the service area. They may need to consult others
before giving consent.
8.2.2 The second defined range of circumstances is that you may disclose confidential
information if you are entitled by law to do so e.g. by a court order.
8.2.3 The third defined range of circumstances is that you may disclose confidential
information to a third party e.g. a lawyer for the purpose of obtaining professional
advice provided that the third party agrees not to disclose the information to any
other person.
8.3
The requirements
8.3.1 The first requirement that the disclosure must be reasonable, requires you to
consider matters such as:
• whether you believe that the information disclosed and any matters contained in it, is
substantially true. If you do not believe this, then the disclosure is unlikely to be
reasonable;
• if the disclosure is made for personal gain e.g. where you are paid to disclose the
information, the disclosure is unlikely to be reasonable;
• the identity of the person to whom the disclosure is made: it may be reasonable to
disclose information to the police or to an appropriate regulator. It is less likely to be
reasonable for you to disclose the information to the world at large through the
media;
• the extent of the information disclosed: the inclusion of unnecessary detail, and in
particular, private matters such as addresses or telephone numbers, is likely to
render the disclosure unreasonable;
• the seriousness of the matter - the more serious the matter, the more likely it is that
the disclosure will be reasonable;
• the timing of the disclosure - if the matter to which the disclosure relates has already
occurred and is unlikely to occur again, the disclosure is less likely to be reasonable
than if the matter is continuing or is likely to re-occur;
• whether the disclosure involves the Council failing in a duty of confidence owed to
another person.
Points to remember
• You must not disclose confidential information merely to make political capital/gain.
• Disclosure of confidential information to the press is most likely to involve a breach of
the Member Code of Conduct and is rarely justified.
• You should have regard to your fiduciary duty to the Council and council taxpayers
and that you have joint responsibility to avoid the disclosure of information of a
commercially sensitive nature.
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• Confidential information gained by you in connection with pending or ongoing
litigation should not be disclosed under any circumstances, as this would amount to a
breach of trust.
8.3.2 The second requirement that the disclosure must be in the public interest, needs to
involve one or more of the following matters or something of comparable seriousness
that has either happened in the past, is currently happening, or is likely to happen in
the future:
(a)
a criminal offence is committed.
(b)
the Council or some other person fails to comply with any legal obligation to
which they are subject.
(c)
a miscarriage of justice occurs.
(d)
the health or safety of any individual is at risk.
(e)
the environment is likely to be damaged.
(f)
that information tending to show any matter falling within (a) to (e), is
deliberately concealed.
Points to remember
• ‘Public interest’ has been described as something that is of serious concern or
benefit to the public, not merely of individual interest. The public interest does not
mean ‘of interest to the public’ but ‘in the interest of the public’. The term is not
defined in law, so you will need to make a subjective judgement, in which policy and
legal interpretations are both involved to some degree.
• Because of the implications associated with releasing confidential information e.g.
risk to an individual, risk to commercial negotiations etc, any decision to release such
information has to be made with great care. In evaluating the effect of disclosing
confidential information, it will be necessary for you to consider the full context of that
disclosure, and to make a risk assessment of the disclosure.
Therefore:
a.
identify the relevant public interest factors;
b.
list the factors for and those against releasing the information;
c.
evaluate the relevant public interest factors, e.g. no weight, minimal weight,
moderate weight or considerable weight;
d.
determine where the balance lies.
8.3.2 The
third requirement that disclosure is made in good faith, will not be met if you act
with an ulterior motive, for example to achieve a party political advantage or to settle
a score with a political opponent.
Points to remember
• The law defines good faith as a state of mind consisting in:
(1)
honesty in belief or purpose;
(2)
faithfulness to one’s duty or obligation;
(3)
observance of reasonable commercial standards of fair dealing in a given
trade or business; or
(4)
absence of intent to seek unconscionable advantage.
• In law, the consensus is that someone does something ‘in good faith’ when they do it
honestly and with no ulterior motive.
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• It would be prudent for you to balance any risk against the merits of disclosing
confidential information. You may believe that you act ‘in good faith,’ in that you
genuinely believe it is in the public interest to disclose certain information (such as
personal information about individuals or commercially sensitive information about
companies) where on a more objective test, it may not be in the public interest. An
example might be the disclosure of the address of a housing benefit claimant or
suspected paedophile.
• You must never release confidential information for personal gain, reward or motive.
8.4 The
fourth requirement that you comply with the reasonable requirements of the
authority, means that before making the disclosure, you must comply with the
Council’s policies or protocols on matters such as data protection, freedom of
information, human rights, whistleblowing and this Guidance (refer to para.9 for the
procedure to be applied before you disclose confidential information).
Points to remember
• Never allow your party political interests to override the interests of the Council and
council tax payers in the way that you deal with access to or the disclosure of
confidential information.
• Just because communication is not labelled ‘confidential’, you should not assume
that it is for general release. You should always consider the circumstances.
• Don’t take risks.
9.
What procedure must I comply with before disclosing confidential information?
9.1
Where any of the defined range of circumstances do not apply (para. 8.2 of this
Guidance), you must not disclose confidential information unless you have first:
(i)
challenged the requirement for confidentiality, by submitting a Freedom of
Information/Environmental Information Regulations request to the Freedom of
Information Officer; or
(ii)
made the disclosure under the Council’s Whistleblowing Policy having first
applied the range of requirements referred to in paras. 8.3.1 to and including
8.3.3 of this Guidance.
10.
General
10.1 This Guidance is meant by way of a general guide and does not attempt to cover all
eventualities. Any breaches of this Guidance may result in a complaint to the
Council’s Standards Committee or to the Standards Board for England, where any
allegation, if proven, warrants the Adjudication Panel for England’s penalties.
10.2
Further advice or clarification can be sought from the Monitoring Officer
[email address] or his deputy [email address]
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Third protocol to the Canterbury City Council Code of Conduct
Note – See paragraph 6(b)(i) for the key provisions under which this protocol is made.
PROTOCOL FOR USE OF COUNCIL RESOURCES BY COUNCILLORS
Introduction
1.
The purpose of this Protocol is to provide a guide to the use of Council resources by
Councillors.
Resources provided to Councillors
2.
The Council provides a range of facilities to support Councillors, such as stationery,
photocopying, telephone, an email address and IT equipment (which includes any
access to the Council’s systems via any on-site or remote access link), to enable
Councillors to carry out their duties as a councillor. Members must make sure that
they use the Council’s resources for proper purposes only and when using the
Council’s resources, Members must have regard to the Local Authority Code of
Publicity and the Member Code of Conduct.
3.
The Council is prohibited from publishing any material of a party political nature and
Members should ensure that when using or authorising the use by others of the
Council’s resources, that such resources are not used for purely political purposes
unless that use could reasonably be regarded as likely to facilitate, or be conducive
to, the discharge of the functions of the Council or of the office to which the Member
has been elected or appointed. Members may therefore use Council resources and
facilities for political purposes in connection with the following business:
(a) holding ward surgeries;
(b) dealing with correspondence from constituents;
(c) communicating group activities;
(d) meetings between group members.
4.
A Member’s use of Council resources must not extend to political parties more
generally.
5.
The Council agrees to de minimis usage that would otherwise be contrary to this
Protocol, but which is so small in extent, that a reasonable person knowing all the
facts would take the view that it should not be thought of as to be included in what is
being controlled, prohibited or otherwise included in this Protocol.
6.
The use by a Member, of any Council resources for purely political purposes,
including designing and distributing party political material produced for publicity
purposes and support of any political party or group activity, elections and
campaigning, is likely to amount to a breach of the Member Code of Conduct.
7.
During the election period (which runs from the publication of the notice of election to
the close of the polls), Members must not use their Council email address in any
ward newsletters which contain election or campaigning material.
8.
Provided that the use of any Council resource is not purely in connection with political
purposes and there is no cost to the Council nor any liability for the Council arising
from its use for secondary purposes, it is a matter for each individual Member as to
whether or not they use it for private and family purposes. Members will however
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need to take into account any additional costs that may arise from extending software
licences and the replacement of equipment (excluding marginal shortening of the life
of items of equipment (for example modest use of a printer)). Members must also
take into account security issues related to confidential information and the
processing and disclosure of information under the Data Protection Act 1998.
9.
Members are under an obligation to ensure that any secondary use of IT equipment
supplied by the Council is acceptable and appropriate and that such use does not
contravene the Member Code of Conduct, Council codes, protocols etc, the Misuse
of Computer Act 1990 and any other relevant UK and European legislation.
10.
Councillors supplied with a Council computer and Internet connection facilities, must
sign the Council’s standard agreement for the use of IT and comply with the
agreement.
11.
Advice or clarification can be sought from the Monitoring Officer
[email address] or his deputy [email address]
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Code of Conduct for employees
1. Background
1.1
The first two reports of the Nolan Committee on Standards in Public Life set out a
common ethical framework 'which is in line with current thinking and good practice'.
'We recommended that everybody providing public services should draw up codes
of conduct for both managers and staff which incorporate these (seven) principles
(of public life), and should reinforce these through training..'
1.2
The seven principles are:
Selflessness: Holders of public office should take decisions solely in terms of the
public interest. They should not do so in order to gain financial or other material
benefits for themselves, their family or their friends.
Integrity: Holders of public office should not place themselves under any financial
or other obligation to outside individuals or organisations that might influence them
in the performance of their official duties.
Objectivity: In carrying out public business, including making public appointments,
awarding contracts, or recommending individuals for rewards and benefits, holders
of public office should make choices on merit.
Accountability: Holders of public office are accountable for their decisions and
actions to the public and must submit themselves to whatever scrutiny is
appropriate to their office.
Openness: Holders of public office should be as open as possible about all the
decisions and actions they take. They should give reasons for their decisions and
only restrict information when the wider public interest clearly demands.
Honesty: Holders of public office have a duty to declare any private interests
relating to their public duties and to take steps to resolve any conflicts arising in a
way that protects the public interest.
Leadership: Holders of public office should promote and support these principles
by leadership and example.
1.3
This Code of Conduct has been prepared in response to that recommendation and
guidance from the Audit Commission.
2.
Introduction
2.1
Canterbury City Council aims to provide excellent local government for the people
of the Canterbury district. It has, therefore, agreed this Code of Conduct in order to:
(a)
promote the highest standards in public life
(b)
promote harmonious working relationships
(c)
protect employees from misunderstanding or criticism
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2.2
Every organisation has its rules. Generally the vast majority of staff in Canterbury
City Council work with integrity. However, the reputation of all staff is helped when
a misdemeanour is discovered and corrected.
2.3
This code sets out the minimum standards by which the council and its staff work.
It is not a complete list of what you can and cannot do, but its aim is to enable staff
to understand the ground rules.
2.4
Examples used in this code are for guidance and it is up to you to think for yourself
what impact your actions may have on your job. For example would you feel
comfortable in defending your actions if they became public knowledge.
2.5
The council expects and obtains high standards from its employees because:
(a)
council services can affect the health, wealth and well-being of local people
(b)
the council is subject to democratic control and is accountable to the
electorate
(c)
local people fund council spending and take an interest in the way money is
spent
(d)
the council sometimes has a monopoly on the service it offers
2.6
The code is binding on all council staff.
3.
Applying for a job with the council
3.1
The council is committed to a fair and open approach to staff recruitment. It
requires that its appointments are made without bias, on the basis of the
candidate's ability and suitability for the job. Candidates must declare any matter
which might lead the public to suspect their motives in taking the job.
3.2
Please ensure that you:
(a)
are open and honest:
*
at any interview
*
on any application form
(b)
disclose any criminal offence** you have been convicted of
(c)
disclose any formal criminal charges which have been made against you
(d)
disclose if you are a friend or relative or have other links with
*
a Councillor
*
an officer who may influence your appointment
(e)
do nothing to seek undue favour from staff or members in council selection
procedures
**UNLESS it is 'spent' under the terms of the Rehabilitation of Offenders Act
1974 (as amended). More information about this is on the council's
application forms.
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4.
Working with the public and with other staff
4.1
Council staff are responsible to the elected members who represent the local
community. The council itself is looking continually to improve its responsiveness to
the people of its district and expects its staff to be courteous, efficient, helpful and
impartial in their dealings with the public. The council expects its staff to be as
open as possible in their dealings. Some information is sensitive and should not be
disclosed (see Para. 13 for examples) but your line manager will be the final
arbiter.
4.2
Please ensure that you:
(a)
meet agreed standards of service to the public when dealing with people, in
person, by phone, by letter and in their own home
(b)
are clean neat and appropriately dressed (in council work clothes, if issued)
(c)
identify yourself, when dealing with the public, unless the nature of your
work, as agreed by your line manager, makes identification unwise
(d)
avoid actions in public areas of council offices which may discredit council
services
(e)
comply with the council's policy on smoking
(f)
disclose any matter it is your duty to report
(g)
do not discriminate against or harass the people you meet in the course of
your work, particularly on grounds of race, sex or disability
(h)
implement council policy. Never use your work to further the aims of any
group whose ideas are in conflict with council policy
(i)
respect confidential information about members of the public, members of
the council or staff
(j)
respect other people, their rights and property
5.
Working with your managers
Staff are expected to show loyalty to the council and support its managers. A
climate of mutual confidence, trust and respect between managers and staff is
critical to achieving work targets and providing a high quality service.
5.1
Please ensure that you:
(a)
work reliably and diligently
(b)
carry out any proper instruction your managers give you, including general
instructions like departmental customer care codes, Standing Orders,
Financial Regulations, Contracts Code of Practice, legal requirements,
safety or other codes of conduct and rules that apply in your work place
(c)
complete accurately and honestly any document, form or record your
managers need for work. Never destroy, damage, alter or falsify any such
document or record
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6.
Working with your staff
6.1
The people employed by the council make the difference between success and
failure. The council expects managers to provide staff with clear direction, positive
motivation and the opportunity to develop their skills.
6.2
Please ensure that you:
(a)
deal with staff fairly and consistently, and provide equal opportunities in
your application of the council's personnel policies and procedures
(b)
set standards of work, give feedback and advice to staff on how
improvements can be made
(c)
support and assist staff to carry out their work properly, including help in
dealing with customers or other employees
(d)
train and develop staff to meet the current and future needs of the service
(within budgetary limits)
7.
Working safely
7.1
The council is committed to promoting good health, welfare and safe working
among its staff. Each employee has an obligation to take reasonable care for his/
her own health and safety and for the safety of others who may be affected by his/
her acts or omissions. Failure to do so may endanger him/her, the public and other
staff.
7.2
Please ensure that you:
(a)
Follow safety codes
(b)
comply with hygiene requirements
(c)
wear any safety clothing supplied by the council
(d)
report any accidents or near misses you have at work
(e)
attend any medical examination the council requires
(f)
never risk injury or danger to yourself or others
(g)
never do anything that affects your performance or judgement at work
including:
*
taking illegal drugs
*
drinking, where the safety of yourself or others may be affected
*
drinking enough to affect your performance at work
*
drinking enough so as to affect the public's perception of yourself or
the council
8.
Working hours and attendance
8.1
Poor attendance and bad timekeeping increase costs, reduce service levels and
undermine the reputation of the employee and the council.
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8.2
Please ensure that you:
(a)
adhere to the rules of the Flexible Working Hours scheme
(b)
tell your supervisor if you are not going to be at work eg for a doctor's visit
(c)
agree all leave with your manager
before you take any time off
(d)
never claim sick leave when you are not sick
(e)
comply with the council's rules on reporting sickness absence and act
sensibly to speed your recovery and return to work
(f)
do nothing which is inconsistent with your illness or injury, or which may
delay your recovery or worsen the problem
9.
Working honestly
9.1
Staff must ensure that they use public funds entrusted to them in a responsible and
lawful manner. It is a criminal offence for staff to receive or give any gift, reward or
advantage for work done in their official capacity. If an allegation is made, the
employee must demonstrate that any such rewards or benefits have not been
corruptly obtained. This may also include any indirect benefit such as gaining more
favourable terms than would be offered to you as a private individual for private
work or purchases because of your dealings with contractors or suppliers in your
official capacity.
9.2
Please ensure that you:
(a)
avoid corruption and the suspicion of it eg
#
do not ask for or accept bribes of any sort
#
never seek or take any reward or favour for providing council services
or letting a contract other than wages/salary
#
inform your line manager if you intend using a contractor or supplier in
a private capacity with whom you have a business relationship in your
official capacity. Business relationship includes requisitioning of
goods, materials or work, approval and certification of related
payments, or certification of grant or similar payments or approvals for
which you are directly responsible.
This is to protect yourself from unfounded allegations that you may have
misused your position as a council employee to gain some personal
advantage.
(b)
comply with Financial Regulations and Standing Orders
(c)
avoid fraud and report any evidence of it you find
Fraud happens when someone gets some benefit (usually money or
property) through deception eg an employee commits fraud if s/he:
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#
gets a car loan from the council and uses the money for another
purpose, or buys a car cheaper than the one in the loan agreement
#
falsifies documents to claim pay, bonus or sick pay to which s/he is
not entitled
(d)
respect council property or equipment. Take care not to waste, lose or
damage it
(e)
never steal, take or make personal use of council property
(f)
are aware of the location of and use the coin operated telephone boxes for
personal calls that cannot be made away from work
(g)
get agreement from your manager and pay for any phone calls, faxes or
photocopying that cannot be done away from work
10.
Accepting hospitality, gifts and tips
10.1
The council expects staff to be open and responsible in dealing with hospitality and
gifts. Your conduct, and what the public believes about your conduct, will affect
your reputation and that of the council.
10.2
Staff should not accept offers of hospitality unless they can clearly be seen to be in
the furtherance of work, for example working lunches where discussions continue
from a morning meeting into the afternoon.
10.3
Please ensure that you:
(a)
do nothing which you cannot justify as being for the benefit of the council
particularly if that could be seen as likely to influence your work and
decisions eg
#
accepting or asking for any gifts of more than token value
#
putting yourself in debt to someone
#
accepting unreasonable or undue hospitality from an outside
organisation
#
accepting use of facilities or equipment, eg a private gym, a vehicle,
accommodation, travel etc free or at a nominal charge.
(b)
register any gifts or hospitality you are offered (even if you refuse them) as
required by the council’s Management Team where the value is in excess of
the sum approved by the Management Team from time to time.
(c)
all members of staff must get the consent of their divisional or section head
to the acceptance of lunch or hospitality where the value is in excess of the
sum approved by the Management Team from time to time.
(d)
where a lunch or hospitality is approved, it should be modest in extent and
not be open to accusations of extravagance.
11. Working
with
integrity
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11.1
The council expects staff to do whatever is needed to protect their own reputation
and standing with the public and to build respect for the council. There should be
no reason to suspect staff of seeking opportunities for private gain. The
relationships that the council has with its partners, contractors, consultants,
community groups, suppliers and others, must be managed so that there can be no
suspicion of corruption, or dishonesty with public money.
11.2
Please ensure that you:
(a)
do whatever is necessary to protect the council's reputation and your own
(b)
do nothing away from work which might damage public confidence in the
council, or make you unsuitable for the work you do
(c)
are fair and impartial in dealing with all customers, competitors, suppliers,
contractors and sub-contractors
(d)
do not disclose confidential information useful to any of the council's
competitors unless required by law
(e)
report it to your Chief Officer if anyone, with whom you have had dealings in
the course of your work for the council, leaves you anything in their will
(f)
get written permission before you carry out any private work (even if it is
unpaid) eg
#
being a director, agent or professional advisor to a company
#
supplying goods or services to the council, its competitors,
contractors, suppliers, clients or tenants
get permission to use any council equipment at home on council business.
11.3
Employees must declare to their line manager, any non-financial interests that they
consider could bring about conflict with the authority's interests.
11.4
Employees should declare to the Head of Personnel membership of any
organisation not open to the public without formal membership and commitment of
allegiance and which has secrecy about rules or membership or conduct.
11.5
Employees should be aware of the risks in placing work with suppliers or
contractors with whom they have a close personal relationship as family or friends
as this may expose them to allegations of abusing their position. Where it is
necessary to do so, this should only be undertaken for sound business reasons in
competition with others. They must also inform their line manager and the
procurement unit so that advice can be given on how best to proceed.
12.
Reporting improper conduct
12.1
The council is committed to the highest standards of openness and accountability
and it expects staff to raise any reasonable suspicion of improper conduct, fraud or
corruption with an appropriate manager
12.2
The council is committed to protecting those who report the misconduct of others.
As far as is possible, the council offers to anyone reporting corruption:
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#
anonymity or confidentiality
#
support and protection from reprisal
#
information about any action taken as a result of the report
12.3
Staff can raise any misconduct with their line manager or, if necessary, their Chief
Officer.
12.4
If someone feels unable to approach their line manager or Chief Officer then they
may raise the matter directly and in confidence with the Deputy Monitoring Officer,
the Audit and Exchequer Manager or the Chief Executive.
12.5
The Chief Executive will take appropriate action if frivolous or malicious allegations
are made.
13.
Working with sensitive information
13.1
The council is required to make some information available to members, auditors,
government departments, service users and the public. The council expects staff
to use sensitive information properly and to have due respect for confidentiality.
Information gathered while working for the council should not be used for
commercial or personal gain or otherwise misused.
13.2
Please ensure that you:
(a)
know what information the council treats as confidential
(b)
who is entitled to have access to certain information
(c)
never discuss or misuse confidential information
(d)
are responsible and professional in using and allowing access to personal
information on clients, councillors, staff and others
(e)
use personal information held on computer in line with the principles of the
Data Protection Act. Such information must be:
#
obtained lawfully and fairly
#
held only for specified and lawful purposes
#
relevant and just sufficient for those purposes
#
used or disclosed for no other purpose
#
accurate, up to date and kept only as long as necessary
#
held securely to prevent unauthorised access or tampering
#
available for inspection and correction by the person the information is
about
NB Manual information should be treated in the same way as information
held on computer.
13.3
Officers are, by virtue of the nature of their duties and the responsibilities arising
from them under a special obligation to further the interests of the council.
Ownership of any copyright, design right, database or invention made by an
employee during the course of his/her normal duties or in the course of duties
falling outside his/her normal duties but specifically assigned to him/her will be with
the council.
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13.4
In your dealings with consultants and contractors you should, wherever
appropriate, ensure that the council acquires ownership of any database or
intellectual property rights produced specifically in connection with work for the
council.
14.
Working within the law
14.1
The council must carry out its business in a way that is rational, proper and fair.
The council cannot do anything without statutory authority and without following the
relevant procedures.
14.2
The council expects staff to work within the law. Unlawful or criminal behaviour at,
or even away from work, may result in a loss of trust and confidence in the
employee or the council.
14.3
Please ensure that you:
(a)
uphold the law at work
(b)
understand the law relevant to your sphere of work
(c)
never break or disregard a law away from work which could damage public
confidence in you or the council, or which makes you unsuitable for the
work that you do
15.
Working with councillors
15.1
Staff serve the authority as a whole. They serve all members and not just those of
any controlling group.
15.2
Staff are expected to contribute to proper and effective working relationships with
councillors. They must ensure that the rights of councillors are respected and must
ensure that they maintain their own political neutrality. Close personal familiarity
between individual councillors and officers can damage this relationship and give
rise to the appearance of improper conduct.
15.3
Please ensure that you:
(a)
are aware of the National Code of Local Government Conduct (which
applies to members) in relation to:
#
member involvement in recruitment, discipline and other employment
issues
#
relationships with officers
#
the distinctive roles of members and officers
#
use of confidential or private information
(b)
serve all members, not just those of the largest group
(c)
do not permit your own personal or political opinions to interfere with your
work and do not allow your political neutrality to be compromised
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(d)
do nothing that might embarrass others or damage your relationship with
members
(e)
deal with member enquiries efficiently
(f)
avoid close personal familiarity with members
(g)
disclose to your Chief Officer any family, business or personal relationships
with members where this may put you in a position to exercise improper
influence over the workings of the council
(h)
report to your Chief Officer any time a member asks or pressures you to
deal with a matter outside of council procedure or policy
(i)
do not seek to influence members prior to any appointment
(j)
take up any work problems or personal problems you have with managers,
do not raise them directly with members
(k)
report any claims or allegations about other staff to an appropriate manager
and not directly to members
(l)
respect any confidence received from a councillor
16. Managing contact with the media
16.1
The council expects staff to promote the policies and reputation of the council.
Each department will set guidelines which will identify staff authorised to talk to the
media. Employees who are not authorised to deal with representatives of the
media should refer any enquiries they receive to their Chief Officer, line manager or
to the council's Press Office.
16.2
Please ensure that you:
(a)
are aware of departmental guidelines and refer enquiries from the press to
the appropriate person
(b)
get permission from your Chief Officer to speak, write or give interviews to
the media about:
#
the council
#
your work
#
other issues where your connection with the council may damage its
reputation
(c)
never bring the council into disrepute by publicising material which is
confidential, or against the interests of the council or its employees
17. Use of ICT network and data
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17.1
Given the risks associated with the use of ICT resources and the internet, staff
should ensure that they are familiar with the council’s ICT acceptable use policy and
comply with its requirements.
18. Working within the code
18.1
The council undertakes to apply this code of conduct consistently and fairly. The
code is a public document and is distributed to all staff. Any breach of the code
may result in disciplinary action. Some breaches (known as gross misconduct)
would be serious enough to justify the council in dismissing staff for a first offence,
and without notice.
18.2
Examples of gross misconduct can be found in your Contract of Employment.
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Protocol on councillor/officer relations
1. Introduction
1.1
The relationship between councillors and officers is an essential ingredient that goes
into the successful working of the organisation. This relationship within the authority
is characterised by mutual respect, informality and trust. Councillors and officers feel
free to speak to one another openly and honestly. Nothing in this protocol is
intended to change the relationship. The purpose of this protocol is rather to help
councillors and officers to perform effectively by giving guidance on their respective
roles and expectations and on their relationship with each other. The protocol also
gives guidance on what to do on the rare occasions when things go wrong.
Responsibility for the operation of this protocol lies with the Head of Paid Service.
1.2
It is important that councillors and officers remember that they all have an obligation
to enhance the council’s reputation and do what they can to avoid criticism of
members or officers in public.
1.3
The protocol must be read and operated in the context of any relevant legislation and
national and local Codes of Conduct and any procedure for confidential reporting.
2.
Roles of Councillors and officers
2.1
The respective roles of councillors and officers can be summarised as follows:
Both councillors and officers have a duty to behave responsibly and
properly for the proper control of the council but their responsibilities are
distinct. Councillors are responsible to the electorate and serve only so
long as their term of office lasts. Officers are responsible to the council.
Their job is to give advice to councillors and to the authority, and to carry
out the authority’s work under the direction and control of the council, the
Executive and the committee of the council.
Mutual respect between councillors and officers is essential to good local
government.
2.2 Councillors
Councillors have three main areas of responsibility:
(a)
determining the policy of the authority on the advice of the officers and giving
it political leadership.
(b)
monitoring and reviewing the performance of the authority in implementing
the policy and delivering services.
(c)
acting as advocates on behalf of their constituents.
2.3
Members of the Executive, Chairs and Vice-Chairs
Members of the Executive and Chairs and Vice-Chairs of committees, panels and
similar bodies have additional responsibilities. Because of those responsibilities,
their relationships with employees may differ from, and be more complex than those
of councillors without those responsibilities. This is recognised in the expectations
they are entitled to have. However, such councillors must still respect the impartiality
of officers, must not ask them to undertake work of a party political nature, or to do
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anything which would put them in difficulty in relation to their duties in the event of a
change in the political composition of the authority.
2.4
Councillors engaged in Overview and Scrutiny including opposition councillors.
As individual councillors, all councillors have the same rights and obligations in their
relationship with officers and should be treated equally. This principle is particularly
important in the context of Overview and Scrutiny. However, where a political group
forms an administration, either alone or in partnership with another group or groups,
it is recognised that the relationship between officers, particularly those at a senior
level in the organisation, and the administration will differ from that with councillors in
opposition groups. It will also differ to a degree with all councillors engaged in
Overview and Scrutiny.
2.5 Officers
The role of officers is to give advice and information to councillors and to implement
the policies determined by the authority. The role of officers is also the management
of staff and services in accordance with best practice and statutory authorisation.
The usual point of contact for councillors whether Executive or otherwise should be
the relevant Director or Head of Service, although individually they may indicate to
councillors’ matters (eg the release of factual information) where they are content
that junior members of staff may be approached.
In giving such advice to councillors, and in preparing and presenting reports, it is the
responsibility of the officer to express his/her own professional views and
recommendations. Whilst an officer may report the views of individual councillors on
an issue, if the councillor wishes to express a contrary view he/she should not seek
to pressure the officer to make a recommendation other than in accordance with the
officer's professional view.
Certain officers eg Head of Paid Service, Monitoring Officer, Chief Finance Officer
(Section 151 Officer) and the Statutory Chief Officers have responsibilities in law over
and above their legal and professional obligations to the authority and to individual
councillors. Councillors must respect such obligations, and must not obstruct officers
in the discharge of these additional responsibilities, nor victimise officers for
discharging them.
3. Expectations
3.1
Councillors can expect from officers:
(a)
A commitment to the authority as a whole, and not to any political group
(b)
A working partnership
(c)
An understanding of and support for respective roles, workloads and
pressures
(d)
Timely response to enquiries and complaints
(e)
Professional advice, not influenced by political views or preference, which
does not compromise the political neutrality of officers
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(f)
Regular, up to date information on matters that can reasonably be considered
appropriate and relevant to their needs, having regard to any individual
responsibilities that councillors have and positions that they hold
(g)
Awareness of and sensitivity to the political environment
(h)
Respect, dignity and courtesy
(i)
Training and development in order to carry out their role effectively
(j)
Integrity, mutual support and appropriate confidentiality
(k)
Not to have personal issues raised with them by officers outside the agreed
procedures
(l)
That officers will not use their relationship with councillors to advance their
personal interests or to influence decisions improperly
(m)
That officers will at all times comply with the relevant Code of Conduct when
promulgated by the Secretary of State
(n)
Support for the role of councillors as the local representatives of the authority,
within any scheme of support for councillors which may be approved by the
authority from time to time.
3.2
Officers can expect from councillors:
(a)
A working partnership
(b)
An understanding of and support for respective roles, workloads and
pressures
(c)
Political leadership and direction
(d)
Respect, dignity and courtesy
(e)
Integrity, mutual support and appropriate confidentiality
(f)
Not to be subject to bullying or to be put under undue pressure. Councillors
should have regard to the seniority of officers in determining what are
reasonable requests, having regard to the power relationship between
councillors and officers, and the potential vulnerability of officers, particularly
at junior levels and when they are on their own
(g)
Not to request an officer to do anything he/she is not empowered to do, nor
undertake work outside normal duties or outside office hours, nor to provide
information to which the councillor is not entitled
(h)
That councillors will not use their position or relationship with officers to
advance their personal interests or those of others or to influence decisions
improperly
(i)
That councillors will at all times comply with the relevant Code of Conduct
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3.3 Limitations
upon
behaviour
The distinct roles of councillors and officers necessarily impose limitations upon
behaviour. By way of illustration, and not as an exclusive list:
(a)
Close personal relationships between councillors and officers can confuse
these separate roles and get in the way of the proper discharge of the
authority’s functions, not least in creating the perception in others that a
particular councillor or officer may secure advantageous treatment.
(b)
The need to maintain the separate roles means that there are limits to the
matters on which they may seek the advice of officers, both in relation to
personal matters and party political issues.
(c)
Relationships with particular individuals or party groups should not be such as
to create public suspicion that an employee favours that councillor or group
above others. The issue of officer attendance and advice to political groups is
specifically covered below.
3.4 Matters of general concern
The Staff and Safety Joint Consultative Group is established to enable councillors
and officers to have a forum within which matters of general concern can be
discussed and its Constitution forms an appendix to this protocol.
4. Political
groups
4.1
The operation of political groups is now an integral feature of local government, and
such political groups have an important part to play in the development of policy and
the political management of the authority. It is in the interests of the authority to
support effective operation of political groups, but carried too far this can pose
particular dangers in terms of the impartiality of officers.
4.2 Reports:
(a)
Political groups may request the Chief Executive to prepare written reports on
matters relating to the authority for consideration by the group.
(b)
The Chief Executive may invite other senior officers to contribute to such
reports but no officer can be instructed to do so.
(c)
Officer reports to political groups will be limited to a statement of material
facts and identification of options and the merits and demerits of such options
for the authority. Reports will not deal with any political implications of the
matter or any option, and officers will not make any recommendation to a
political group.
(d)
Where a report is prepared for a political group, the Chief Executive will
advise all other groups that the report has been prepared and will provide a
copy of that report to any group upon request.
4.3 Officer
attendance
(a)
Any political group may request the Chief Executive to attend a meeting of the
group to advise on any particular matter relating to the authority.
(b)
The Chief Executive may arrange for other senior employees with their
consent to attend or for the attendance of a representative in his/her stead, or
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may decline to attend or to provide a representative where he/she is of the
opinion that the particular issue is of such a political nature that it would be
inappropriate to attend
(c)
Officers’ advice to political groups will be limited to a statement of material
facts and identification of options and the merits and demerits of such options
for the authority. Advice will not deal with any political implications of the
matter or any option, and officers will not make any recommendation to a
political group.
(d)
Where an officer attends a political group, the Chief Executive will advise all
other groups that the officer has attended and the subject upon which he/she
has advised.
(e)
If any officer having attended such a meeting declines to speak on a
particular topic, members should seek to avoid any embarrassment and seek
to support the officer in so doing.
(f)
Officers will respect the confidentiality of any matter which they hear in the
course of attending a political group meeting.
(g)
Officers should not be expected to be present at political group meetings or
part of meetings when matters of party business unrelated to council business
are discussed, nor when such a meeting includes persons who are not
members of the council.
(h)
Where officers provide information or advice to political group meetings in
relation to a matter of council business this cannot act as a substitute for
providing all necessary information and advice to the relevant decision
making body when the matter in question is considered.
5.
When things go wrong
5.1
Procedure for officers
From time to time the relationship between councillors and officers may break down
or become strained. Whilst it will always be preferable to resolve matters informally,
through conciliation by an appropriate senior manager or councillors, officers will
have recourse to the Grievance Procedure or to the council’s Monitoring Officer, as
appropriate to the circumstances. In the event of a grievance or complaint being
upheld, the matter will be referred to the Chief Executive, who, having advised the
Leader of the council and the appropriate group leader will decide on the course of
action to be taken, following consultation with the Chair and Vice-Chair of the
Standards Committee.
5.2
Procedure for councillor
In the event that a councillor is dissatisfied with the conduct, behaviour or
performance of an officer, the matter should be raised with the appropriate Head of
Service. Where the officer concerned is a Head of Service or Corporate Director, the
matter should be raised with the appropriate Corporate Director or with the Chief
Executive. Where the employee concerned is the Chief Executive, the matter should
be raised with the Head of Personnel Services. If the matter cannot be resolved
informally, it may be necessary to invoke the council’s Disciplinary Procedure.
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Appendix
Staff and Safety Joint Consultative Group
Constitution
1. Title
The group shall be called the “Canterbury City Council Staff and Safety Joint
Consultative Group” hereinafter called the “Consultative Group”.
2. Representation
The Consultative Group shall comprise eight members of the council to be appointed
annually being in numbers politically proportionate to the council and consisting of
seven non-executive and one Executive member. An equal number of staff to be
appointed by the recognised trade unions in proportion to the number of such staff of
the council in membership of each union, provided that where the number of
members of any one union is insufficient to qualify such union to appoint a
representative, it may combine with one or more of the other recognised unions for
this purpose. The members shall retire annually and shall be eligible for re-
appointment.
If a member of the Consultative Group ceases to be an employee of the council, he
or she shall thereupon cease to be a member of the Consultative Group. Any
vacancy shall be filled by the union or the combination of unions concerned, who
appointed the retiring member.
3. Chair
A Chair and Vice-Chair shall be appointed by the Consultative Group at their first
meeting each year. If the Chair appointed is a member of the council, the Vice-Chair
shall be appointed from the staff side and vice versa. The Chair of a meeting shall
have a casting vote. In the absence of the Chair the Vice-Chair shall chair the
meeting; in the absence of both and if the meeting is quorate then the Consultative
Group shall appoint a Chair for that meeting.
4. Officers
The committee shall appoint a Secretary and any other necessary officers annually.
5. Functions
The functions of the Consultative Group shall be:
(a)
to establish regular methods of consultation between the council and the
Executive and the staff on matters of mutual interest, including the
prevention of differences and the reconciliation of them should they arise;
but no question of individual discipline, promotion, or efficiency shall be
within the scope of the Consultative Group;
(b)
to consider any relevant matter referred to it by the council, the Executive,
the Overview and Scrutiny Committee or by any of the recognised trade
unions in membership;
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(c)
to make recommendations to the council (and if appropriate the Executive)
as to the application of the terms and conditions of service and the
education and training of staff employed by the council;
(d)
to keep under review the measures taken to ensure the health, safety and
welfare of all the council’s staff in accordance with the provisions of Section
2(7) of the Health and Safety at Work Act 1974 (as amended);
(e)
to consider and express views in any matter specifically assigned to it.
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Rules and regulations
1.
The Consultative Group shall meet once each council cycle to enable it to report to
the General Purposes Committee if necessary. The Chair may direct the Secretary
to call a meeting at any time. A meeting shall be called within seven days of the
receipt of a requisition signed by not less than one-third of the members of either
side. The matters to be discussed at any meeting of the Consultative Group shall be
stated upon the agenda summoning the meeting, provided that any other business
may be considered if admitted by a majority of those present at such meeting.
2.
The quorum of the Consultative Group shall be three representatives of each side.
3.
No resolution shall be regarded as carried unless it has been reached by a simple
majority both of the members of the council and the members of staff voting
separately (votes being recorded if requested), and in the event of the Consultative
Group being unable to arrive at an agreement, the fact of the dispute and the
positions of the two sides shall be reported to the appropriate decision making body.
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Media Protocol
1.
Introduction to the press office
The press office provides a key link between the council and the media. It deals with
the media calls coming in and handles the publicity going out, and therefore has a
significant impact on how the council and its services are viewed by the public.
Its work benefits both the council and the media. It provides officers and members
with media specialists who can advise on the best way to handle the press, anticipate
problems and find the best ways to explain services and policies. In turn, the media
get a one-call contact to get accurate and quick information about the council from a
team that appreciates, and works within, their deadlines.
The press office responds to enquiries within 24 hours and all calls and responses
are entered on Newsflash – the council’s media enquiry logging system.
2. Protocols
The press office operates under the terms of the Local Government Act 1986 (as
amended), which says:
“A local authority shall not publish any material which, in whole or in part, appears to
be designed to affect public support for a political party.”
Section six of the Act defines publicity as, “any communication, in whatever form,
addressed to the public at large or to a section of the public.”
There is also a national Code of Recommended Practice on Local Authority Publicity.
First published in 1988, it was updated in April 2001 to take into account the increase
in partnership working in local government, advances in communication technology –
especially use of electronic media – and new Human Rights, Disability Discrimination
and Equal Opportunities legislation.
The revised code defines the role of local authority publicity as, “increasing public
awareness of the services provided by the authority and the functions it performs;
allowing local people a real and informed say about issues that affect them;
explaining to electors and taxpayers the reasons for particular policies and priorities;
and in general, improving local accountability.”
Therefore, any Canterbury City Council publicity, including District Life magazine,
should:
• have the principal purpose of explaining, commenting on or illustrating the
council’s policy;
• not include material whose effect is party political, ie designed to affect support
for a political party;
• relate to a responsibility of the council;
• not contain material which is disparaging of parties or members of parties;
• not routinely favour one media over another.
There is specific reference in the code to publicity around elections. It states: “The
period between the notice of election and the election itself should preclude proactive
publicity in all its forms, of candidates and other politicians involved directly in the
election.” It also says:
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“Proactive events arranged in this period should not involve members likely to be
standing for election.” However it acknowledges that “members holding key political
or civic positions” should be able to comment in the event of an emergency.
3. Who
speaks?
The key spokespeople will be the council’s Leader and Deputy Leader. Should the
Executive decide to allocate individual areas of responsibility to members, those
members will also act as spokespeople. Where the executive decides to create joint
portfolios, all members making up the portfolio partnership will be quoted in rotation
on council news releases.
The chair of the Overview and Scrutiny Committee and the chairs of the remaining
other committees and panels (such as Development Control and Licensing
Committees, Whitstable Harbour Board and Area Member Panels) can also speak on
issues relevant to their area of responsibility.
On occasions when a news release concerns a subject where a councillor represents
the council on an outside body it is appropriate for that councillor to be quoted in the
news release, instead of an executive member.
The role of a spokesperson is to present facts about council decisions and the
context in which they were taken, and comment on issues faced by the council.
In practice, information for news items will generally be provided by officers. To
ensure councillors are not overburdened by the demands of the media, or when the
appropriate councillor is not available to give a comment, news releases and
responses to media enquiries will quote officers on operational matters.
Statements, press releases and any letters which may enter into the public domain
through the media should be cleared with the press office who will liaise with
appropriate officers and, if necessary, the Leader of the council or other Executive
members.
On rare occasions a ward councillor may act as a council spokesman, for example,
when there is an emergency that affects their ward. However, such comments should
not be politically controversial and should reflect the views of the council.
The role of the Lord Mayor is non-party political and non-controversial. The Chief
Executive and the Head of Legal and Democratic Services may give guidance as to
what ‘controversial’ means in the relation to this Article.
As first citizen of the district, the Lord Mayor may make statements relating to the
day-to-day work of the civic team (the Lady Mayoress’ charity, for example) and may
also be called upon to make statements on behalf of the district in connection with
civic and ceremonial duties. Other statements on behalf of council decisions are a
matter for the Leader of the council and members of the executive.
For example, it would be the Lord Mayor who would make a statement in connection
with the appointment of a new archbishop or a forthcoming visit by foreign dignitaries
or a member of the Royal Family.
4.
Publicity for Scrutiny
Scrutiny publicity will concentrate on factual information about the issue being
scrutinised, who is involved, why it is necessary, the process they follow and the
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decisions taken. If Scrutiny recommends a course of action that differs from the
policy agreed by Executive, or any other decision-making body, any publicity will
make it clear that this is a recommendation only.
Where decisions of the Executive are referred to full council for resolution, no
publicity will take place until the final decision of council, other than reporting the
outcome of the Scrutiny exercise and factual information about what is happening.
5. News
releases
The press office writes all news releases. Although members and officers may
suggest topics to be covered, the final decision on whether to produce a release on a
specific issue lies with the press office.
All draft news releases will be sent to the relevant department for approval or
amendment prior to issue to ensure the content is accurate and relevant. The
originating officer will agree the final version.
Where an issue may be contentious, the advice of the Head of Culture and
Communications and/or the Chief Executive will be sought. In their absence, the
matter will be referred to the Head of Legal and Democratic Services.
Political parties are free to issue their own news releases relating to council business,
but must make it clear that these are not from the council. They should not use
council resources for party political purposes.
Where parties choose to issue their own news releases based on a corporate one,
theirs should not be issued until the corporate one has been released.
All council news releases will be available for all members and will be e-mailed to
them upon issue unless individual members indicate to the press office they do not
wish to receive them.
If a photocall is being arranged for a ward issue, the news release should be seen as
an invitation to all councillors from that ward to attend the event (except in the six
weeks before any election).
Where a councillor does not use the e-mail system, group secretaries will be
responsible for ensuring the councillor receives a copy of the news release/photocall.
Media training for senior councillors will be arranged by appropriate officers in
conjunction with the press office when required.
6. Media
enquiries
Responses to media enquiries are often required quickly to fit in with deadlines.
Officer briefings will be sought for members providing comment to the media where
necessary and, if the member is unavailable, a council quote will be provided by a
named officer from the service concerned or by a named media officer.
All media enquiries should come through the press office. However members and
officers are requested to inform the press office team if they are contacted direct, to
ensure their records are up to date and to ensure consistency if the story generates
subsequent enquiries from other media.
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7.
Media briefings/press conferences
A media briefing is a useful way of explaining a major, more complicated story to
journalists or updating them on long-running issues. News conferences are used for
a big story or major announcement, and are especially useful in emergencies when
the messages to the media need to be controlled.
They are arranged by the media team. The Leader will decide which members of the
Executive will speak at a media briefing. In practice this will generally be the Leader,
Deputy Leader and any members of the Executive with the portfolio for
Communications, or any other relevant portfolio.
Where appropriate, other joint partners on the executive will be invited to speak
where the issue relates to their partnership portfolio.
8.
The Media Team
Head of Culture and Communications: Janice McGuinness – 01227 862 492
Public Relations Manager: Glynis Alexander – 01227 862 051.
Press Officer: Rob Davies – 01227 862 050.
Internal Communications and PR Officer: Steve James – 01227 862 060
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Protocol on attendance and questioning at the Overview and Scrutiny Committees
The
Overview and Scrutiny Committee has
the power to require the attendance of officers
and members of the authority before the committee. This power differentiates them from the
Executive, other committees and Area Member Panels which may invite other persons to
attend. The process by which the attendance of members and officers at overview and
scrutiny committees is secured (reflecting the obligation under S.21(13) LGA2000) is for
councils to set locally. This protocol sets out a procedure for securing the attendance of
officers and members, and for inviting other persons. It sets out the obligations of the
committee and of the officer or member, who is required to attend it.
1. Where a call in matter is to be dealt with:
(a)
the Overview and Scrutiny
Committee will receive a copy of the full Executive
Agenda and supporting papers (and any late papers) on publication and the
matter must appear on that agenda;
(b)
notwithstanding other provisions in these rules the presumption is that
whatever the issue when a matter is called in a member of the Executive and
the relevant chief officer or other officer nominated by him will be summoned
by the Head of Paid Service to attend the Overview and Scrutiny
Committee
following the Executive Meeting at which the called in matter has been
considered;
(c)
the member of the Executive and the relevant chief officer shall have first
received as much written notice as is practicable of the time, date and place
of the meeting;
(d)
early warning is highly desirable for informed debate and such notice may be
given prior to the Executive Meeting if it is known a call in is to be made.
(e)
neither the Executive member nor officers shall be required to produce any
further report other than the officer report prepared for the Executive.
(f)
if the matter is referred on by the Overview and Scrutiny
Committee to a Sub-
Committee or working party
the rules (b) to (d) above shall apply.
(g)
if the matter is urgent or becomes urgent the provisions in the Constitution
dealing with urgent matters shall apply. (See paragraph 16 of the Overview
and Scrutiny Procedure rules and paragraph 5 of the Budget and Policy
Framework Procedure Rules).
2.
Where a matter other than a call in matter is to be dealt with:
(a)
Persons to be summoned or invited to attend shall be identified either by
resolution at a meeting of the Overview and Scrutiny Committee or by the
Head of Paid Service in consultation with the Chair of the committee.
(b)
Any member of the committee having previously requested that an item shall
be placed on the agenda may request the Head of Paid Service to secure the
attendance of a named person by making a request to the Head of Paid
Service in writing, identifying the issue in respect of which the persons
attendance is requested and the reason why the attendance of the person
would assist the committee in performance of its functions.
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(c)
Upon receiving such a request as in (b) above the Head of Paid Service shall
consult the Chair of the committee and having regard to the prospective
agenda of items to be considered then take a decision as to whether to
summon or invite the person concerned.
(d)
A summons or invitation by the Head of Paid Service as in (c) above will give
(save as provided in paragraph (e) below) the person concerned at least 15
working days written notice of the time, date and place of the Overview and
Scrutiny Committee’s meeting, and will inform them of the subject in respect
of which their attendance is required/requested, provide them with any
supporting documentation and state whether any written reports are required
to be produced, by whom and by what date. The member or officer required
to produce the written report will be given adequate time for the preparation of
that document.
(e)
If the Head of Paid Service in consultation with the Chair of the Overview and
Scrutiny Committee is satisfied that by reason of urgency less notice be given
than is required by paragraph (d) above the Head of Paid Service may give
shorter notice accordingly but the person so summoned or invited has
discretion to decide whether or not sufficient time is available to produce any
written report.
3.
Subject always to the presumption of who should attend committee on call in matters,
consideration will be given by the committee or the Head of Paid Service in
consultation with the Chair as to whether it is a named officer or assistance on a
specific topic which is required.
4.
Where an officer is required to deal with a specific topic, the Head of Paid Service will
first consult with the relevant Chief Officer or the most appropriate officer to attend,
before determining whom to summon to attend.
5.
Where the committee requires the attendance of any officer other than the Chief
Officer with responsibility for the service, the relevant Chief Officer will always be
permitted to attend, or to send a representative, if he or she wishes to respond
personally to the enquiries of the committee in addition to any officer summoned.
6.
No officer below council grade scale point 10 may normally be required to attend
before Overview and
Scrutiny unless agreed by the Chief Officer.
7.
Subject to the overriding time limits in the Constitution on call in matters, a member
or officer so summoned may ask for an alternative date for attending before
Overview and
Scrutiny where for good reason he cannot attend on the date first
specified.
8.
Where any member is summoned to attend, they may require the Chief Officer
responsible for the matter under consideration to attend with them, and to produce
any documents relevant to the issue.
9.
Overview and Scrutiny Committee sessions in which a member, officer or other
person attends as summoned or invited shall be managed by the Chair in a manner
which ensure mutual respect between all those participating.
10.
Where the response to any questions in the opinion of the Chair or on the advice of
the Monitoring Officer would be likely to disclose confidential or exempt information
within the meaning of Schedule 12A Local Government Act 1972 (as amended) the
Chairman shall move that the answer is taken in confidential session and the
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question shall be put without second or debate. No person giving evidence to an
Overview and
Scrutiny Committee shall be under any obligation to disclose personal
information in public about an employee or any recipient of council services.
11.
The Overview and
Scrutiny Committee should not summon officers to attend or
undertake work at times and dates where that would risk serious prejudice to the
provision of services.
12.
Reflecting Article 6 of the Human Rights Act 1998 (as amended), where it appears at
any time to an Overview and
Scrutiny Committee, or the Monitoring Officer so
advises, that:
(a)
a member, in responding to a question, might be required to admit to conduct
which constitutes a breach of the local code of conduct, the member may
decline to answer the question and the issue shall then be reported to the
Standards Committee by the Monitoring Officer for consideration and
investigation if deemed necessary; and,
(b)
an officer, in responding to a question, might be required to admit to conduct
which constitutes a breach of the officer code of conduct or other grounds for
disciplinary action, the officer may decline to answer the question and the
issue shall be reported by the Monitoring Officer to the Chief Executive for
consideration and investigation if deemed necessary.
13.
Where the authority is conducting a Best Value Review of a service and Overview
and
Scrutiny enquiries are also proposed the Chairs of those
bodies
will liaise to
ensure no duplication of effort and the avoidance of any publicity which might pre-
empt the review.
14.
In deciding whether to summon a particular officer or member and in questioning
any person, the Overview and
Scrutiny Committee and all members thereof shall
accord with Article 8 of the European Convention on Human Rights and respect the
rights of individuals to respect for private and family life, home and correspondence.
Accordingly it shall only question a person in respect of their private and family life,
home and private correspondence where such questioning is clearly required for
the purpose of:
(a) National
security
(b) Economic
well-being
(c) Public
safety
(d)
Prevention of crime
(e)
Protection of health and morals, or
(f)
Protection of the rights and freedoms of others and the public interest in
pursuing such questioning clearly outweighs the interests of the individual.
Where such issues arise, the committee shall take prior advice of the Monitoring
Officer regarding its ability to pursue enquiries into the matters.
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Protocol on accountable decision making
In taking any decision the council, the Executive, any other decision making body, the
Overview and Scrutiny Committee
, any of its sub-committees or working parties and officers
acting under delegated powers will have regard to the following principles:
• proportionality (ie the action should be proportionate to the desired outcome);
• decisions should be taken on the basis of due consultation and professional advice from
officers;
• respect to human rights;
• a presumption in favour of openness; and
• clarity of aims and desired outcomes.
All the above bodies should strive to achieve the objective that no decision should come as a
surprise to those affected by it. However where that principle would conflict with one or
more of the principles set out above or a matter involves exempt or confidential information
then it is acknowledged that this principle may be constrained in those circumstances.
The Leader in considering whether any matter should appear in the Forward Plan (and
therefore be a key decision) will act in accordance with the Local Authorities (Executive
Arrangements) (Access to Information) (England) Regulations 2000 as amended (“the
Regulations”) and to the following criteria:
• Whether it will be significant in terms of its effects on communities living or working in an
area comprising two or more wards;
• the financial limits specified in Appendix A;
• if it involves a change to the Budget and Policy
Framework.
In addition the Leader will, where practical treat as a key decision one which would have a
significant impact on a single ward.
Without prejudice to the powers of individual members of the Overview and Scrutiny
Committee when a matter appears in the Forward Plan the Overview and Scrutiny
Committee may decide it wishes to consider that matter and will call for a draft of the
proposed report to be placed on a future agenda of its own or a sub-committee or a working
party of it prior to the Executive making a decision.
Any such bodies may make
recommendations to the Executive on the matter and as to how any function, which may or
may not be the responsibility of the Executive, should be exercised prior to the decision
required being taken. If the matter becomes urgent and the Executive have to make a
decision before consultation is complete the Overview and Scrutiny
Committee will decide
whether or not to call the matter in having regard to the urgency of the matter and any
decisions taken by the Chair of that committee.
The Leader may also seek guidance prior to a decision from an Area Member Panel and/or
ward members if the matter is of local concern. The Leader must also consider what public
or other consultation is appropriate and take action accordingly.
If the Leader determines a matter is not a key decision the Executive must nevertheless
consider what consultation within or without the authority should be carried out prior to the
decision required being taken and take action accordingly.
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The Forward Plan as defined in the regulations will be published by the Leader under the
title “The forthcoming decision list” which in the view of the council more accurately
describes its function.
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Appendix A
Procedure on implementation of policies, plans or budgets
• Decisions taken by the Executive to implement policies, plans or budgets set by Full
Council are key decisions.
• Decisions to implement policies, plans and budgets set by Full Council will be
implemented at the earliest practical meeting of the Executive following Full Council
unless:
(i)
There was a material uncertainty of the financial consequences at the time
that a policy plan or budget was set; or
(ii)
the cost of implementing the policy, plan or budget by Full Council cannot be
contained within the provisions for in year changes.
• Major contracts in excess of £200,000 per annum or 25% of the gross expenditure
budget will be regarded as a key decision.
Revenue expenditure
• Decisions on expenditure will be key decisions if the financial impact on the gross
service expenditure budget exceeds £200,000 or 25% of the gross expenditure service
budget* whichever is the lesser.
• Decisions on income will be regarded as key if the financial impact on the gross service
income budget exceeds £200,000 or 25% of the gross service income budget*
whichever is the lesser.
• Decisions on revenue items for the trading activities listed below will be key decisions if
the financial impact on their net revenue position exceeds £200,000 or 25% of the net
revenue budget* whichever is the lesser.
Capital expenditure
• Decisions on expenditure will be key decisions if the financial impact on the scheme’s
total expenditure budget exceeds £200,000 or 25% of the scheme’s gross expenditure
budget* whichever is the lesser.
• Decisions on income will be regarded as key if the financial impact on the scheme’s
income budget exceeds £200,000 or 25% of the scheme’s income budget* whichever is
the lesser.
• In accordance with Financial Regulations, a de-minimis limit of £40,000 will apply.
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Annex A:
Kent Association of Local Authorities Protocol for
Overview and Scrutiny Inter-Authority Co-Operation
Aim of the protocol
5A.1 To ensure the Overview and Scrutiny Committees of all Kent local authorities can
review issues of community interest effectively and with efficient use of all local
authority staff resources.
Principles
5A.2 All authorities should be supported in considering issues of community well being
wider than the responsibilities of their councils.
5A.3 Authorities should work together to maximise the exchange of information and views,
minimise bureaucracy and make best use of the time of Members and officers of
local and other authorities.
Procedures
5A.4 Authorities should seek to exchange information on programmes and results of
reviews.
5A.5 If an Overview and Scrutiny Committee wishes to review an issue in which another
authority has a statutory role or in which evidence from the officers of another
authority would be helpful, it should consult with that authority about:
• the purpose of the review
• the areas of interest to the other authority
• the input that can be given by Members or officers of the other authority.
5A.6 Consideration should be given to whether the issue is more appropriately discussed
in another forum, for example a joint committee, or whether there is scope for joint
action including the co-opting of Members of the other authority onto the Overview
and Scrutiny Committee for the purpose of the review.
5A.7 Where a proposal is subject to a public consultation process, scrutiny is most helpful
if conducted as part of that process eg allowing any findings and recommendations to
be available in time to influence the final decision.
5A.8 Subject to such prior consultation, authorities will seek to respond positively to
requests for information or for a Member or officer to attend meetings of Overview
and Scrutiny Committees or for information.
5A.9 While it is ultimately for each authority to decide who it considers the most
appropriate person(s) to speak on its behalf to an Overview and Scrutiny Committee,
consideration will be given to meeting specific requests.
5A.10 Dates and times of Member and officer attendance at Overview and Scrutiny
meetings should be agreed with them.
5A.11 Each authority will nominate a contact officer for the operation of these procedures.
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National Health Service Overview and Scrutiny Protocol
5B.1
These protocols are agreed within a context that assumes organisationally:-
•
the bringing into force of the Health and Social Care Act 2001 (as amended)
•
Compliance with the
Overview and Scrutiny of Health – Guidance issued in May
2003 and further guidance issued in July 2003
•
the continued existence at district/borough level of local overview and scrutiny
committees concerned with NHS matters
•
recognition of those bodies established to provide the Patients’ Voice (currently
Patients Forums)
•
the Committee and Patients’ Forums will need to set up clear lines of communication
and information exchange
•
a constructive partnership approach, based on mutual understanding between the
Committee, the local authority executive function and local NHS bodies
•
the continued development of partnership working, especially between Social
Services and NHS bodies
5B.2
The protocols are based on the principles that NHS Overview and Scrutiny should:
•
Add value to existing processes
•
Focus on supporting the improvement of health and health services to Kent residents
•
Consider a health issue, system or economy, not just services provided
•
Promote social, environmental and economic well-being
•
Address issues of health inequalities between different groups, and working with
NHS and other partners develop a dialogue to achieve health improvement
•
Include reviewing the local authorities’ contribution to the health of local people
•
Demonstrate the local authorities’ role of community leadership
•
Minimise the additional administrative burdens on local authorities or NHS bodies
•
Develop jointly between the local authorities and the NHS bodies
•
Operate at different levels within Kent
5B.3
Success factors for the protocols are:
•
Positive outcomes of Scrutiny – for example, breaking logjams that prevent
vulnerable people from accessing the services they need, co-ordinating public
consultation on health issues across agencies, or attracting greater resources for
public health and the prevention of ill health
- 286 -
•
Involvement of NHS bodies and other local stakeholders in discussions about the
purpose and scope of each scrutiny in addition to finding solutions
•
Progress made on difficult issues, securing positive or sustainable improvement
•
Issues tackled jointly across local agencies
Structures
5B.4
Overview and Scrutiny structures will comprise:
Patients’ Forums
•
Dialogue focused on service providers (Acute, Primary Care, Mental Health and
Ambulance Trusts)
District Council Overview and Scrutiny Committees
To look at local service issues:
•
Local co-ordination (or joint committees) to ensure cross-district issues dealt with
jointly and involve KCC for a strategic overview
•
KCC to propose a framework for delegation of issues to district/borough level, where
an issue is confined within a single Primary Care Trusts boundary
•
Local KCC Members and Patients’ Forum representatives to have rights of
participation
•
Focused on Primary Care Trusts
KCC Health Service Overview and Scrutiny Committee
As a local authority with Social Services responsibilities it will be important for KCC’s
committee to look at broad and wide-ranging issues that affect people’s health and
wellbeing, with District Council and Patients’ Forum representatives having rights of
participation.
The committee will:
•
Undertake two or three major themed (topic) reviews each year, plus reviews of
service reconfiguration proposals and cross-cutting themes (such as drugs or
transport). Reviews will be conducted by Select Committees (ad hoc time limited
sub-committees, including District Council and Patients’ Forum Members), reporting
to the KCC Health Service Overview and Scrutiny Committee.
•
Consider reference of service reconfiguration proposals to the national
Reconfiguration Panel.
•
Receive reports and presentations from the NHS on topical health issues and
initiatives.
•
Focus on the strategic health authority area.
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Medway Overview and Scrutiny Committee
To combine both levels of operation within the Medway area but linked into the co-ordinated
system.
Co-ordination
5B.5 Overview and Scrutiny activity at local and Kent level needs free exchange of
information and protocols for co-ordination of work and resolution of conflicts. To
facilitate this there will be:
•
a regular meeting of Committee Chairmen and NHS representatives to agree a
programme of work across the county and Medway
•
a similar officer forum to support and advise the Chairmen on the work programme
and co-ordinate requests for NHS officers to provide papers, information or attend
committee meetings, supported by day-to-day dialogue
5B.6 The KCC Committee membership allows for district council and patients’ forum
membership:-
•
a permanent representation of four district/borough council members one for each of
the four health economies in Kent and six representatives of Patient Fora
•
a right for the Chairmen of each district/borough council Overview and Scrutiny
Committee (or another relevant Member) and a representative of each patients’
forum to attend and speak at the KCC Committee on a matter particularly affecting
that area
•
appointment of members of relevant district Overview and Scrutiny Committees and
Patients’ Forums to individual topic reviews (agreed through the Chairmen’s meeting)
5B.7 District Committees will allow local KCC Members and Patients’ Forum
representatives to attend and speak at the Committee.
5B.8 KCC and Medway Council will establish joint Overview and Scrutiny Committee
where issues cross boundaries and patient flows warrant it. This principle will also
apply to neighbouring Strategic Health Authority areas and the Overview and
Scrutiny Committees in those areas.
Review planning
5B.9 Overview and Scrutiny will include briefings, seminars, reports, consultations and
reviews, as well as matters referred to the committee by patients’ forums. Each
review should be preceded by a review plan discussed within the officer forum and
agreed with the relevant NHS bodies. To reach final agreement, issues may be
considered in some detail at the meeting of Chairmen and should then be considered
by the relevant Overview and Scrutiny Committee after the NHS representative has
attended the Committee to express the NHS view and answer member questions.
(NB: Draft Review Plans will involve the elected Members of the local authority concerned.)
5B.10 The Review Plan should:
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•
be drawn up with the involvement of the NHS, beginning with a scoping meeting that
includes lead NHS manager(s) and clinician(s) as appropriate to assist the committee
in accessing the information it needs and to enable appropriate terms of reference to
be set and to agree the general nature of the expected outcome
•
set the terms of reference for the review
•
set an approximate timetable of meetings and a reporting date
•
state the officers supporting the review within the local authority, the NHS and
Patients’ Forums and estimate the time commitment required of them
•
state the main witnesses and information sources expected to be involved
Review administration
5B.11 The arrangements for meetings of Overview and Scrutiny Committees shall ensure
that:
•
Dates for witnesses to attend committee meetings are agreed with witnesses as far
in advance as possible
•
Witnesses will be consulted about convenient dates for them to attend, within the
review timeframe (NB Clinicians need at least six weeks notice in order to avoid
compromising patient care)
•
NHS Chief Executives and other local authorities’ Chief Executives arrange for
appropriate officers chosen by them to attend to give evidence on the identified
topics (subject to any provision to be made in statutory regulations)
•
Advance notice of two weeks should generally be given of the areas to be covered in
questioning in order for appropriate briefing to be to hand
•
Information is wherever possible distributed to the committee in writing before the
witness attends.
Meeting protocols
5B.12 All Overview and Scrutiny Committees should incorporate in their Procedure Rules or
otherwise ensure that:-
•
Committee Members should endeavour not to request detailed information from
officers of the NHS or another local authority at meetings of the committee, unless
they have given prior notice through the clerk. If, in the course of question and
answer at a meeting of committee, it becomes apparent that further information
would be useful, the officer being questioned may be required to submit it in writing to
members of the committee through the clerk
•
In the course of questioning at meetings, officers of the NHS or another local
authority may decline to give information or respond to questions on the ground that
it is more appropriate that the question be directed to a more senior officer or
Member
•
Officers of the NHS or another local authority may decline to answer questions in an
open session of the committee on the grounds that the answer might disclose
- 289 -
information which would be exempt or confidential as defined in the Access to
Information Act 1985 and the Freedom of Information Act once enacted. In that
event, the committee may resolve the exclude the media and public in order that the
question may be answered in private session
•
Committees may not criticise or adversely comment on any individual officer of
another local authority or of an NHS body by name
Reporting
5B.13 All local authorities should ensure that:
•
A record is made of the main statements of witnesses appearing before the
committee and agreed with those witnesses prior to publication or use by the
committee. Committee meetings may be electronically recorded.
•
Drafts of committee reports and recommendations be made available for comment
by the relevant NHS body (or local authority), allowing that body two weeks in which
to respond, if their operations might be commented on, and any adverse comments
or concerns reported to the committee before the final report is published.
Responsibility for the report lies with the committee which produced the report.
•
The Chief Executive of any NHS body and/or the Chief Officer of any other local
authority involved with the review is given advance notice of the date of publication of
the report and consulted on the text of any accompanying press release
•
Reports include an agreed timetable for any NHS body and/or other local authority
involved to publish a response to the report’s recommendations, once confirmed by
the appropriate Overview and Scrutiny Committee
Service reconfigurations
5B.14 NHS bodies remain responsible for public and other consultation on service
reconfiguration proposals.
5B.15 The intention to carry out a consultation will be discussed in the officer forum.
5B.16 The KCC Health Service Overview and Scrutiny Committee will consult district/
borough councils and patients’ forums for the areas affected by each proposal on
whether to:
•
consider the matter at a full meeting of the committee
•
set up a KCC Select Committee to consider the proposal
•
request a district/borough Overview and Scrutiny Committee to consider the proposal
5B.17 If a Select Committee is established or a district/borough Overview and Scrutiny
Committee requested to carry out a review:
•
paragraphs 5B.9 – 5B.13 above shall apply to its work programme and proceedings
•
the Review Plan shall as far as possible be integrated with the NHS body’s
consultation programme
- 290 -
•
consideration shall be given to:-
−
including one or more members of district/borough councils on the Select
Committee or KCC members on the district/borough Overview and Scrutiny
Committee
−
including Patients’ Forum members on the Committee
−
other arrangements for ensuring all local authorities and Patients’ Forums
may express their views and seek information on the proposal
•
the review report shall be submitted to the KCC Health Service Overview and
Scrutiny Committee who will consider the recommendations together with any
response by the NHS body and decide whether to refer the proposal to the
Reconfiguration Panel.
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Public speaking rights
Index
Page
Full Council
293
Executive 294
Overview and Scrutiny Committee
295
Development Control Committee
296
Area Member Panels
297
Whitstable Harbour Board
299
Other committees
300
- 292 -
Full Council
Any member of the public may present a petition or put a question provided that it is
supported by not less than 15 signatories and has been given to the Chief Executive not
later than 12.30pm on the working day before the meeting. The council will deal with such
requests in accordance with the following procedure:
• The Lord Mayor, at his/her discretion, may determine the order in which the petitions
and/or questions are taken.
• No speech shall exceed three minutes except with the consent of the council.
• No debate shall take place upon any matter put before the council by way of petition or
question except at the discretion of the Lord Mayor, the Chair of an appropriate
committee may respond. The Chair may agree to a written response being sent on
behalf of the council.
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Executive
(i)
That members of the public be encouraged to speak where decisions are required
that have not been subjected to any pre-decision non-executive consultation or
scrutiny.
(ii)
That notice be given to Democratic Services by the proposed speaker not later than
12.30pm on the working day before the Executive meeting, unless the Leader of the
council exercises his discretion to allow shorter notice.
(iii)
Each speaker may address the Executive for no more than three minutes.
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Overview and Scrutiny Committee
(i)
Any member of the public may at meetings of this committee present petitions and/or
speak for no more than three minutes upon any item which appears upon the agenda
for that meeting prior to the committee’s discussion of that item provided that notice
has given to Democratic Services not later than 12.30pm on the day of the meeting.
(ii)
If a member of the public wishes to speak to an item which is to be dealt with after
the public have been excluded, he or she may only speak prior to the passing of the
resolution to exclude the press and public.
(iii)
The committee may refuse to allow a member of the public to speak or continue to
speak if it appears that the speech is defamatory, mere vulgar abuse, inflammatory
or for other good reason.
(iv)
Any member of the public who requests to speak at meetings of this committee on
behalf of an organisation must submit a document in advance on each occasion,
signed by three members of the organisation they represent, stating that they have a
mandate to put the views of the organisation.
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Development Control Committee
A.
No more than three persons in favour of a development proposal and three persons
against a proposal shall be allowed to speak.
B.
Exceptions to the above shall be as follows:
(i)
Where both the Parish Council and the amenity society wish to speak for and
against, one only be allowed with preference being given to the Parish
Council.
(ii)
The applicant or agent (but not both) who shall also be afforded the
opportunity to speak last.
C.
In the event that more than three persons wish to speak, priority will be given to
those who are most affected in terms of physical proximity – to be determined by
measurement from the actual development rather than the boundary of the site.
D.
Where a site adjoins a number of boundaries, the selection of speakers will seek to
ensure that there is representation from persons adjoining more than one boundary.
E.
In the absence of physical impact, eg a change of use, those deemed to be most
affected by other issues relating to the proposal, eg traffic, noise, amenity, shall be
given priority.
F.
No more than one person per household shall be entitled to speak, including persons
wishing to speak on behalf of someone else, unless offering opposing views.
G.
In circumstances where more than three persons wish to speak, those not selected,
shall be provided with the names of ward councillors and the nominated speakers in
order that they can seek to have their points raised.
H.
All persons speaking shall be strictly limited to three minutes each.
I.
All persons shall have a maximum of two opportunities to speak ie at two meetings of
the committee or at one committee and one member site visit.
J.
All persons wishing to speak shall notify the committee administrator no later than
12.30pm on the working day before the meeting.
K.
The above criteria shall only be waived by the committee or chairman of the
committee in exceptional circumstances eg applications having a strategic district
wide importance. Numbers of persons wishing to speak shall not in its own right
constitute an exceptional criterion.
L.
Where prospective speakers are only in support of an officer recommendation, be it
to grant or refuse, and no members of the committee wish to speak against the
recommendation, then there is no need for speakers to address the committee.
NOTE: Whilst the council shall endeavour to apply the above criteria with consistency, every
circumstance raised by a proposal cannot be predicted. Final discretion on speakers shall
therefore rest with the chairman of the committee
- 296 -
Area Member Panels
Canterbury Area Member Panel It was agreed that the speaking rights for the public at meetings of the panel should remain
as before, which means that any member of the public may speak for no more than three
minutes upon any item which appeared upon the agenda provided that they had given notice
to Democratic Services not later than 12.30pm on the working day before the meeting.
Any member of the public who requests to speak at meetings of this panel on behalf of an
organisation must submit a document in advance on each occasion signed by three
members of the organisation they represent, stating that they have a mandate to put the
views of the organisation.
Herne Bay Area Member Panel That in the main the speaking right for the public should remain as before, which means that
any member of the public may speak for no more than three minutes upon any item which
appeared upon the agenda provided that they had given notice to Democratic Services not
later than 12.30pm on the working day before the meeting. However, this would be subject
to the Chair’s discretion to allow speakers who had not given notice whilst speakers should
normally only speak once, this could be at any point in the debate subject to the Chair’s
discretion.
Any member of the public who requests to speak at meetings of this panel on behalf of an
organisation must submit a document in advance on each occasion signed by three
members of the organisation they represent, stating that they have a mandate to put the
views of the organisation.
Rural Area Member Panels It was agreed that the current arrangements for public participation at meetings of the Rural
Area Member Panels should remain subject to a change to the deadline for giving notice to
Democratic Services of the intention to speak on an item. It was agreed that in future the
deadline would be 12.30pm on the day of the meeting of the panels.
Any member of the public who requests to speak at meetings of these panels on behalf of an
organisation must submit a document in advance on each occasion signed by three
members of the organisation they represent, stating that they have a mandate to put the
views of the organisation.
Whitstable Area Member Panel That, for the time being, the speaking rights for the public remain as set out in the previous
terms of reference for Area Member Panels, as follows:
(i)
Any member of the public may at meetings of any Area Member Panel present
petitions and/or speak for no more than three minutes upon any items which appears
upon the agenda for that meeting prior to the Area Member Panel’s discussion of that
item PROVIDED THAT notice has been given to Democratic Services not later than
10am on the working day of the meeting.
(ii)
If a member of the public wishes to speak to an item which is to be dealt with after
the public has been excluded, he or she may only speak prior to the press and public
being excluded.
- 297 -
(iii)
The Area Member Panel may refuse to allow a member of the public to speak or to
continue to speak if it appears that the speech is defamatory, mere vulgar abuse,
inflammatory or for other good reason.
(iv)
The Area Member Panel may, at their discretion, extend the three minute rule.
(v)
Chairmen of Area Member Panels may, with the agreement of the Members, allow
any additional speakers at the meeting as they deem to be appropriate.
(vi)
Any member of the public who requests to speak at meetings of this panel on behalf
of an organisation must submit a document in advance on each occasion signed by
three members of the organisation they represent, stating that they have a mandate
to put the views of the organisation.
- 298 -
Whitstable Harbour Board
(i)
Any member of the public may at meetings of the board present petitions and/or
speak for no more than three minutes upon any item which appears upon the agenda
for that meeting prior to the board’s discussion of that item provided that notice has
been given to Democratic Services not later than 12.30pm on the working day before
the meeting.
(ii)
If a member of the public wishes to speak to an item which is to be dealt with after
the public have been excluded, he or she may only speak prior to the passing of the
resolution to exclude the press and public.
(iii)
The committee may refuse to allow a member of the public to speak or continue to
speak if it appears that the speech is defamatory, mere vulgar abuse, inflammatory
or for other good reason.
(iv)
If a stakeholder of the board wishes to make representations there is a maximum
time limit of 15 minutes with each speaker being allowed a time limit of three minutes
provided that notification has been given to Democratic Services not later than
12.30pm on the working day before the meeting.
- 299 -
Other committees
(i)
Any member of the public may at meetings of the committee’s listed below present
petitions and/or speak for no more than three minutes upon any item which appears
upon the agenda for that meeting prior to the committee’s discussion of that item
provided that notice has been given to Democratic Services not later than 12.30pm
on the working day before the meeting.
(ii)
Any member of the public who requests to speak at meetings of the committees
listed below on behalf of an organisation must submit a document in advance on
each occasion, signed by three members of the organisation they represent, stating
that they have a mandate to put the views of the organisation.
(iii)
If a member of the public wishes to speak to an item which is to be dealt with after
the public have been excluded, he or she may only speak prior to the passing of the
resolution to exclude the press and public.
(iv)
The committee may refuse to allow a member of the public to speak or continue to
speak if it appears that the speech is defamatory, mere vulgar abuse, inflammatory
or for other good reason.
Audit Committee
General Purposes Committee
Joint Transportation Board
Licensing Committee
Scrutiny Management and Review Sub-Committee
Standards Committee
Licensing Sub-Committee
Right and responsibilities of parties attending hearings:
(i)
Hearings will normally be held in public.
(ii)
Only a party who has made an objection (an objector) or a person representing that
objector may speak at the hearing as long as the objector has advised the Licensing
Authority in writing prior to the hearing.
(iii)
Objectors and members of the public will normally be invited to sit within the body of
Council Chamber near the microphones during the hearing, which involves them.
(iv)
If objectors wish to have any documentary or other evidence (eg DVD, video,
photographs) considered at the hearing they must produce it to the Licensing
Authority at least five working days before the hearing. This will allow the Licensing
Authority to produce and submit copies to the applicant.
(v)
Documentary or other evidence not submited until the hearing may only be used if all
the other parties to the hearing agree.
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Part Six
Councillor and
Co-opted Members Allowances
Scheme
Canterbury City Council
The Local Authorities (Members Allowances) (England)
Regulations 2003 (as amended)
Scheme for members allowances
1 This scheme was made by Canterbury City Council on 15 December 2003, and is
effective from 12 May 2004. It is to be amended by the council each year in accordance
with the Retail Price Index increase as agreed and after receiving any advice of an
Independent Remuneration Panel.
2 From 1 April 2008 a basic allowance of £4,710 per annum shall be paid to each member
of the authority who is a councillor. This will be paid monthly on the 25th of the month,
direct to bank. When the term of office of a councillor begins or ends other than at the
beginning or end of a financial year, a proportion of the basic allowance will be paid,
based upon the number of days in office in the particular month of payment.
3 Special Responsibility allowance shall be paid to members annually in the sums listed
below. This will be paid monthly on 25th of the month direct to bank. Where a councillor
takes up or relinquishes any such special responsibilities during a period, a proportion of
the Special Responsibility allowance will be paid, based upon the number of days during
which his special responsibilities subsist in the particular month of payment.
For Chairmen of Committees and Sub Committees, whilst any system of rotating Chairs
continues, these allowances will be shared between the Group Spokesmen on the
relevant Committee or Sub-Committee. If another councillor is elected as chairman for a
meeting in the absence of the scheduled Chairman no additional allowance is payable.
4 The allowances payable to leaders of groups is pro-rata to the number of councillors in
each group. The Director of Corporate Services is hereby given delegated authority to
adjust the sums payable should numbers change.
2008/2009
£
per annum
Leader 18,114
Deputy Leader
6,342
Other Executive Members
(each) 5,430
Chairman of the Overview & Scrutiny Committee
4,539
Chairman of the Licensing Committee
4,539
Vice-Chairman of the Licensing Committee
(each) 4,077
Chairman of Development Control Committee
3,618
Chairman of General Purposes Committee
906
Chairman of Standards Committee
906
Chairman of Whitstable Harbour Board
906
Chairman of Canterbury Area Member Panel
906
Chairman of Herne Bay Area Member Panel
906
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2008/2009
£
per annum
Chairman of Whitstable Area Member Panel
906
Chairmen of Rural Area Member Panel
(each) 453
City Council Chair of the Joint Transportation Board
906
Members on Housing Appeals and Benefits Committee
(each) 453
Members on Licensing Committee
(each) 453
Leader of Conservative Group
3,024.21
Leader of Liberal Democrat Group
1,981.38
Leader of Labour Group
208.57
Deputy Leader of Conservative Group
2,016.15
Deputy Leader Liberal Democrat Group
1,320.93
Deputy Leader Labour Group
139.04
Basic Allowance payable to all Councillors
4,710
NOTES
1
Travelling, subsistence and motor mileage allowances
Councillors will be reimbursed car mileage only from their home to place of duty and
return, in respect of attendance at approved duties, or as the council’s representative
in accordance with the rates set out as the officers' casual user allowances. If a
councillor visits the vicinity of the place of duty for some other purpose and then goes
directly to the approved duty, a claim should not be made. For journeys outside Kent
the second class rail fair is paid (irrespective of whether the councillor chooses to use
a car), together with taxi fares, parking charges and underground fares incurred.
Where it is impracticable for a councillor to travel by train because the venue is
difficult to get to within the time allowed, or extra passengers/luggage has to be
taken, car mileage may be allowed at the appropriate rate, provided approval from
the Director of Corporate Services for this exception is obtained prior to the journey.
Travel by motorcycle will be reimbursed at 24p per mile.
These rates will be adjusted in line with changes in officer mileage rates.
Travel by bicycle will be reimbursed at the equivalent car mileage rate.
2
For each additional official car passenger payment will be :
1st
passenger
3p
per
mile
2nd and subsequent passengers up to maximum 4 2p per mile
Reimbursement for travel by taxi will apply only in exceptional cases. The rate for
travel by taxi will not exceed:
a) in cases of urgency or where no public transport is reasonably available, the
amount of the actual fare and any reasonable gratuity paid.
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b) in any other case, the amount of the fare for travel by appropriate public transport
(second class for train travel)
c) the rate of travel by a hired motor vehicle other than a taxi shall not exceed the
rate which would have been applicable had the vehicle belonged to the member who
hired it, provided that where the Director of Corporate Services so approves, the rate
may be increased to an amount not exceeding the actual cost of hiring.
In the case of travel by air bookings and payment will be made directly by the council
to the agent or operator.
Travelling, subsistence and motor mileage allowances may be payable for
attendance at meetings of:
Full
Council
Adjourned Full Council
The Executive or a committee of the Executive
Council Committees and Sub Committees, steering groups and working parties
Adjourned Committees or Sub Committees
Discretionary Housing Benefits Panel
Other approved duties #
National and regional conferences on the council’s list of approved conferences and
seminars approved by the Chief Executive or his nominated representative
Local Government Association
British Resorts Association
SE Regional Forum
Kent Association of Local Authorities
National Housing and Town Planning Council
SE England Tourist Board
Representation on any body to which the councillor was appointed by the council
Staff and Safety Joint Consultative Group
Informal
Executive
Finance Working Group
Portfolio partners meetings with lead officers
Briefing meetings $
Tender opening
Briefings/meetings/events called by chief officers on specific issues
The list of approved Working Groups and Best Value Service Reviews are:
Corporate Plan Working Group
Editorial Board for the council’s newspaper
Members Allowances Working Party
Advisory Working Group to oversee prioritisation of voluntary sector grants
Street Trading Advisory Group
Joint meeting between Executive and 5 members of O&S Committee
Kingsmead Development Group
Licensing Policy Group
Marlowe Theatre Redevelopment Group
Waste Collection Arrangements Group
Wincheap Steering Group
Museums and Galleries Advisory Group
Business Improvement Districts Working Group
Charging for Discretionary Services Group
Education Establishments Meeting
Development Framework Steering Group
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Political Management Member Panel
Information Communication Strategies Steering Group
Procurement with the council sub-group
Health Issues Forum
Pay Review Board
Canterbury Transport Advisory Group (CTAG)
Canterbury Homeless Forum – now known as East Kent Triangle Area Homeless
Forum
Contact Centre Group
Joint Transportation Board
Herne Bay Regeneration Group
Best Value Service Review Groups
Scrutiny Panels
# - covers meetings called by the council during the year in addition to normal
committee cycles (eg special meetings for consultations on local plans etc) and
which are specifically resolved to be an approved duty.
$ - payment limited to one member of each political group per meeting
3
Overview and Scrutiny Committee members attending meetings of the Executive are
entitled to claim travelling allowance and any councillor speaking on an issue
relevant to their Ward at a meeting of the Executive, with the consent of the Leader,
is also entitled to claim travelling allowance.
4
Under Part 4 Overview and Scrutiny Procedure Rules Section 13, if the Overview
and Scrutiny Committee, or its sub Committee requires a member of the Executive to
attend before it in relation to matters within that member’s remit, then that councillor
is entitled to claim travelling expenses.
5
Where Executive Members attend non-Executive meetings to observe, only this is
not deemed to be an approved duty and travelling expenses will not be paid.
6
Where any councillor attends any committee to speak on an item with the Chairman’s
consent, this attendance will be an approved duty for payment of travelling expenses.
7
Councillors are entitled to claim travel expenses for committee briefings and for all
partnership meetings or Chairman and Vice-Chairman meetings with the Lead Officer
and these meetings become approved duties.
8
This scheme does not allow for travel expenses to be paid to individual councillors
arranging meetings with officers as this is deemed to be part of the councillor’s role
and members allowances paid are calculated to reflect these extra duties.
9
That for any other ad hoc briefings, eg on major developments, councillors from all
three groups will need to be invited to these briefings in order for travelling
allowances to be paid.
10
No allowance shall be payable if such a payment would be contrary to provision
made by or under any enactment.
11
Councillors who attend committee meetings of which they are not a member (under
Standing Order 39(2)) shall be entitled to claim travel expenses.
12
Co-opted and independent members of Boards and Panels receive travel allowances
to be paid as per members of the council.
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13
Subsistence allowances will be paid at the same rate as appropriate officer
subsistence rates where absence from normal residence on approved duty exceeds
4 hours provided claims are supported by receipts. Out of pocket expenses, eg
coffees and teas may be claimed where absence exceeds 4 hours and expenditure
has been incurred.
The cost of meals taken on a train during a period when there is entitlement for day
subsistence allowance may, if reasonable be paid in full.
14
Dependants and child care allowance
This allowance is payable to councillors who have an express need for the
allowance. This express need will be in the form of a written declaration by the
councillor and the declaration will be lodged with the Standards Committee.
The Standards Committee will note each declaration received in the period up to the
next meeting at the meeting.
For the child care allowance to be payable the councillor must register with the
Director of Corporate Services that they have a dependant child under the age of 14
living with them.
The allowance is payable on receipt by the Director of Corporate Services of a
signed statement from the councillor, which states that childcare has been provided
by a paid babysitter and the babysitter is not a member of the immediate family or
household.
The rate of payment is the national minimum wage rate up to a maximum of 15 hours
per week.
For elderly and/or disabled dependant care allowance payment will be at the rate
charged by KCC Social Services for a Home Care Assistant. Payment will only be
made on production of receipts for payments to professional carers. Payments are
limited to a maximum of 15 hours per week as for the child care element.
A councillor cannot claim for multiple carers for multiple dependants. The duties for
which carers allowance may be paid are those referred to in 2, 3, 4, 6, 7, 9 and 11
above.
15
Allowances will be paid monthly on the 25th of the month, one month in arrears.
Mileage will be paid subject to a claim being received.
16
In any month in which the election of the whole council falls, payment of basic
allowances and special responsibility allowances may be suspended until the
following month to avoid overpayments to councillors retiring or not re-elected.
17
This scheme may be amended at any time during the course of the financial year by
resolution of the council. In the event of the scheme being amended the operative
date of the amendment will be the day following the council resolution unless the
resolution backdates whole or part of the scheme terms.
18
Any duties performed before the date of the amendment will attract allowances
prescribed in the scheme as originally made or previously amended and only duties
performed after the operative date of the resolution will attract allowances prescribed
by the amended scheme.
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19
The basic allowance, special responsibility allowances and the dependent carers
allowance are to be indexed to the RPI (Retail Price Index), published at the end of
February each year.
20
No attendance allowances are payable under this scheme.
21
If any councillor, without good reason, fails on several occasions to attend meetings
he/she should attend, or if he/she merely puts in token appearances, the conduct of
that councillor can be referred to a Standards Committee. That Standards
Committee will have power to withhold the basic allowance in whole or in part if
appropriate.
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Part Seven
Management structure
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