Paul Janik
Presents
Slough Borough Council's
Constitution
2006 - 2007
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CONSTITUTION
SLOUGH BOROUGH COUNCIL: May 2006
Contents
Page No.
PART 1: Summary and Explanation ............................................................ 1
PART 2: Articles ............................................................................................ 5
Article 1
The Constitution ........................................................... 6
Article 2
Members of the Council .............................................. 7
Article 3
Citizens and the Council ............................................. 9
Article 4
The Council Meeting ................................................... 11
Article 5
Chairing the Council .................................................... 13
Article 6
Scrutiny and Overview ................................................ 14
Article 7
The Executive ............................................................. 17
Article 8
Regulatory and Other Committees .............................. 18
Article 9
The Standards Committee .......................................... 19
Article 10
Audit Advisory Panel ................................................... 24
Article 11
Champions .................................................................. 27
Article 12
Joint Arrangements ..................................................... 28
Article 13
Officers Roles and Statutory Officer Functions .......... 30
Article 14
Decision Making .......................................................... 34
Article 15
Finance, Contracts and Legal Matters ........................ 36
Article 16
Review and Revision of the Constitution ..................... 37
Article 17
Suspension, Interpretation and Publication
of the Constitution ....................................................... 38
Schedule 1 Description of Executive Arrangements ...................... 39
PART 3: Responsibility for Functions ......................................................... 40
Responsibility for Local Choice Functions ........................................ 42
Responsibility for Council Functions ................................................ 44
Responsibility for Executive Functions ............................................. 51
Scheme of Delegation to Officers .................................................... 53
Proper Officer Appointments ............................................................ 133
Cabinet Portfolios ............................................................................. 144
Appeals Panels and Other Bodies ................................................... 146
PART 4: Procedure Rules ............................................................................. 149
4.1 Council Procedure Rules ......................................................... 150
4.2 Access to Information Procedure Rules .................................. 176
4.3 Budget and Policy Framework Procedure Rules ..................... 186
4.4 Executive Procedure Rules ..................................................... 192
4.5 Overview and Scrutiny Procedure Rules ................................. 196
4.6 Financial Procedure Rules ....................................................... 220
4.7 Officer Employment Procedure Rules ..................................... 247
PART 5: Ethical Framework ......................................................................... 254
5.1
Local Code of Conduct for Members ................................. 255
5.2
Planning Code of Conduct for Members and Officers ....... 265
5.3
Licensing Code of Conduct for Members and Officers ...... 287
5.4
Local Code of Conduct for Employees .............................. 297
5.5
Local Code of Conduct Governing Relations
between elected Members and Council Employees
(Member and Officer Relations Code) ............................... 325
5.6
Whistleblowing Policy and Procedure ............................... 349
5.7
Monitoring Officer Protocol ................................................ 361
5.8
Guidance on Gifts and Hospitality ..................................... 367
5.9
Anti Fraud and Corruption Strategy and Policy ................. 375
5.10
Protocol on seeking the Views of the External Auditor ...... 386
5.11
Policy Statement on Corporate Governance ..................... 393
5.12
Guidance for Members and Staff in relation to Members’
involvement in housing and council tax benefits work ....... 402
PART 6: Members’ Allowances Scheme ................................................... 405
PART 7: Management Structure ................................................................ 414
Part 1
Summary and
Explanation
Part 1 - Summary & Explanation Council - May 2006
1
The Council’s Constitution
1
Slough Borough Council has agreed a new constitution which sets out how the
Council operates, how decisions are made and the procedures which are
followed to ensure that these are efficient, transparent and accountable to
local people. Some of these processes are required by law, while others are a
matter for the Council to choose.
2
The Constitution is divided into 17 articles which set out the basic rules
governing the Council’s business. More detailed procedures and codes of
practice are provided in separate rules and protocols at the end of the
document.
What’s in the Constitution?
3
Article 1 of the Constitution commits the Council to provide clear leadership
within the local community through involving others in a transparent and
accountable process of effective decision-making which will support
improvements in the delivery of services. Articles 2 – 17 explain the rights of
citizens and how the key parts of the Council operate. These are:
• Members of the Council (Article 2)
• Citizens and the Council (Article 3)
• The Council meeting (Article 4)
• Chairing the Council (Article 5)
• Overview and Scrutiny (Article 6)
• The Executive (Article 7)
• Regulatory and other committees (Article 8)
• The Standards Committee (Article 9)
• Audit Advisory Panel (Article 10)
• Champions (Article 11)
• Joint arrangements (Article 12)
• Officer Roles and Statutory Officer Functions (Article 13)
• Decision making (Article 14)
• Finance, contracts and legal matters (Article 15)
• Review and revision of the Constitution (Article 16)
• Suspension, interpretation and publication of the Constitution (Article 17)
How the Council operates
4
The Council is composed of 41 Members. There are 14 Wards in Slough. 13
Wards have three members representing them. These members are elected
in thirds for a period of four years. No elections are held in the fourth year.
One Ward (Colnbrook and Poyle) has two Members representing it. Members
in this Ward are elected in consecutive years to serve for a period of four
years. There are no elections in this Ward for the following two years.
Members are democratically accountable to residents of their ward. The
Part 1 - Summary & Explanation Council - May 2006
2
overriding duty of Members is to the whole community, but they have a special
duty to their constituents, including those who did not vote for them.
5
Members have to agree to follow a code of conduct to ensure high standards
in the way they undertake their duties. The Standards Committee trains and
advises them on the code of conduct.
6
All Members meet together as the Council. Meetings of the Council are
normally open to the public. Here Members decide the Council’s overall
policies and set the budget each year. The Council appoints the Leader of the
Council, the Executive Members, the Overview and Scrutiny Committee
responsible for holding the Executive publicly accountable, the Regulatory
Committees which deal with non–executive functions and the Standards
Committee.
How Decisions are Made 7
The Executive is the part of the Council which is responsible for most day-to-
day decisions. The Executive is made up of the Leader elected by the Council
and a cabinet of between two and nine Members appointed by the Council.
When major decisions are to be discussed or made, these are published in the
Executives’ forward plan in so far as they can be anticipated. If these major
decisions are to be discussed with Council officers at a meeting of the
Executive, this will generally be open for the public to attend except where
personal or confidential matters are being discussed. The Executive has to
make decisions which are in line with the Council’s overall policies and
budget. If it wishes to make a decision which is outside the budget or policy
framework, this must be referred to the Council as a whole to decide.
Overview and Scrutiny
8
There is one Overview and Scrutiny Committee and 4 Scrutiny Panels which
support the work of the Executive and the Council as a whole. They allow
citizens to have a greater say in Council matters by holding public
investigations into matters of local concern. These lead to reports and
recommendations which advise the Executive and the Council as a whole on
its policies, budget and service delivery. The Overview and Scrutiny
Committee and its panels also monitor the decisions of the Executive. They
can ‘call-in’ a decision which has been made by the Executive but not yet
implemented. This enables them to consider whether the decision is
appropriate. They may recommend that the Executive reconsider the
decision. They may also be consulted by the Executive or the Council on
forthcoming decisions and the development of policy.
The Council’s Staff
9
The Council has people working for it (called ‘officers’) to give advice,
implement decisions and manage the day-to-day delivery of its services.
Some officers have a specific duty to ensure that the Council acts within the
law and uses its resources wisely. A code of practice governs the
relationships between officers and members of the Council.
Part 1 - Summary & Explanation Council - May 2006
3
Citizens’ Rights
10
Citizens have a number of rights in their dealings with the Council. These are
set out in more detail in Article 3. Some of these are legal rights, whilst others
depend on the Council’s own processes. The local Citizens’ Advice Bureau
can advise on individuals’ legal rights.
11
Where members of the public use specific Council services, for example as a
parent of a school pupil or as a Council tenant, they have additional rights.
These are not covered in this Constitution.
12
Citizens have the right to:
• vote at local elections if they are registered;
• contact their local Member about any matters of concern to them;
• obtain a copy of the Constitution;
• attend meetings of the Council and its committees except where, for
example, personal or confidential matters are being discussed;
• petition to request a referendum on a mayoral form of Executive;
• participate in the meetings of the Council and contribute to overview and
scrutiny investigations according to the Council’s scheme;
• find out, from the Executive’s forward plan, what major decisions are to be
discussed by the Executive or decided by the Executive or officers, and
when;
• attend meetings of the Executive where key decisions are being discussed
or decided;
• see reports and background papers, and any record of decisions made by
the Council and Executive;
• complain to the Council about any aspect of the services provided by the
Council. A leaflet will be provided on request;
• complain to the Ombudsman if they think the Council has not followed its
procedures properly. However, they should only do this after using the
Council’s own complaints process;
• complain to the Standards Board for England if they have evidence which
they think shows that a Member has not followed the Council’s Code of
Conduct; and
• inspect the Council’s accounts and make their views known to the external
auditor.
13
The Council welcomes participation by its citizens in its work. For further
information on your rights as a citizen, please contact the Assistant Director
(Democratic Services).
Part 1 - Summary & Explanation Council - May 2006
4
Part 2
Articles
Part 2 – Articles
Council - May 2006
5
ARTICLE 1 – THE CONSTITUTION 1
Powers of the Council
The Council will exercise all its powers and duties in accordance with the law and
this Constitution.
2
The Constitution
This Constitution, and all its appendices, is the Constitution of Slough Borough
Council.
3
Purpose of the Constitution
The purpose of the Constitution is to:
1
enable the Council to provide clear leadership to the community in
partnership with citizens, businesses and other organisations;
2
support the active involvement of citizens in the process of Local Authority
decision-making;
3
help Members represent their constituents more effectively;
4
enable decisions to be taken efficiently and effectively;
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
ensure that those responsible for decision-making are clearly identifiable to
local people and that they explain the reasons for decisions; and
8
provide a means of improving the delivery of services to the community.
4
Interpretation and Review of the Constitution
Where the Constitution permits the Council to choose between different courses of
action, the Council will always choose the option which it thinks is closest to the
purposes stated above.
The Council will monitor and evaluate the operation of the Constitution as set out in
Article 16.
Part 2 – Articles
Council - May 2006
6
ARTICLE 2 – MEMBERS OF THE COUNCIL
1
Composition and Eligibility
(a)
Composition. The Council will comprise 41 Members, otherwise called
Members, to be elected by the voters of each ward in accordance with a
scheme drawn up by the Local Government Commission and approved by
the Secretary of State.
(b)
Eligibility. Only registered voters of the Borough or those occupying
property or working there will be eligible to hold the office of Member.
2
Election and Terms of Members
Election and Terms. Members are elected by thirds in three out of four years.
Elections are held on the first Thursday in May. The terms of office of Members will
start on the fourth day after being elected and will finish on the fourth day after the
date of the next regular election.
3
Roles and functions of all Members
(a)
Key Roles. All Members will:
(i)
collectively be the ultimate policy-makers and carry out a number of
strategic and corporate management functions;
(ii)
represent their communities and bring their views into the Council’s
decision-making process, ie become the advocate of and for their
communities;
(ii) deal
with
individual casework and act as an advocate for constituents
in resolving particular concerns or grievances;
(iv)
balance different interests identified within the ward and represent the
ward as a whole;
(v)
be involved in decision-making;
(vi)
be available to represent the Council on other bodies; and
(vii)
maintain the highest standards of conduct and ethics.
(b)
Rights and Duties
(i)
Members will have such rights of access to such documents,
information, land and buildings of the Council as are necessary for the
proper discharge of their functions and in accordance with the law.
(ii)
Members will not make public information which is confidential or
exempt without the consent of the Council or divulge information given
Part 2 – Article 2
Council - May 2006
7
in confidence to anyone other than a Member or officer entitled to
know it.
(iii)
For these purposes “confidential” and “exempt” information are defined
in the Access to Information Rules in Part 4 of this Constitution.
4
Conduct
Members will at all times observe the Local Code of Conduct and the Protocol on
Member/Officer Relations set out in Part 5 of this Constitution.
5
Allowances
Members will be entitled to receive allowances in accordance with the Members’
Allowances Scheme set out in Part 6 of this Constitution.
Part 2 – Article 2
Council - May 2006
8
ARTICLE 3 – CITIZENS AND THE COUNCIL
1
Citizens’ Rights
Citizens have the following rights. Their rights to information and to participate are
explained in more detail in the Access to Information Rules in Part 4 of this
Constitution:
(a)
Voting and Petitions. Citizens on the electoral roll for the area have the
right to vote and sign a petition to request a referendum for an elected mayor
form of Constitution.
(b)
Information. Citizens have the right to:
(i)
attend meetings of the Council and its committees except where
confidential or exempt information is likely to be disclosed, and the
meeting is therefore held in private;
(ii)
attend meetings of the executive and executive committees when key
decisions are being considered;
(iii)
find out from the forward plan what key decisions will be taken by or
on behalf of the executive and when;
(iv)
see reports and background papers, and any records of decisions
made by the Council and the Executive;
(v)
see reports and background papers, and any records of key decisions
made on behalf the Executive; and
(vi)
inspect the Council’s accounts and make their views known to the
external auditor.
(c)
Participation. Citizens have the right to:
(a)
Present petitions to the Council, Executive, its committees and sub
committees.
(b)
Ask a written question at the Council in accordance with the agreed
procedures.
(c)
Ask a supplementary question at the meeting provided it is relevant to
the original question.
(d)
Contribute to the work of Overview and Scrutiny by providing written or
verbal submission either voluntarily or on request
(d)
Complaints. Citizens have the right to complain to:
(i)
the Council itself under its complaints scheme;
(ii)
the Ombudsman after using the Council’s own complaints scheme;
Part 2 – Article 3
Council - May 2006
9
(iii)
the Standards Board for England about a breach of the Member’s
Code of Conduct.
2
Citizens’ Responsibilities
Citizens must not be violent, abusive or threatening to Members or officers and
must not wilfully harm things owned by the council, Members or officers.
Part 2 – Article 3
Council - May 2006
10
ARTICLE 4 – THE FULL COUNCIL
Meanings
(a)
Policy Framework.
The policy framework means the following plans and
strategies:
(a)
Those required to be included under the Local Government Act 2000:
• Best Value Performance Plan
• Community
Strategy(ies)
• Crime and Disorder reduction Strategy
• Early Years Development Plan
• Education Development Plan
• Local Transport Plan
• Plans and Strategies which together comprise the Development
Plan.
• Youth Justice Plan
• Children and Young People’s Plan
(b)
Those other plans which the Government recommends should be
adopted by the Council:-
• Plans comprising the Housing Investment Programme
• Local Agenda 21 Strategy
• Adult Learning Plan
• Corporate
Plan
• Quality Protects Management Action Plan.
• Food Law Enforcement Service Plan
(c)
Plans and Strategies which the Council has chosen to include as part
of the Policy Framework:
• Admission Arrangements for Community and Voluntary Controlled
Schools
• Equality
Plan
• Health Improvement and Modernisation Plan (HIMP)
• Joint Investment Plans (Older People, Mental Health, Learning
Disability, Welfare to work and Intermediate Care)
• Healthy Environment Plan
• Waste Management Strategy
(d)
Such other plans or strategies as may be specified by the Council as
part of the Policy Framework from time to time.
(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.
Part 2 – Article 4
Council - May 2006
11
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
the
leader;
(e) agreeing
and/or
amending the terms of reference for Regulatory
Committees, Overview and Scrutiny Committees, the Standards Committee
and Audit Advisory Panel, deciding on their composition and making
appointments to them;
(f) appointing
representatives to outside bodies;
(g)
adopting an allowances scheme;
(h)
confirming the appointment of the head of paid service;
(i)
making, amending, revoking, re-enacting or adopting bylaws and promoting
or opposing the making of local legislation or personal Bills;
(j)
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
(k)
all other matters which, by law, must be reserved to Council.
Council Meetings
There are three types of Council meeting:
(a)
the
annual
meeting;
(b)
ordinary
meetings;
(c)
extraordinary
meetings.
Meetings will be conducted in accordance with the Council Procedure Rules in Part
4 of this Constitution.
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.
Part 2 – Article 4
Council - May 2006
12
ARTICLE 5 – CHAIRING THE COUNCIL
Chairing the Council Meeting
The Mayor will be elected by the Council annually 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 and with regard to the rights of Members 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 at which Members are able to hold the
Executive to account;
4
To promote public involvement in the Council’s activities;
5
To act in a neutral manner on matters that affect the Council;
6
To attend such civic and ceremonial functions as the Council and he/she
determines appropriate.
Part 2 – Article 5
Council - May 2006
13
ARTICLE 6 –OVERVIEW AND SCRUTINY
1
The Council will appoint an Overview and Scrutiny Committee and
Panels as shown
in the table below to discharge the functions conferred by Section 21 of the Local
Government Act 2000 and regulations made thereunder.
Committee/Sub Committee
Scope
Overview and Scrutiny Committee
• All Overview and Scrutiny functions on
behalf of the Council.
• The co-ordination of the Overview and
Scrutiny work plan including the
allocation of issues to Scrutiny Panels.
• Consideration of the details of the
Executive’s Forward Plan.
Panels:
Each Scrutiny Panel shall be responsible
• Health Panel
for:
• Education & Children’s
• Scrutiny of functions falling within the
Services Panel
scope of the Cabinet portfolios
• Adult & Community Services
allocated to them and any non-
Panel
executive functions or matters
• Green & Built Environment
associated with those portfolio
Panel
functions.
• Matters within its area of responsibility
which have been :
• Referred to it by the Council or
Overview and Scrutiny Committee
• Referred to it by the Overview and
Scrutiny Committee on receipt of a
member call in
• Agreed by the Panel for inclusion in
its agenda plan or work programme.
Each Panel shall make recommendations
or reports to the Overview and Scrutiny
Committee, Cabinet, other Committee or
Council as appropriate.
General Role
2
Within its terms of reference, the Overview and Scrutiny Committee will:
(i)
review and/or scrutinise decisions made or actions taken in connection with
the discharge of any of the Council’s functions;
(ii)
make reports and/or recommendations to the full Council and/or the
Executive and/or any other Committee in connection with the discharge of
any functions;
(iii)
consider any matter affecting the Borough or its inhabitants; and
(iv)
review decisions made but not yet implemented by the Executive and any
other Committee, where these have been called-in.
Part 2 – Article 6
Council - May 2006
14
3
The Committee (and its Panels) will meet in public unless confidential or exempt
information is being considered.
4
The position of Chair of the Committee will be offered to an opposition group
member and the position of Vice-Chair offered to a member of the Joint
Administration. The Committee may appoint as Chair any of its voting members if
that offer is not accepted.
Specific Functions
5
Policy Development and Review - The Overview and Scrutiny Committee may:
(i)
Assist the Council and the Executive in the development of its budget
and policy framework by in-depth analysis of policy issues;
(ii)
conduct research, community and other consultation in the analysis of
policy issues and possible options;
(iii)
consider and implement mechanisms to encourage and enhance
community participation in the development of policy options;
(iv)
question Members of the Executive, other Committees and Chief
Officers about their views on issues and proposals affecting the area;
and
(v)
liaise with other external organisations operating in the area whether
national, regional or local, to ensure that the interests of local people
are enhanced by collaborative working.
6
Scrutiny - The Overview and Scrutiny Committee may:
(i)
review and scrutinise the decisions made by and performance of the
Executive, Committees and Council Officers both in relation to
individual decisions and over time;
(ii)
review and scrutinise the performance of the Council in relation to its
policy objectives, performance targets and/or particular service areas;
(iii)
question Members of the Executive, Committees and Chief 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 and local people about their activities and performance;
and
(vi)
question and gather evidence from any person (with their consent).
Part 2 – Article 6
Council - May 2006
15
7
Annual Report. The Overview and Scrutiny Committee must report annually to the
full Council on future work programmes and amended working methods if
appropriate.
Proceedings of Overview and Scrutiny Committee
8
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.
Part 2 – Article 6
Council - May 2006
16
ARTICLE 7 – THE EXECUTIVE
Role
1
The Executive will carry out all of the Authority’s functions which are not the
responsibility of any other part of the Authority whether by law or under this
Constitution.
Form and Composition
2
The Executive will consist of the Executive Leader together with the Deputy Leader
and at least one but not more than eight, Members appointed to the Executive by
the Council on the nomination of the Executive Leader.
3
The Executive cannot include the Mayor or Deputy Mayor.
4 Executive
Members
will
be known as Commissioners.
Leader
5
The Leader will be a Member elected to the position of Leader by the Council. The
Leader will hold office until:
(a)
he/she resigns from the office; or
(b)
he/she is suspended from being a Member under Part III of the Local
Government Act 2000 (although he/she may resume office at the end of the
period of suspension); or
(c)
he/she is no longer a Member; or
(d)
the commencement of the next annual meeting of the Council except that the
Council may remove the Leader from office at an earlier date by resolution of
the Council.
Other Executive Members (Commissioners)
6
Commissioners shall hold office until:
(a)
they resign from office; or
(b)
they are suspended from being Members under Part III of the Local
Government Act 2000 (although they may resume office at the end of the
period of suspension); or
(c)
they are no longer Members; or
(d)
until the commencement of the next annual meeting of the Council or until
they are removed from office at an earlier date by resolution of the Council.
Proceedings of the Executive
7
Proceedings of the Executive shall take place in accordance with the Executive
procedure rules set out in Part 4 of this Constitution.
Responsibility for Functions
8
The Leader will maintain a list in Part 3 of this Constitution setting out where
responsibility lies for the exercise of particular executive functions.
Part 2 – Article 7
Council - May 2006
17
ARTICLE 8 – REGULATORY AND OTHER COMMITTEES
Regulatory and Other Committees
The Council will appoint the Committees set out in the left-hand column of the table
entitled Responsibility for Council Functions contained in Part 3 of this Constitution,
to discharge the functions set out in column 3 of that table.
Part 2 – Article 8
Council - May 2006
18
ARTICLE 9 – THE STANDARDS COMMITTEE Standards
Committee
1
The Council will establish a Standards Committee.
Composition
2 General
The Standards Committee does not have to comply with the political proportionality
rules set out in Section 15 of the Local Government and Housing 1989 Act.
Parish
Council
business
will be conducted through the main committee and this
arrangement will be reviewed after one year.
3 Membership
The Standards Committee will be composed of at least:
(a) Six Members (and shall not include the Leader, Commissioners, Mayor and
Deputy Mayor and the Chairs and Vice Chairs of Planning and Licensing
Committee) at least three of whom must be drawn from the Opposition
(b) Four persons who are not Members or officers of the Council or any other body
having a standards committee (Independent Members).
(c) One Member of a Parish Council wholly or mainly in the Council’s area (a
Parish Member)
4
Independent Members, the Parish Council Member and, in his/her absence, his/her
Standing Deputy will be entitled to vote at meetings.
5
Parish Members.
(a) At least one Parish Member must be present when matters relating to those
Parish Councils or their Members are being considered.
(b) The Parish Councils wholly or mainly in the Council’s area will nominate the
Parish Council Member to serve on the Committee and a Standing Deputy to
act in his/her place in the event of the Member being unable to act. In the event
of more than one nomination being received in respect of the Parish Council
Member and/or the Standing Deputy the matter will be referred to the Council
for agreement on the recommendation of the Standards Committee.
Quorum
6
The quorum of the Committee shall be
(a) Subject to (b) below a minimum of three Members including at least one
Independent Member. If matters relating to parish councils or their members are
Part 2 – Article 9
Council - May 2006
19
to be considered one of the three must be the Parish Council Member or his/her
Standing Deputy.
(b) Where an Independent Member is prevented from participating under the
Council’s Local Code of Conduct for Members referred to in Part 5 of the
Constitution, the requirement to have one Independent Member shall not apply.
Chair
7
The Chair of the Committee will be an Independent Member elected by the
Committee.
Roles and Functions
8
The Standards Committee will have the following roles and functions:
(a) Promoting and maintaining high standards of conduct by Members, Co-opted
Members and Church and Parent Governor Representatives.
(b) Assisting Co-opted Members and Church and Parent Governor representatives
to observe the Council’s Ethical Framework including the Local Code of
Conduct.
(c) Advising the Council on the adoption or revision of the Council’s Ethical
Framework including the Local Code of Conduct.
(d) Monitoring the operation of the Council’s Ethical Framework including the Local
Code of Conduct.
(e) Advising, training or arranging to train Members and Co-opted Members and
Church and Parent Governor Representatives on matters relating to the
Council’s Ethical Framework including the Local Code of Conduct.
(f) Granting dispensations to Members, Co-opted Members and Church and
Parent Governor representatives from requirements relating to interests set out
in the Local Code of Conduct.
(g) The exercise of (a) to (f) above in relation to the Parish Councils wholly or
mainly in its area and the Members of those Parish Councils.
(h) Keep under review and make recommendations to the Council on the Whistle-
Blowing Policy and Procedure.
(i) In conjunction with the Monitoring Officer to produce an annual report for
submission to Council on matters within the purview of the Committee.
(j) To put in place and keep under review arrangements for monitoring Members’
performance.
(k) To receive and consider reports on individual Members’ performance.
Part 2 – Article 9
Council - May 2006
20
Working Arrangements
9
The Committee must meet at least twice a year but may hold such other meetings, as
it considers necessary.
10
The Committee will be subject to the statutory access to information provisions. The
press and public may be excluded and papers withheld from access only if they meet
statutory definitions of exempt or confidential information.
11 All Members of the Council and Members of the press and public can attend the
Committee when it is discussing business in Part I of the agenda. When the
Committee is discussing exempt or confidential information (Part II) only Members of
the Committee and Members of the Council (with the consent of the Committee given
by majority resolution) can attend.
12 The Committee may appoint Panels and Working Parties for the purposes specified
by the Committee providing these purposes are within the Committee’s terms of
reference. It may appoint to those bodies Members of the Council who are not
Members of the Committee and may co-opt in a non-voting capacity, other persons.
13 Agenda and reports will meet and be distributed in accordance with statutory and
corporate standards and formats.
14 The Committee may require Members of the Council and Officers of the Authority to
attend before it to answer questions.
15 The Committee may require the production of any document or record in the
possession of the authority to be submitted to it, unless to do so would involve a
breach of data protection or other statutory provisions.
16. The Committee may require the Monitoring Officer or his/her nominee to investigate
on its behalf allegations of impropriety referred to the Committee.
17
The Committee will not take any executive action on behalf of the Council.
Standards (Local Determination) Sub-Committee
Composition
1.
The Sub-Committee shall comprise 5 Members of the Standards Committee.
2.
One Member of the Sub-Committee shall be the Chair of the Committee and the
remaining four Members shall be drawn from a pool of six appointed Members of the
Standards Committee comprising, the three remaining non-elected independent
Members and three elected Members. Two independent Members and two elected
Members will be selected in alphabetical order in strict rotation.
3.
In the event of a Member, whose turn it is to be selected to serve on the Sub
Committee, being unable to attend a meeting another Member of the pool of
appointed members will be asked to attend in his/her place. If an independent
member is unable to attend, the remaining independent member in the pool will be
appointed in his/her place. In the event of an elected member being unable to attend
Part 2 – Article 9
Council - May 2006
21
the remaining elected member or independent member in th epool, in that order, will
be appointed in his/her place.
4.
A minimum of three of the five Members of the Sub-Committee shall be non-elected
independent Members (i.e. non-Councillors).
5.
The Members of the Sub-Committee shall hold office until the commencement of the
next Annual Meeting of the Council unless determined prior to that date.
6.
The quorum of the Sub-Committee shall be three Members, two of whom must be
non-elected independent Members.
7.
The Chair of the Sub-Committee shall be appointed from one of the non-elected
independent Members.
8.
The Sub-Committee shall include the Parish Member of the Standards Committee
where the Sub-Committee is considering a report or recommendations that relate to
a Member of either the Britwell Parish Council, Colnbrook with Poyle Parish Council
and/or Wexham Court Parish Council. The quorum for such meetings shall be as set
out in paragraph 5 above and the Parish Council Member.
Notes
(a)
The Sub-Committee is not a body which is subject to Section 15 of the Local
Government and Housing Act 1989 (Duty to Allocate Seats to Political Groups)
as expressed in Section 53 (10) and Section 54 A (4)(b) of the Local
Government Act 2000.
(b) The
Sub-Committee
shall be supported by the Monitoring Officer and the
Member Services Manager or their representatives.
Terms of Reference
9.
To receive and consider reports from Ethical Standards Officers which have been
referred to the Monitoring Officer under Section 64(2) of the 2000 Act and to take all
necessary and appropriate action in accordance with the provisions of the Local
Authorities (Code of Conduct) (Local Determination) Regulations 2003 (as
amended).
10.
To receive and consider reports from the Monitoring Officer referred to him for
investigation by an Ethical Standards Officer under Section 60 (2) of the 2000 Act
and to take all necessary and appropriate action in accordance with the Local
Authorities (Code of Conduct) (Local Determination) Regulations 2003 (as
amended).
11.
To consider and act upon any recommendations of an Ethical Standards Officer or
the Monitoring Officer (or his nominated representative) and where appropriate
make recommendations for consideration and adoption.
12.
To take all necessary action required by any report or decision of a Case Tribunal,
Interim Case Tribunal or Appeals Tribunal under the 2000 Act and the Local
Part 2 – Article 9
Council - May 2006
22
Authorities (Code of Conduct) (Local Determination) Regulations 2003 (as
amended).
13.
The Sub-Committee will consider any relevant statutory guidance issued by the
Standards Board for England from time to time in carrying out its duties and
responsibilities.
Working Arrangements
14.
The Sub-Committee may require Members of the Council and Officers of the
Authority to attend before it to answer questions.
15.
The Sub-Committee may require the production of any document or record in the
possession of the authority to be submitted to it, unless to do so would involve a
breach of the Data Protection legislation or other relevant statutory provisions.
Part 2 – Article 9
Council - May 2006
23
ARTICLE 10 - AUDIT ADVISORY PANEL
1
The Council will appoint an Audit Advisory Panel
Statement of Purpose
The purpose of this Panel is to provide independent assurance of the
adequacy of the risk management framework and the associated control
environment, independent scrutiny of the authority framework and non-
financial performance, to the extent that it affects the authority’s exposure to
risk and weakens the control environment and to oversee the financial
reporting process.
Terms of Reference
2
Within the Terms of Reference of the Panel it will be
a. the member forum for external auditors matters, [formal approval of the
auditors statement of accounts will remain a full council responsibility.]
b.
the member forum for internal audit matters,
c. a key element of the internal control framework for the Council and take
responsibility for the Annual Statement of Internal Control,
d.
be the member forum for risk management matters,
e.
be the member forum for corporate governance matters.
General Role/Membership
3
The Panel is advisory and therefore not subject to the provisions of the Local
Government Access to Information Act 1985.
4
The Panel will comprise 7 people (3 Councillors on a proportional basis), with co-
opted members from outside the Council with suitable experience.
5
That Panel will meet four or more times per year.
6
In order to promote the independence of the Panel there should be limited cross
membership between Overview and Scrutiny Committee and the Audit Advisory
Panel limited to a maximum of 2 members. The chair should be a co-opted
member of the Panel from an outside body with suitable experience.
Specific Functions
7
The Panel’s specific functions shall include but not be limited to
(a) External
Audit
• To consider the external audit report to those charged with governance
on issues arising from the audit of the accounts, and ensure that
appropriate action is taken in relation to the issues raised
• To consider the external auditor’s annual letter and ensure that
appropriate action is taken in relation to the issues raised
Part 2 – Article 10
Council - May 2006
24
• To consider and comment on any plans of the external auditors
• To comment on the scope and depth of the external audit work and to
ensure it gives value for money
• To consider any other reports by the external auditors
• To liaise with the Audit Commission over the appointment of the Council’s
external auditor
• To identify areas of potential work that may be appropriate for the
external auditors
(b) Internal Audit.
• To consider the Chief Internal Auditor’s annual audit opinion and the level
of assurance given over the Councils Corporate governance
arrangements,
• To consider regular reports, including statistics, abstracts and
performance of the work of internal audit as presented by the Chief
Internal Auditor,
• To consider and approve the Internal Audit Strategy,
• To consider and approve an annual programme of audit work, ensuring
that there is sufficient and appropriate coverage ,
• To consider reports from Internal Audit on agreed recommendations not
implemented in accordance within the agreed timescale
• To identify areas of potential work that may be appropriate for internal
audit
• To comment on the scope and depth of the internal audit work and to
ensure it gives value for money
• To identify areas of potential work that may be appropriate for internal
audit
• To consider any other reports the Chief Internal Auditor may make to the
Panel.
(c) Internal Control
• To manage the production of the Councils annual Statement of Internal
Control
• To recommend the adoption of the Statement of Internal Control to the
Council
• To ensure that an appropriate action is taken with respect the issues
raised in the Statement of Internal Control
(d) Risk Management
• Consider the effectiveness of risk management arrangement, the control
environment and associated anti-fraud and anti-corruption arrangements
• Seek assurances that action is being taken on risk related issues
• Ensure that assurance statements, including the Statement of Internal
Control, properly reflect the risk environment
• Manage the production of the Risk Management strategy
Part 2 – Article 10
Council - May 2006
25
(e) Governance
• To consider the arrangements for Corporate Governance and to make
appropriate recommendations to ensure Corporate Governance meets
appropriate standards
• To consider the Council’s compliance with its own and other published
standards and controls
• To review any issues of governance referred to the Committee by
stakeholders
• To take ownership of the various financial and associated codes within
the constitution including
• The Financial Procedure rules
• Protocol on referring Matters to the External Auditor
• The Anti-Fraud and Corruption policy
[The Whistle-blowing Policy remains within the responsibility of the
Standards Constitution. The Panel has a right of comment on changes to
this policy]
(h) Other
• To liaise with the Overview and Scrutiny Committee to ensure that the
work of the two committees is complementary
• To promote effective relationships between external audit, internal audit,
inspection agencies and other relevant bodies to ensure that the value of
the audit and inspection processes are enhanced and actively promoted
• To consider financial and non-financial performance issues to the extent
that this impacts upon financial management and governance
8
The Panel shall report annually to the Council.
Part 2 – Article 10
Council - May 2006
26
ARTICLE 11 – CHAMPIONS
11.1 Appointment of Champions
At its discretion the Council may from time to time designate Champions from
amongst Councillors.
11.2 Term
of
Office
Councillors who are designated as Champions shall hold office until:
(a)
they resign from office;
(b)
they are suspended from being Councillors under Part III of the Local
Government Act 2000 (although they may resume office at the end of the
period of suspension);
(c)
they are no longer Councillors; or
(d)
until the commencement of the next Annual Meeting of the Council except
that the Council may remove from office at its discretion.
11.3 Role and Functions
To act as a positive focus for the local community at elected member level in
respect of the relevant section of the community or range of activities designated by
the Council so as to ensure that full consideration is given to the impact of Council
activities and decisions upon the section of the community or range of activities.
11.4 Key
Tasks
(a) To make contact with local organisations concerned with the designated section
of the community or range of activities and to establish effective and regular
consultation arrangements with those organisations.
(b) To represent the views of such organisations to the Council, Cabinet, Overview
and Scrutiny and other Committees and to officers on all relevant aspects of the
Council’s activities.
(c) To act as an advocate on behalf of the relevant section of the community or
range of activities within the Council as an organisation and to the wider
community.
(d) To become familiar with the needs and priorities of the relevant section of the
community or range of activities concerned and to weigh up interests expressed
in order to provide sound advice on the implications of alternative courses of
action.
(e) To feedback decisions of the Borough Council and to explain the Council’s
position on specific issues of concern to relevant organisations and to
individuals involved.
(f) To publish an annual report on work undertaken over each year for
consideration by the Council.
Part 2 – Article 11
Council - May 2006
27
ARTICLE 12 – JOINT ARRANGEMENTS Arrangements to Promote Wellbeing*
1
The Council or the Executive, in order to promote the economic, social or
environmental wellbeing 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 personal body;
and
(c)
exercise on behalf of that person or body any functions of that person or
body.
Joint Arrangements 2
(a)
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, or to advise the
Council. Such arrangements may involve the appointment of a joint
committee with the other local Authorities.
(b)
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)
Except as set out below, the Executive may only appoint executive Members
to a joint committee and those Members need not reflect the political
composition of the Local Authority as a whole.
(d)
The Executive may appoint Members to a joint committee from outside of the
Executive in the following circumstances:
The joint committee has functions for only part of the area of the
Authority, and that area is smaller than two fifths of the Authority
by area or population. In such cases, the Executive may appoint
to the joint committee any person who is a Member for a Ward,
which is wholly or partly contained within the area.
The political balance requirements do not apply to such appointments.
(e) 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.
Part 2 – Article 12
Council - May 2006
28
Access to Information 3
(a)
The access to information rules in Part 4 of this Constitution apply.
(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.
(c)
If the joint committee contains Members who are not on the Executive of any
participating Authority then the access to information rules in part V A of the
Local Government Act 1972 will apply.
Delegation to and from Other Local Authorities 4
(a)
The Council may delegate functions to another Local Authority or, in certain
circumstances 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.
Contracting Out 5
The Executive 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, 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.
*Wellbeing means – the health of the community in economic, social and environmental
terms
Part 2 – Article 12
Council - May 2006
29
ARTICLE 13– OFFICER ROLES AND STATUTORY OFFICER FUNCTIONS 1
Management Structure
(a)
General. The Council may engage such staff (referred to as officers) as it
considers necessary to carry out its functions.
(b)
Chief Executive and Directors. The Council will engage persons for the
following posts:
Post
Functions and areas of responsibility
Chief Executive
• Overall corporate management and
(and Head of Paid Service)
operational responsibility (including overall
management responsibility for all officers).
• 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 Council on partnership
and external bodies (as required by
statute or the Council).
Strategic Director of
Responsibility for:
Education and Children’s
• Education Services
Services
• Services for Vulnerable Children and
Pupils
• Children’s Trust
• Youth Services
Strategic Director of
Community and Cultural
Responsibility for:
Services
• Housing
Services
• Older People’s Services
• Services for Vulnerable Adults
• Health
Partnerships
• Cultural
Services
• Community Participation and
Neighbourhood Planning
• Customer
Services operation of the
Service Centre once established
Strategic Director Law and
Responsibility for:
Corporate Governance
• Legal
Services
(and Monitoring Officer)
• Democratic
Services
• Local Land Charges
• Corporate
Procurement
• Mayoral and Civic Matters
• Electoral Registration and Elections
Part 2 – Article 13
Council - May 2006
30
Post
Functions and areas of responsibility
Strategic Director The
Responsibility for:
Green and Built
• Planning
Environment
• Transportation
• Public
Protection
• Community Safety and drugs action
• Physical
Regeneration
• Green Strategies – Sustainability
Assistant Chief Executive
Responsibility for:
(Policy and Performance)
• Policy/Performance
• Local Strategic Partnerships
• Communications
• IT
• Economic
Development
• Equalities
• Implementation of efficiency programme
related to Service Centre
Strategic Director of Human
• Personnel Policy Practice
Resources
• Recruitment & Retention
• Employee Relations
• Health & Safety
• Training and Development
Strategic Director of Finance Responsibility for:
and Property
• Forward Financial Strategy
• Corporate
Accounts
• Exchequer
Services
• Property
Services
• Efficiency
• Heart of Slough Regeneration
(c)
Head of Paid Service, Monitoring Officer and Chief Finance Officer. The Council will designate the following posts as shown:
Post
Designation
Chief Executive
Head of Paid Service
Strategic Director of Law
Monitoring Officer
and Corporate Governance
Director of Finance and
Chief Finance Officer
Property
Part 2 – Article 13
Council - May 2006
31
Such posts will have the functions described below.
(d)
Structure. The Head of Paid Service will determine and publicise a
description of the overall departmental structure of the Council showing the
management structure and deployment of officers. This is set out at Part 7 of
this Constitution.
2
Functions of the Head of Paid Service
(a)
Discharge of functions by the Council. 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.
3
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 Director of Finance and Property, the
Monitoring Officer will report to the full Council or to the Executive in relation to
an executive function if he or she considers that any proposal, decision or
omission would give rise to unlawfulness or if any 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.
(d)
Receiving reports. The Monitoring Officer will receive and act on reports
made by Ethical Standards Officers and decisions of the Case Tribunals.
(e)
Conducting investigations. The Monitoring Officer will conduct
investigations into matters referred by Ethical Standards Officers and make
reports or recommendations in respect of them to the Standards Committee.
(f)
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.
(g)
Advising whether executive decisions are within the budget and policy
framework. The Chief Executive in consultation with the Monitoring Officer
and Director of Finance and Property will advise whether decisions of the
Executive are in accordance with the budget and policy framework.
Part 2 – Article 13
Council - May 2006
32
(h)
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 Members.
(i)
Restrictions on posts. The Monitoring Officer cannot be the Chief Finance
Officer or the Head of Paid Service.
4
Functions of Director of Finance and Property
(a)
Ensuring lawfulness and financial prudence of decision making. After
consulting with the Head of Paid Service and the Monitoring Officer, the
Director of Finance and Property will report to the full Council or to the
Executive in relation to an executive function and the Council’s external
auditor if he or 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 Council is about to enter an item of account
unlawfully.
(b)
Administration of financial affairs. The Director of Finance and Property
will have responsibility for the administration of the financial affairs of the
Council.
(c)
Contributing to corporate management. The Director of Finance and
Property will contribute to the corporate management of the Council, in
particular through the provision of professional financial advice.
(d)
Providing advice. The Director of Finance and Property will provide advice
on the scope of powers and authority to take decisions, financial impropriety,
probity and budget and policy framework issues to all Members and the
elected Mayor and will support and advice Members and officers in their
respective roles.
(e)
Giving financial information. The Director of Finance and Property will
provide financial information to the media, Members of the public and the
community.
5
Duty to provide sufficient resources to the Monitoring Officer and Director of
Finance and Property
The Council will provide the Monitoring Officer and the Director of Finance and
Property with such officers, accommodation and other resources as are in their
opinion sufficient to allow their duties to be performed.
6
Conduct
Officers will comply with the Officers’ Code of Conduct and the Protocol on
Officer/Member Relations set out in Part 5 of this Constitution.
7
Employment
The recruitment, selection and dismissal of officers will comply with the Officer
Employment Rules set out in Part 4 of this Constitution.
Part 2 – Article 13
Council - May 2006
33
ARTICLE 14– DECISION MAKING
Responsibility for decision making
1
The Council will issue and keep up to date a record of what part of the Council or
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.
Principles of decision making
2
All decisions of the Council will be made and recorded in accordance with the terms
of this Constitution.
3
Whichever body or individual is responsible for making a decision, the decision
should be made, as far as possible, in accordance with the following principles:
(a)
there should be a presumption in favour of decision-making being open and
transparent, with Members of the public being afforded effective access to
relevant information and the processes by which decisions are taken;
(b)
due consultation should take place with those likely to be affected by a
decision. So far as practicable, decision-making should be planned in
advance and the public given due notification of forthcoming decisions;
(c)
where a decision is likely to have wide-ranging or significant impact on the
community, additional time and emphasis should be given to consultation
and Members of the public actively encouraged to contribute their views
(d)
decisions must be made with regard to all relevant considerations and
ignoring all irrelevant matters;
(e)
decisions should be made having regard to any approved policies or
procedures of the Council;
(f)
decisions should be made having regard to appropriate professional advice
obtained from suitably-qualified officers;
(g)
the action required by a decision must be proportionate to the desired
outcome
(h)
decisions must be made in accordance with any relevant statutory
requirements and with respect for human rights
Types of decision
4
The following types of decision exist:
(a)
Decisions reserved to full Council.
Decisions relating to the functions listed in Article 4 will be made by the full
Council and not delegated.
Part 2 – Article 14
Council - May 2006
34
(b)
Key decisions.
A ‘key decision’ is an Executive decision which is likely either:
• to result in the Council 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
• to be significant in terms of its effects on communities living or working in
an area comprising two or more wards within the Borough.
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.
Decision making by the Council
5
Subject to Paragraph 9 below, the Council meeting will follow the Council
Procedures Rules set out in Part 4 of this Constitution when considering any matter.
Decision making by the Executive
6
Subject to Paragraph 9, the Executive will follow the Executive Procedures Rules
set out in Part 4 of this Constitution when considering any matter.
Decision making by Overview and Scrutiny Committee
7
The Overview and Scrutiny Committee will follow the Overview and Scrutiny
Procedures Rules set out in Part 4 of this Constitution when considering any matter.
Decision making by other Committees and Sub-Committees established by
the Council
8
Subject to Paragraph 9 below, other Council committees and sub-committees will
follow those parts of the Council Procedures Rules set out in Part 4 of this
Constitution as apply to them.
Decision making by Council bodies acting as tribunals
9
The Council, a Member or an officer acting as a tribunal or in a quasi judicial
manner of 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.
Part 2 – Article 14
Council - May 2006
35
ARTICLE 15 – FINANCE, CONTRACTS AND LEGAL MATTERS Financial management
1
The management of the Council’s financial affairs will be conducted in accordance
with the financial rules set out in Part 4 of this Constitution.
Contracts
2
Every contract made by the Council will comply with the financial rules set out in
Part 4 of this Constitution.
Legal proceedings 3
The Strategic Director of Law and Corporate Governance 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 Council or in any case where he/she
considers that such action is necessary to protect the Council’s interests.
Authentication of documents 4
Where any document is necessary to any legal procedure or proceedings on behalf
of the Council, it will be signed by Strategic Director of Law and Corporate
Governance or other person authorised by him/her, unless any enactment
otherwise authorises or requires, or the Council has given requisite authority to
some other person.
Common Seal of the Council
5
The Common Seal of the Council will be kept in a safe place in the custody of the
Strategic Director of Law and Corporate Governance. A decision of the Council, 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 Strategic Director of Law and Corporate Governance
should be sealed. The affixing of the Common Seal will be attested by the Strategic
Director of Law and Corporate Governance or some other person authorised by
him/her.
Part 2 – Article 15
Council - May 2006
36
ARTICLE 16 REVIEW AND REVISION OF THE CONSTITUTION Duty to monitor and review the constitution
1
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.
Protocol for monitoring and review of constitution by monitoring officer
2
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 for ways
in which it could be amended in order better to achieve the purposes set out in
Article 1. In undertaking this tasks the Monitoring Officer may:
observe meetings of different parts of the Member and officer structure;
undertake an audit trail of a sample of decisions;
record and analyse issues raised with him/her by Members, officers, the public
and other relevant stakeholders; and
compare practices in this authority with those in other comparable authorities, or
national examples of best practice.
Approval
3
Changes to the Constitution will only be approved by the Council after consideration
of the proposal by the Monitoring Officer.
Part 2 – Article 16
Council - May 2006
37
ARTICLE 17 – SUSPENSION, INTERPRETATION AND PUBLICATION OF THE
CONSTITUTION
Suspension of the Constitution 1
Limit to suspension. The Articles of this Constitution may not be suspended. The
Procedure Rules specified in Part 4 of the Constitution may be suspended only to
the extent permitted within those Rules and the law.
2
Procedure to suspend. A motion to suspend any rules will not be moved without
notice unless at least one half of the whole number of Members are present. The
extent and duration of suspension will be proportionate to the result to be achieved;
taking account of the purposes of the Constitution set out in Article 1.
Interpretation 3
The ruling of the 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
Council. Such interpretation will have regard to the purposes of this Constitution
contained in Article 1.
Publication 4
The Chief Executive will give a copy of this 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.
5
The Strategic Director of Law and Corporate Governance will ensure that copies are
available for inspection at Council 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.
6
The Strategic Director of Law and Corporate Governance will ensure that the
summary of the Constitution is made widely available within the area and is updated
as necessary.
Part 2 – Article 17
Council - May 2006
38
SCHEDULE 1: DESCRIPTION OF EXECUTIVE ARRANGEMENTS The following part of this Constitution constitutes the executive arrangements:
Article 6 (Overview and Scrutiny) and the Overview and Scrutiny Procedure Rules;
Article 7 (The Executive) and the Executive Procedure Rules;
Article 12 (Joint arrangements).
Article 14 (Decision making) and the Access to Information Procedure Rules;
Part 3 (Responsibility for Functions).
Part 2 – Schedule 1
Council - May 2006
39
Part 3
Responsibility for
Functions
Part 3 – Responsibility for Functions
Council - May 2006
40
Part 3 Responsibility for Functions and Scheme
of Delegation
1.
This Section of the Constitution summarises which part of the new decision making
process is responsible for which functions. Further details are set out in the
Scheme of Officer Delegation.
2.
The aim is to show which functions are the responsibility of the Council and its
various Committees and which are the responsibility of the Cabinet. This section
also clarifies which functions are the responsibility of the Cabinet to the extent
specified in Tables 1 or 3.
3.
The information is set out in a tabular form as follows:
• Table 1 – Responsibility for Local Choice Functions.
• Table 2 – Responsibility for Council Functions.
• Table 3 – Responsibility for Executive functions discharged through
the Cabinet.
4.
Unless prohibited by law Council and Executive functions can be delegated to a
Committee, Joint Committee, an Individual Commissioner (executive functions only)
or an Officer
5.
The Authority’s Scheme of Delegation to Officers and Proper Officer Appointments
is set out at Appendix 1 to Part 3 of the Constitution.
6.
Members appointed to the Planning and Licensing Committee (and its Sub
Committee) must attend the compulsory training sessions provided before they
serve on the Committee.
Part 3 – Responsibility for Functions
Council - May 2006
41
TABLE 1: RESPONSIBILITY FOR “LOCAL CHOICE” FUNCTIONS
Function
Responsible Body
Delegation of
Functions
1.
All functions under Local Acts (not
Cabinet
Operational decisions
specified in Regulation 2 or
are delegated to Officers
Schedule 1 of the Local Authorities
in accordance with the
(Functions and Responsibilities)
Scheme of Delegation.
(England) Regulations 2000 (as
amended).
2.
Conduct of Best Value Reviews.
The Cabinet agrees
Not delegated.
the programme and is
responsible for the
conduct of reviews.
Scrutiny and Overview
Committee oversees
the review process.
3.
Determination of an appeal against
Council
3-7 (inclusive)
any decision made by or on behalf
The Council appoints
of the authority.
Appeal Panels for
various appeals (See
4.
The appointment of review boards
Council
attached schedule)
under regulations under sub
General arrangements
section (4) of Section 34 of the
for dealing with appeals
Social Security Act 1998 (a).
are delegated to officers
in accordance with the
5.
Arrangements for Appeals Against
Council
Scheme of Delegation.
Exclusion of Pupils.
6.
Arrangements for Admission
Council
Operational decisions
Appeals.
are delegated to Officers
in accordance with the
Scheme of Delegation.
7. Arrangements for appeals by
Council
Governing Bodies Under Section
87 of the 1998 Act.
8.
Arrangements for enabling
Council
Not delegated.
questions to be put at the Council
meeting on Police Authority
functions.
9. Appointments to the Police
Council Not
delegated.
Authority.
10. The making of agreements with
Council Not
delegated.
other local authorities for the
placing of staff at the disposal of
those other authorities.
(secondments)
Part 3 – Responsibility for Functions
Council - May 2006
42
Function
Responsible Body
Delegation of
Functions
11. Any function relating to contaminated
Council 11-19
(inclusive)
land.
Operational decisions
are delegated to Officers
in accordance with the
Scheme of Delegation.
12. The discharge of any function relating
Council
to the control of pollution or the
management of air quality.
13. Service of an Abatement Notice in
Council
respect of a Statutory Nuisance.
14. The passing of a resolution that
Council
Schedule 2 to the Noise and
Statutory Nuisance Act 1993 should
apply in the authorities area.
15. The inspection of the Council’s area
Council
to detect any statutory nuisance.
16. The investigation of any complaint as
Council
to the existence of a statutory
nuisance.
17. The obtaining of information under
Council
Section 330 of the Town and Country
Planning Act 1990 as to interests in
land.
18. The obtaining of particulars of
Council
persons interested in land under
Section 16 of the Local Government
(Miscellaneous Provisions) Act 1976.
19. The making of agreements for the
Council
Execution of Highways Works.
20. Appointments/revocation
of
Council Not
Delegated
appointments to external
offices/bodies.
Part 3 – Responsibility for Functions
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43
TABLE 2 - RESPONSIBILITY FOR COUNCIL FUNCTIONS
Body
Functions
Delegation of
Responsible
Functions
Council
1. The functions specified in The Local Authorities
(Functions and Responsibilities) (England)
Regulations 2000 (as amended)- Schedule 2 (Local
Choice Functions) to be the responsibility of the
Council are set out in Table 1
2. Approval of and any amendment to the Constitution Not Delegated
or any part thereof.
3. Suspension of any of the Rules of the Constitution.
Not Delegated
4. Approval of the Policy and Financial Framework of Not Delegated
the Council and any amendment to the framework
strategies or plans therein.
5. The approval or adoption of applications to the Not Delegated
Secretary of State for approval of a programme of
disposal of properties to a person under the
Leasehold Reform, Housing and Urban
Development Act 1993 or to dispose of land used for
residential purposes where approval is required
under Sections 32 or 43 of the Housing Act 1985.
6. Matters incapable of being delegated by law (e.g. Not Delegated
objection to or support of a Government Bill,
Statutory Orders, The making of by-laws,
appropriation and or disposal of allotment and public
open space land etc.).
7. Consideration and approval of recommendations Not Delegated
from the Cabinet for revenue and capital
supplementary estimates.
8. Consideration and approval of recommendations Not Delegated
from the Cabinet for revenue budget virement
between approved budget heads of expenditure in
excess of £500,000 in any one case or in aggregate
in any year or approval of allocation of funds from
reserves or from windfall receipts.
9. Matters relating to electoral or electoral boundary Not Delegated
reforms and to local referendums.
10. Proposals for the reorganisation of, or transfer Not Delegated
between, statutory bodies.
Part 3 – Responsibility for Functions
Council - May 2006
44
Body
Functions
Delegation of
Responsible
Functions
11. To consider and determine any matters of the Not Delegated
Standards Committee which have not been
delegated.
12. Approval of the Scheme of Members’ Allowances.
Not Delegated
13. Confirmation of the appointment, responsibilities and Confirmation of
terms and conditions of the Council Chief Executive appointment of
and Chief Officers.
Chief Officers
can be delegated
to Employment
Committee by
the Council.
14. Reports from the Council’s Head of Paid Service,
Not Delegated
Monitoring Officer or Section 151 Officer in
pursuance of their statutory responsibilities or on
matters which they consider should be referred to
the full Council’s for consideration.
15. To authorise payments or other benefits under Chief Officers
Section 92, Local Government Act 2000
provided within
(maladministration).
delegated
budget.
16. Make arrangements for the discharge of functions by
Not Delegated
a Committee or Officer.
17. To make appointments of Committees under Section
Not Delegated
102, Local Government Act 1972.
Planning
1 To exercise the powers and duties of the Council 1-10 (inclusive)
Committee
under the provisions of Parts III, IV and V of the Most Operational
(9 Members of
Town and Country Planning Act 1990, the Planning aspects fall to be
the Authority)
(Listed Buildings and Conservation Areas) Act 1990 dealt with by
No Executive
and the Planning (Hazardous Substances) Act 1990, Officers under
Member other
except the making of Revocation, Modification and the Scheme of
than
Discontinuance Orders and Agreements relating to Delegation.
Commissioner
development or the use of land (Sections 97, 99,
for Planning/
102 and 106 of the Town and Country Planning Act
Transportation/
1990) where any payment by the Council is
Legal and
involved.
Democratic
Services
Not Mayor
2 To exercise the provisions of the Building Act 1984
and supporting Building Regulations with regard to
the regulation of buildings, and to deal with plans
and drawings submitted in connection therewith.
3 To authorise the issue and service of Stop Notices
to support Enforcement Notice proceedings.
Part 3 – Responsibility for Functions
Council - May 2006
45
Body
Functions
Delegation of
Responsible
Functions
4
To consider “special urgency” applications which
require a reply within 14 days, and to take
appropriate action arising from planning
applications submitted by government departments
under Department of the Environment Circular
18/84 (Crown Land and Crown Development).
5
To consider published planning policy guidance
(PPG’s) and circulars/white papers etc for adoption
subject to any issue of local policy being referred to
the Council for determination.
6
To consider the local statutory development plan
and non-statutory planning policy guidance for
information.
7
To receive petitions in accordance with the Council
Procedure Rules.
8
To agree consultation responses on Technical
Planning Policy Issues.
9
Approval of Technical Non-Statutory Planning
Guidance (e.g. development control guidelines).
10 Confirmation of orders under Sections 198 and 201
of the Town and Country Planning Act 1990 for the
preservation of trees in the Borough, where
objections have been received.
11 To exercise the functions contained within Part 8 of
the Anti Social Behaviour Act 2003 relating to High
Hedges.
Licensing
1
To determine annually the number and allocation of 1-11 (inclusive)
Committee
Hackney Carriages.
Most Operational
(11Members of
aspects fall to be
the Authority)
2 Within the Policy Framework agreed by the Council dealt with by
No Executive
to determine operational guidelines on Taxi Officers under
Member or
Licensing.
the Scheme of
Mayor
Delegation.
3 To consider and determine applications for licences
for Private Hire Vehicles, operators and drivers and A Licensing
Hackney Carriage drivers where (1) the individuals Hearing Sub
involved have been convicted of traffic or other Committee will
offences (2) Where the CRB checks on an be appointed to
individual gives cause for concern with regard to hear licensing
their suitability as a fit and proper person to hold applications
such a license (3) in any other special referred to
circumstances where the Officers consider it Committee.
appropriate to refer the matter to the Committee.
4 To exercise the functions of the Licensing Act 2003
Part 3 – Responsibility for Functions
Council - May 2006
46
Body
Functions
Delegation of
Responsible
Functions
5 To determine conditions of licences; set fares and
charges; and to determine the extent of delegation
to Officers regarding the issue or suspension of
licences under Part II of the Local Government
(Miscellaneous Provisions) Act 1976 relating to
Hackney Carriages and Private Hire Vehicles and to
authorise enforcement action.
6 To hear and determine any appeal against a
decision of the Strategic Director of Law and
Corporate Governance taken under delegated
powers to refuse an application for approval of
premises or to revoke any approval previously
granted under the Marriage Act 1994.
7 To consider and determine applications for the
exhibition of films which have not been allocated a
film category by the British Board of Film
Classification.
8 To determine such other licensing appeals or other
licensing matters referred by the Officers from time
to time including but not restricted to:
(a) Private Places of Entertainment
(b) Public Entertainment
(c) Sex Establishments
(d) Street Trading.
9 To consider any issues of major new policy with
regard to licensing matters and to make
recommendations thereon to the Council.
10 Health and Safety at Work Regulatory Matters.
11 Regulatory functions in respect of control of pollution
(air, water and land); statutory nuisances and other
environmental protection functions.
12 To receive petitions in accordance with the Council
Procedure Rules
.
Standards
1. Promoting and maintaining high standards of 1-11 (inclusive)
Committee
conduct by Members, Co-opted Members and Operational
No Executive
Church and Parent Governor Representatives.
aspects are to be
Member,
dealt with by
2. Assisting Co-opted Members and Church and
Mayor or
Officers under
Parent Governor representatives to observe the
Chair/Vice Chair
the Scheme of
Council’s Ethical Framework including the Local
of Planning,
Delegation.
Code of Conduct.
Licensing or
Employment and 3. Advising the Council on the adoption or revision of
Appeals
the Council’s Ethical Framework including the Local
Committee
Code of Conduct.
Part 3 – Responsibility for Functions
Council - May 2006
47
Body
Functions
Delegation of
Responsible
Functions
Must Include at
4. Monitoring the operation of the Council’s Ethical
least two
Framework including the Local Code of Conduct.
Elected
Members and
5. Advising, training or arranging to train Members
one Independent
and Co-opted Members and Church and Parent
Non Elected
Governor representatives on matters relating to the
Member
Council’s Ethical Framework including the Local
Code of Conduct.
No requirement
6. Granting dispensations to Members, Co-opted
to be politically
Members and Church and Parent Governor
proportionate
representatives from requirements relating to
interests set out in the Local Code of Conduct.
7. Dealing with any reports from a Case Tribunal or This matter is
Interim Case Tribunal, and any report from the delegated to the
Monitoring Officer on any matter which is referred Standards (Local
by an Ethical Standards Officer to the Monitoring Determination)
Officer.
Sub Committee
8. The exercise of (1) to (7) above in relation to the
Parish Councils wholly or mainly in its area and the
Members of those Parish Councils.
9. Keep under review and make recommendations to
the Council on the Whistle-Blowing Policy and
Procedure.
10. Consideration of any report or recommendations
made to it by the Monitoring Officer and to take
action prescribed by regulations made under
Section 66 and other sections contained within Part
III of the Local Government Act 2000 (including
action against any Member or Co-opted Member
(or former Member or Co-opted Member) of the
Council which is the subject of the report or
recommendation).
11. In conjunction with the Monitoring Officer to
produce an annual report for submission to Council
on matters within the purview of the Committee.
12.
To put in place and keep under review
arrangements for monitoring members’
performance.
Part 3 – Responsibility for Functions
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48
Body
Functions
Delegation of
Responsible
Functions
Employment
1. To be responsible for all the functions relating to the
Staffing matters
and Appeals
Council’s responsibilities as an employer and for
generally are
Committee
Local Government Pensions.
dealt with by
(9 Members of
Officers under
the Authority)
the Scheme of
Delegation.
Must include at
2. To determine (or make recommendation to the An appointments
least one
Council in regard to the appointment or dismissal of and Investigating
Member of the
the Head of the Paid Service) matters relating to the Sub-Committee
Executive.
appointment, conditions of service and discipline of will be appointed
Not the Mayor
the Chief Executive and officers holding designated as required in
posts and in accordance with the Council’s Officer accordance with
Employment Procedure Rules
the Officer
Employment
Procedure Rules
A
Sub-
Committee will
be appointed as
required to
consider
allegations of
misconduct/lack
of capability
against the Chief
Executive in
accordance with
the Officer
Employment
Procedure
Rules.
3. To consider and determine appeals against An Employment
dismissal and other appeals arising from the Appeal Sub
Council’s HR procedures.
Committee will
be appointed to
hear appeals
under 3
Part 3 – Responsibility for Functions
Council - May 2006
49
Body
Functions
Delegation of
Responsible
Functions
4
To consider and agree reports on major changes
An Appeals Sub-
in Human Resource Management and to monitor
Committee will
performance in the following areas:
be appointed to
• HR Policies and Practices
hear appeals
• Equal Opportunities and Diversity in
under 5.
Employment
• Workforce Planning and Monitoring
• Learning and Development
• Communication and Consultation
• Employee Well Being
• Risk, Health and Safety Management
5
To consider and determine appeals:
• Against refusal by the Local Education
Authority of applications for Home to School
transport which do not fall within the LEA’s
policy for provision of such transport.
• Complaints about the School Curriculum and
collective worship in accordance with Section
23 of the Education Reform Act 1988.
• Requests for the allocation of accommodation
outside the Council’s approved policies on
referral by the Officers or by three Members
of the Council.
• Appeals under the Statutory Provisions
relating to nurseries, playgroups, child
minders and Residential Homes.
• Against refusal by the Authority of application
for Local Council Tax Discount.
• In accordance with Section 17(3) of the
Health & Social Services and Social Security
Adjudication Act 1983.
Part 3 – Responsibility for Functions
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50
TABLE 3. RESPONSIBILITY FOR EXECUTIVE FUNCTIONS
Who is
Functions
Onward limits on
responsible
delegations
Executive
The Cabinet’s role is to be responsible for:
Functions
(Cabinet)
championed by
1 The conduct of Best Value Reviews.
Commissioners with
portfolio
responsibilities
attached.
2 Functions undertaken under Local Acts (e.g. Functions delegated
Berkshire Act 1986) not specified in Regulation 2 to Officers in
or Schedule 1 of The Local Authorities (Functions accordance with the
and Responsibilities) (England) Regulations 2000 Scheme of
(as amended).
Delegation.
3 Effective political and community leadership.
Functions carried out
by whole Cabinet.
4 Annually recommending to the full Council a
policy and financial framework and revenue and
capital budgets.
5 Leading the community planning process and the
formulation and preparation of statutory plans and
local strategies.
6 Consulting within the Council and with other Not Delegated
stakeholders, agencies and with business and the
voluntary sectors to identify and address local
needs.
7 Leading preparation of the Performance Plan for Not Delegated
recommendation to full Council, the
implementation of the Plan and to carry out the
duty of Best Value and continuous improvement.
8 Executive decisions and effective implementation Not Delegated
of Council policy and the setting and delivery of
service standards in line with the approved Policy
Framework and budget.
9 Forming partnerships with other agencies and the Not Delegated
business and voluntary/ community sectors.
10 In-year decisions on resources and priorities.
Not Delegated
11 Approval of transfer of funds (virement) between Not Delegated
Departments or Services within approved budgets
up to a maximum of £500,000 in any one case or
in aggregate in any year or where additional
savings are demanded across Departments or
Services in order to create funds for reallocation.
Part 3 – Responsibility for Functions
Council - May 2006
51
Who is
Functions
Onward limits on
responsible
delegations
12
Disposal, acquisition and/or appropriation of Not Delegated
property for rationalisation of the Council’s
property portfolio or for facilitation of development
initiatives within the approved policy and Financial
framework and budgets.
13
Reorganisation of Council Departments or Not Delegated
Services involving more than 20 redundancies or
likely to give rise to operational disruption or
interruption of services or involving a change from
direct to indirect provision or vice-versa.
14 The Subject to any matter reserved to full Not Delegated
Council, consideration and approval of responses
to consultation papers having significant policy or
financial implications for the Council or the
Borough.
15 The awarding of grants (financial and in kind) Not Delegated
within overall approved budgets and the policy
framework.
16 The write-off of debts over £10,000.
Not Delegated
17 Transport matters (including Traffic Regulation Operational
Orders and related management matters).
Transport and Traffic
matters are
delegated to Officers
in accordance with
the Scheme of
Delegation.
18
Consulting with the Overview and Scrutiny Not Delegated
Committee and Standing Committees,
appropriate Officers and any other person or body
necessary to ensure proposed decisions of the
Executive are taken on a properly informed basis.
19 Any other functions which are not specified under Not Delegated
the law or in the Local Authorities (Functions and
Responsibilities) (England) Regulations 2000 (as
amended) as Council or non-executive functions.
20 To delegate to a Committee or the Cabinet, Not Delegated
Commissioner or an Officer any of the Cabinet’s
Executive functions.
Part 3 – Responsibility for Functions
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52
SCHEME OF DELEGATION TO OFFICERS
Introduction
Specific Directorate Delegations
Chief
Executive’s
Directorate
Law & Corporate Governance
Monitoring
Officer
Function
Finance
&
Property
Services
The Green and Built Environment
Development
Control
Functions
Highways & Transportation Regulatory Functions
Public
Health
Functions
Trading and Environmental Health Regulatory & Legislative Standards
Licensing
Functions
Community
Safety
Community & Cultural Services
Housing
Management
Function
Housing – Private Sector Housing Functions
Social
Care
Education & Children’s Services
Children’s
Legislation/powers
Education
legislation/powers
Proper Officer Appointments
Note :
By Virtue of an agreement with People 1st (Slough) Ltd. the Council has delegated to
that company a number of functions under the broad headings of housing
management, leasehold services, repairs and maintenance and stock investment,
details of which are contained in the schedule to the contract.
The Community & Cultural Services Directorate and Green and Built Environment
Directorate have only recently formed as a result of this restructuring during the year
may change the details of the delegations listed.
Part 3 – Responsibility for Functions
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53
SCHEME OF DELEGATION TO OFFICERS
1.
Introduction
1.1
This Scheme delegates powers and duties of Slough Borough Council to
Officers under Section 101 of the Local Government Act 1972 and all other
powers enabling such delegation. It is adopted with the intent that it should
lead to a streamlining and simplification of the decision-making processes of
the Council, and accordingly it should be interpreted widely rather than
narrowly.
1.2
This Scheme delegates to Directors and other Authorised Officers the powers
and duties necessary for the discharge of the Council’s functions within the
broad functional description set out, together with the specific delegations
therein, and should be taken to include powers and duties within those
descriptions under all present and future legislation, and all powers incidental
to that legislation including the application of the incidental powers under
Section 111 of the Local Government Act 1972, including the power to affix
the Common Seal of the Council.
1.3
An Officer may decline to exercise delegated powers and instead report to the
Cabinet or appropriate Committee.
1.4
For the purpose of this Scheme:
(a)
“Authorised Officer” means an Officer who is specified under this
Scheme as having the authority to exercise delegated powers and
duties on behalf of the Council.
(b)
“Commissioner” shall be taken to mean a Councillor (including the
Leader of the Council if so nominated) nominated in writing to the
Proper Officer by the Leader of the Council as a Member of the
Cabinet.
(c)
“Director” means any one of those Officers specified in Article 13,
Paragraph 1(b) of the Constitution.
(d)
“Head of Profession” means the Officer appointed by the Council to
have responsibility for the establishment and maintenance of
professional standards in respect of a specific area of Council activity
(other than the Statutory Officers).
(e)
“Leader of the Council” shall mean the person elected to that position at
the Annual Council meeting.
(f)
“Proper Officer” shall be taken to mean the Officer appointed by the
Council for the purpose of the Scheme, or in default of such
appointment the Chief Executive of the Council.
Part 3 – Responsibility for Functions
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54
(g) “Statutory
Officer”
means:-
(i)
the Head of Paid Service in respect of the manner in which the
co-ordination by the Council of the discharge of their different
functions is co-ordinated, the number of staff required for the
discharge of those functions, the organisation of those staff and
the appointment and proper management of those staff;
(ii)
the Monitoring Officer in respect of any proposal, decision or
omission which has given rise to or is likely to give rise to a
breach of law or of any statutory code of practice, or mal-
administration;
(iii)
the Strategic Director of Finance and Property in respect of the
proper administration of the Council’s financial affairs.
(h)
“Ward Member” means a Councillor for any electoral area, which is
identified in an Officer’s report for a decision as being particularly
affected by the proposed decision.
2.
Limitations
2.1
This Scheme does not delegate to Officers:
(a)
any matter reserved by law or by the Terms of Reference of the
Cabinet, Committees and Sub-Committees to the Council, or to a
Committee or Sub-Committee of the Council;
(b)
any matter which by law may not be delegated to an officer;
(c)
any matter which is specifically excluded from delegation by this
Scheme or by resolution of Council, the Cabinet or a Committee or
Sub-Committee.
2.2
Officers may only exercise delegated powers in accordance with the:
(a) policies, plans and programmes approved by or on behalf of the Council;
(b) budget and policy framework and executive procedural rules;
(c) officer employment procedural rules;
(d) contract and financial procedural rules;
(e) any statutory restrictions, statutory guidance/circulars or statutory code of
practice.
2.3
In exercising delegated powers, Officers shall act only within the revenue and
capital budgets for the relevant service as approved by the Council, subject to
any variation thereof which is permitted by the Council’s contract and financial
procedural rules.
Part 3 – Responsibility for Functions
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55
3.
Sub-Delegation
3.1
This Scheme includes the power for Officers to further delegate any function
which has been delegated to them under this Scheme, to another Officer or to
other Officers. Every such sub-delegation shall be in writing, setting out the
name of the delegate, the terms and conditions upon which that function is to
be performed, and accountability for the performance of the sub-delegated
function. The Officer making such sub-delegation shall record the sub-
delegation in a register maintained for the purpose by the Director responsible
for the function.
3.2
Directors shall devolve operational responsibilities for day to day service
delivery and management to the nearest practicable point to the service user.
3.3
The Officer named shall have the power to act for the purposes of these
delegated matters as if he/she were the Director or Authorised Officer. Sub-
delegated decisions are taken in the name of the Director or Authorised
Officer.
4.
Delegated Decision-Making – General Principles
4.1 In exercising any delegated function, Officers shall have regard to the
requirement to comply with the limitations set out in paragraph 2.2 above, and
shall be responsible for undertaking any appropriate consultation with the
Council’s Statutory Officers before taking any decision.
4.2
Where any matter involves professional or technical considerations not within
the sphere of competence of the Director or Authorised Officer concerned, he
shall consult with the appropriate Head of Profession or technical officer of the
Council before authorising action. Such constraints are kept to the absolute
minimum necessary for internal check.
4.3
The Officers exercising such powers shall take account of any previous
decision of the Council on any relevant policies or procedures.
4.4
All decisions shall be taken in the name of, but not necessarily personally by,
the Officer(s) to whom the power is delegated. Arrangements shall be made
for the recording of action taken pursuant to these powers.
4.5
In any case, where an Officer, exercising a delegated power or duty considers
that a new departure in policy, procedure or a significant change in financial
practice is likely to be involved, he/she shall consult with the Statutory
Officer(s), who shall, if necessary, refer the matter to the appropriate decision-
making machinery.
4.6 Where Officers consider that a decision which they have taken under
delegated authority is significant, they shall inform the Assistant Director
(Democratic Services) who will report decisions for scrutiny purposes. Any
decisions and consultation undertaken in respect of decisions by Officers
taken under delegated powers shall be recorded by Directorates at the time of
such decisions.
Part 3 – Responsibility for Functions
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56
4.7
Where there is a dispute between Directors or Authorised Officers, either
Officer may refer the matter to the Chief Executive for appropriate action.
4.8
The Chief Executive as the Head of Paid Service shall monitor the exercise of
delegated powers and duties other than statutory functions for which Directors
or other Authorised Officers have responsibility. The Chief Executive may
require any Officer to cease the exercise of such powers and duties pending a
report to the next meeting of the Council, Cabinet or appropriate Committee.
5.
Interpretation
5.1
References in the Scheme to any statute, statutory instrument, regulation,
rule, circular, agency or other agreement or any such matter in respect of
which a power or duty is delegated shall be deemed to include any
modification or re-enactment of the same as may be made from time to time.
6.
GENERAL DELEGATIONS OF POWERS AND DUTIES TO CHIEF
DIRECTORS
Subject to the general principles and requirements of the Scheme, the
following powers/duties are exercisable on the Chief Executive and/or Chief
Officer’s own authority.
A.
Employment
1.
Subject always to:
(a)
Budget
provision;
(b)
Approval of reorganisation of Directorates or Services involving
more than 20 redundancies being reserved to the Cabinet;
[redundancies over 5 in service area or a 2nd/3rd tier officer
require reporting as a significant decision]
(c)
The policies and practices adopted by the Council from time to
time;
(d)
Observance of contracts of employment and conditions of
service including any discretions incorporated within them; and
(e)
Rights of appeal.
The Chief Executive and Directors shall be fully empowered in the
following matters of HR management as regards their respective
Directorates and employees (other than those specifically subject to
Member participation under the Officer Employment Procedural Rules):-
(i)
To add new posts, delete posts, re-grade posts, hold posts
vacant, amend the titles of posts and to make interim
arrangements as necessary
Part 3 – Responsibility for Functions
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57
(ii) To suspend and/or dismiss employees, make employees
redundant and terminate contracts of employment.
(iii)
To action matters arising from the application of the Council’s HR
policies and procedures.
(iv) To authorise the application of conditions of employment for
employees.
2.
Subject always to budget provision to appoint and instruct when
necessary outside agents or consultants to carry out specific work
within the normal terms of reference of the Directorate of the relevant
Chief Officer.
3.
To nominate an officer to deputise in the Director’s absence.
B.
Land and Property
1.
Subject always to:
(a)
Budget
provision;
(b)
Having due regard to the professional advice pertinent to the
particular matter.
All Directors be authorised, in respect of the land and property for which
they are responsible, in consultation with the Strategic Director Law &
Corporate Governance and the Strategic Director of Finance & Property
Services:-
(i)
To authorise the granting, renewal, termination, assignment or
sub-letting of leases, tenancies or other interests in land and
property.
(ii)
To approve variations in rent arising from rent reviews of land
and property leased to or by the Council.
(iii)
To authorise the acquisition of legal estates or interests in land
and property up to a value of £250,000 plus appropriate and
reasonable incidental fees and costs.
(iv)
To authorise the disposal of legal estates or interests in land and
property not required by the Council up to a value of £250,000
plus appropriate and reasonable incidental fees and costs.
(v)
To approve the payment of interest on the purchase price of land
and property in those cases where entry on to the land is
required in advance of completion.
(vi)
To authorise the taking, granting, revocation or termination of
covenants, easements, wayleaves, licences and other rights or
user and to undertake the management of land and property.
(vii)
To arrange for payment of appropriate rates, charges and taxes.
Part 3 – Responsibility for Functions
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58
(viii) To approve claims for disturbance arising out of compulsory and
voluntary acquisitions.
(ix)
To commence preliminary negotiations with respect to any land
or property to be acquired so as to be able to ascertain questions
of willingness to sell and general terms.
(x)
Having due regard to the Council’s staff recruitment and
retention policies, to offer or allocate properties specifically held
by the Council for staff housing purposes.
(xi) To approve modifications or additions to Council land and
property funded by third parties.
(xii)
To authorise works of improvement or repair to Council land and
property.
(xiii) To authorise building maintenance work subject, in the case of
schools, to the Council’s Scheme for Local Management of
Schools.
(xiv) To authorise the design and execution of building and incidental
work.
(xv) To commission building contracts to be entered into by the
Council.
(xvi) To commission feasibility studies and value for money appraisals
on all capital investments.
(xvii) To authorise persons to apply for liquor and associated licences
for use on premises.
(xviii) To authorise the issue and service of Requisitions for Information
under the Local Government (Miscellaneous Provisions) Act
1976 and other relevant legislation.
C.
Finance
1.
Subject
to:
(a)
Budget
provision;
(b)
Having due regard to the professional advice pertinent to the
particular matter;
(i)
To authorise expenditure within approved revenue budgets and
decisions on works programmes within those budgets except any items
reserved by the Council or Cabinet for further approval.
(ii)
To approve expenditure within approved capital budgets and decisions
on work programmes within those budgets. Authority to approve
additional expenditure up to either 10% or £50,000, whichever is the
lower of the total cost of the capital scheme subject to the annual
capital payments of the additional expenditure not exceeding the
Part 3 – Responsibility for Functions
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59
annual amounts included within the capital programme by more than
either 10% or £25,000, whichever is the lowest.
(iii) To authorise the transfer of funds (virement) between approved
revenue budget headings within a service area subject to there being
no commitment to recurring expenditure in future years.
(iv)
In consultation with the Strategic Director of Finance and Property and
the appropriate Commissioner, to set rent, fee, charges and other
income levels unless any changes:-
(a)
exceed inflation by more than 3% and/or
(b)
involve a change in policy, or
(c)
potentially have significant political implications.
(v)
To authorise the write-off of individual sums up to £1,000 due to the
Council which are considered to be irrecoverable.
(vi)
In consultation with the Strategic Director of Finance and Property to
write-off individual sums between £1,000 and up to £15,000, due to the
Council, which are considered to be irrecoverable.
(vii)
With the agreement of the Director of Finance and Property, authority to
carry forward from one financial year to another any approved planned
expenditure that remains unspent (excluding wages and salaries
budgets) provided a decision is taken before the end of June in the new
financial year.
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60
D.
Contracts
1.
Subject to consultation with the Strategic Director of Finance and
Property in respect of the acceptance of any tender exceeding
£100,000 to make all decisions on the approval of the select lists of
tenderers, the invitation, evaluation and acceptance of quotations and
tenders and the entering into contracts or agreements for the supply of
goods, equipment, materials or services subject to:-
(a)
The intention to tender or enter into a contract of a value exceeding
£250,000 having been previously reported and approved by the
Cabinet or the appropriate Committee of the Council.
(b)
Exemptions to competitive tendering being reported for information to
the Cabinet or the appropriate Committee of the Council (half yearly).
(c)
Any special requirements or directions given by the Council, its
Committees or the Cabinet.
2.
To sign all contracts which fall outside the categories set out in
Paragraph 8.22 of the Financial Procedure Rules.
E.
Miscellaneous
1.
In consultation with Group Leaders and other Directors as appropriate
to respond to consultation papers on matters which are routine or which
do not have significant policy or financial implications.
2.
Subject to securing independent valuation advice, to sell surplus
vehicles, stores, equipment and services. All such sales shall be
notified to the Director of Finance and Property before the property is
handed over to the purchaser.
3.
To exercise the Council’s powers under Section 41 of the Local
Government (Miscellaneous Provisions) Act 1982 (disposal of lost and
unconnected property) and to notify the Director of Finance and
Property before actual disposal.
4.
After consultation with the Assistant Chief Executive (Policy &
Performance) to authorise the installation, replacement or removal of
telephones in Council establishments and in premises occupied by
employees.
5.
To formulate the requirements for property use and occupation of the
services and Directorates for which he is responsible.
6.
To authorise the provision of equipment at Council premises.
7.
To accept on behalf of the Authority contributions by individuals or
bodies towards approved capital or revenue projects subject to the
concurrence of the Strategic Director of Law & Corporate Governance
and Strategic Director of Finance and Property as appropriate and
Part 3 – Responsibility for Functions
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61
report to the next meeting of the Cabinet or relevant committee;
provided always that any modifications or additions to Council property
to be funded by third parties shall be agreed by the Director concerned
subject to the advice of the Strategic Director of Law & Corporate
Governance.
8.
To grant ex gratia payments not exceeding £1,000 to:-
(a)
employees of the Council, or to workers whilst carrying out
voluntary duties on behalf of the Council who have in the normal
course of their duties suffered accidental loss or damage; or
(b)
clients of the Council who have suffered accidental loss or
damage to their persons or their possessions which may arise
from the actions of the Council or its employees in the normal
course of their duties;
provided that the nature of the damage or loss is such that the Strategic
Director of Finance and Property advises that it cannot be dealt with
under the Council’s insurance.
9.
To authorise payments or other benefits under Section 92, Local
Government Act 2000 (Maladministration).
10.
To act as Proper Officer for the purposes of Section 100D(1)(a) of the
Local Government (Access to Information) Act 1985 (compilation of List
of Background Papers) where the Director is the first named officer in
whose name a report is published.
11.
To issue, sign and serve all statutory notices and orders properly
authorised by the Council, any decision-making body or an officer
exercising delegated powers under this scheme and not specifically
delegated under this Scheme to an Authorised Officer.
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62
SPECIFIC DIRECTORATE DELEGATIONS
Subject to the general principles and requirements of the Scheme the following
powers/duties (expressed as functions) are delegated to the specified Authorised Officer.
CHIEF EXECUTIVE’S DIRECTORATE
FUNCTION AUTHORISED
OFFICER
1.
Urgent Action
To take urgent action to protect the interests Chief Executive in consultation with
of the Council and the inhabitants of the
the Leader of the Council and
Borough.
opposition group leaders so far as is
practicable.
2.
Corporate Complaints
The administration of the Corporate
Chief Executive
Complaints Procedure.
3.
Local Government Ombudsman
To respond to the Local Government
Chief Executive in consultation with
Ombudsman in respect of complaints of
the appropriate Director and the
maladministration made against the Council.
Monitoring Officer.
4.
Head of Paid Service
To carry out the statutory duties as Head of
Chief Executive in consultation with
the Council’s Paid Service together with the
appropriate Directors.
following specific powers:
(a) To chair Director or other multi-
Chief Executive in consultation with
disciplinary Groups.
appropriate Directors.
(b) To appoint multi-disciplinary teams or
Chief Executive in consultation with
engage consultants to undertake
appropriate Directors.
projects falling outside the remit of any
specific Director.
(c) To assume the delegated powers of
Chief Executive in consultation with
Chief Officers in specific cases when
appropriate Directors.
requested so to do by such Director.
(d) To make appropriate arrangements for Chief Executive in consultation with
the resolution of disputes between
appropriate Directors.
Directors.
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63
FUNCTION AUTHORISED
OFFICER
(e) On behalf of the Council where
Chief Executive in consultation with
necessary and, having consulted the
appropriate Directors.
Leader of the Council, to suspend
Directors pending the institution of
disciplinary procedures.
(f)
To undertake the duties of Proper
Chief Executive in consultation with
Officer in default of a specific
appropriate Directors.
appointment by the Council.
Banking Arrangements and Cheques
5.
All necessary arrangements with the
Strategic Director of Finance and
Council’s bankers and National Giro
Property.
concerning the Council’s banking
requirements.
6.
Arrangements for overdraft facilities as
Strategic Director of Finance and
necessary within the limit authorised by the
Property.
Council.
7.
The creation, investment, realisation and
Strategic Director of Finance and
utilisation of sinking funds, reserves, capital
Property.
funds and receipts and other special funds.
8.
The raising and management of all loans
Strategic Director of Finance and
(except stock) for the purpose and amount
Property.
for which the Council is authorised to borrow
money in accordance with Section 172 and
Schedule 13 of the Local Government Act
1972.
National Non Domestic Rates and any
residual Community Charge
9.
The powers, duties and functions as
Assistant Director, Audit & Exchequer
required/granted under the Local
Government Finance Act 1988.
Rating
10.
The issue of demands for void rates in
Strategic Director of Finance and
respect of empty properties within such
Property.
class or classes of hereditaments which the
Council shall have determined to be subject
to change under Section 17 of the General
Rate Act, 1967.
Part 3 – Responsibility for Functions
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64
FUNCTION AUTHORISED
OFFICER
11.
Any action necessary in respect of the
Strategic Director of Finance and
recovery of rates including void rates.
Property.
12.
Action on Valuation Officer’s proposals for
Strategic Director of Finance and
revision of rating assessments.
Property.
13.
Lodging of proposals by the Council for
Strategic Director of Finance and
revision of existing rating assessments.
Property.
Strategic Director of Finance and
14.
To deal with the remission of general or void Property
rates under statute.
15.
To determine, where necessary, whether or
Strategic Director of Finance and
not objection should be made to any
Property
proposal for the amendment of the Valuation
Lists, and whether or not compromises
should be agreed.
Mortgages & Advances
16.
To determine the rate of interest to be
Head of Treasury & Capital
applied to advances on mortgage for house
Management and Strategic Director
purchase, etc., The Housing (Financial
of Finance and Property.
Provisions) Act 1958 and the Section 110 of
the Housing Act 1980.
17.
To deal with applications for advances on
Assistant Director, Audit & Exchequer
mortgages for house purchase, etc., under
the Housing Act 1980 where no special
considerations arise.
Sundry Debts & Miscellaneous Rents
18.
To take any action necessary in respect of
Assistant Director, Audit & Exchequer
the recovery of Sundry Debts and
in conjunction with The Assistant
Miscellaneous rents.
Director, Property Services.
Insurances
19.
Management of the Council’s insurances
Assistant Director, Audit & Exchequer
including the renewal of policies within long
& Insurance & Risk Management
term agreements.
Manager.
20.
Approval of payments from the insurance
Strategic Director of Finance and
fund in respect of claims meeting the criteria Property.
and terms of self-insured risks.
Part 3 – Responsibility for Functions
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65
FUNCTION AUTHORISED
OFFICER
Car Loans & Allowances
21.
To review the interest rate charged on loans Assistant Director, Audit & Exchequer
and adjust the rate to provide that the true
annual interest rate charged on loans is
equal to the Bank of England base rate
prevailing at the time the loan is approved.
22.
Review annually the maximum sum
Assistant Director, Audit & Exchequer
available from the Assisted Car Purchase
Scheme and adjust, if necessary and
certainly by a sum no greater than the latest
annual RPI figure calculated to the nearest
£100.
23.
Determination of eligibility for the amount of
Assistant Director, Audit & Exchequer
loan within approved policy.
24.
Determination of eligibility for car purchase
Director of Human Resources in
loans within approved policy.
consultation with appropriate
Director.
25.
Management of the Council’s Car Allowance Strategic Director of Human
Scheme in accordance with approved
Resources in consultation with
guidelines.
appropriate Director and Head of
Exchequer and Business Services.
26.
In cases of particular hardship where there
Assistant Director, Audit & Exchequer
is likely to be an inconvenience to the
Council, decisions on individual applications
for major car repair loans.
Car Contract Hire Scheme
27.
Management of the Council’s Car Contract
Assistant Director, Audit & Exchequer
Hire Scheme in accordance with approved
guidelines.
Remuneration & Organisational Review
28.
(a) Application of Local and National
Strategic Director of HR and
Salary Awards and consequent
Assistant Director, Audit & Exchequer
amendment of council Scales (except
in those cases where interpretation is
not clear or where a discretionary
decision is necessary).
(b) Advance payments of salaries, wages
Assistant Director, Audit & Exchequer
and allowances (excluding Member
allowances) to be made in accordance
with the Financial Regulations.
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66
FUNCTION AUTHORISED
OFFICER
Ex-Gratia Settlement
29.
Settlement of claims up to £600 in respect of Risk & Insurance Manager in
loss of or damage to an employee’s
consultation with Officer’s Service
personal effects in cases where the
Manager where necessary.
Council’s insurances do not provide cover.
Representation of Council in Court
30.
To authorise appropriate staff to represent
Assistant Director, Audit & Exchequer
the Council in Court in respect of Council
/Head of Revenues, Benefits &
Tax and Business Rates debt.
Business Services.
Government Initiatives
31.
Management of the Council’s involvement
Strategic Director of Human
In Government training initiatives.
Resources
32.
Determination of revised level of allowance
Strategic Director of Human
paid to trainees under Government Training
Resources in consultation with
Programmes.
Assistant Director, Audit &
Exchequer.
33.
Authority to determine, the number of
Strategic Director of Human
trainee places to be offered under
Resources in consultation with
Government Programmes within approved
appropriate Director in whose
budget limits.
Directorate(s) trainees are to be
placed.
Health & Safety
34.
In respect of the Council’s own premises
Strategic Director of Human
and land, authority to instruct contractor(s)
Resources in consultation with Chief
to cease work where it may constitute a risk
Executive and the appropriate
to the health and safety of the public and/or
Director.
employees or where there is a breach of a
contractual requirement or statutory duty.
Write-offs
35.
In respect of all write-off’s below £15,000.
Strategic Director of Finance and
Property.
Emergency Planning
36.
All matters relating to the preparation,
Assistant Chief Executive (Policy and
production, maintenance and
Performance)
implementation of the Council’s Emergency
Peacetime and Civil Defence Plans.
Part 3 – Responsibility for Functions
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67
LAW & CORPORATE GOVERNANCE
FUNCTION AUTHORISED
OFFICER
Monitoring Officer
1.
To act as the Council’s Monitoring Officer and Strategic Director of Law & Corporate
carry out the statutory duties set out in the
Governance
Local Government & Housing Act 1989 and
the Local Government Act 2000.
Returning Officer
2.
To carry out the duties of Acting Returning
Strategic Director of Law & Corporate
Officer and Returning Officer for
Governance
Parliamentary & Local Elections (including
Parish Council elections).
3
To designate Polling Places where necessary Strategic Director of Law & Corporate
in exceptional circumstances for
Governance
Parliamentary, European, Local and Parish
Elections.
Electoral Registration Officer
4.
To act at the Council’s Electoral Registration
Strategic Director of Law & Corporate
Officers.
Governance
Local Land Charges
5.
To reply to requisitions for a search of the
Strategic Director of Law & Corporate
Local Land Charges Register and Enquiries
Governance
of Local Authorities.
Trainee Solicitors
6.
Authority to take Trainee Solicitors within the
Assistant Director (Legal Services).
currently approved establishment.
Representation in Court
7.
To authorise the appearance of persons other Assistant Director (Legal Services).
than Solicitors pursuant to Section 223 of the
Local Government Act 1972.
Legal Proceedings (Civil)
8.
(a) To institute, defend, appeal from, settle or
Strategic Director of Law & Corporate
abandon legal proceedings whether
Governance/ Assistant Director
administrative or civil in any matter in
(Legal Services) in consultation with
which the Council or its officers may
the appropriate Director.
institute or defend proceedings in any
court or arbitration or administrative
tribunal.
Part 3 – Responsibility for Functions
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68
FUNCTION
AUTHORISED OFFICER
(b) To institute proceedings in the
Strategic Director of Law & Corporate
Magistrates or Crown Court where there
Governance in consultation with the
has been a breach of any statutory
appropriate Director.
notice issues/served by the Council or
where the Authority has a general power
or duty to enforce the law through the
criminal courts.
Implementation of Decisions
9.
To take all such steps as are in his/her
Strategic Director of Law & Corporate
opinion necessary, including the affixing of
Governance / Assistant Director
the Common Seal of the Council and the
(Legal Services) in consultation with
bringing of legal proceedings and the
the appropriate Chief Officer.
making of orders to give effect to any
decision or action taken properly by the
Council, or any duly authorised body or
officer acting on its behalf, or to protect the
interests of the Council or any person or
property to whom or for which the Council
has responsibility.
Legal Agreements/Public Notices
10.
To be responsible for:
(a) the execution of legal agreements
Strategic Director of Law & Corporate
pursuant to the Council’s Procedural
Governance /Assistant Director
and Contract Rules.
(Legal Services).
(b) the issue of Public Notices
Strategic Director of Law & Corporate
Governance/ Assistant Director
(Legal Services).
11.
To make a charge on a property when an
Assistant Director (Legal Services).
individual enters Part III residential
accommodation.
12.
To enter into Deed of Release and/or
Assistant Director (Legal Services).
Variation in landlord tenant matters.
13.
To take peaceable re-entry of leasehold
Strategic Director of Law & Corporate
property in the event of occupation of
Governance
property not in agreement with agreed
terms.
14.
To enter into nomination agreements on
Assistant Director (Legal Services).
housing matters.
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69
FUNCTION AUTHORISED
OFFICER
15.
To enter into Highway Bond Agreements
Assistant Director (Legal Services).
under Sections 219 to 220 Highways Act
1980.
Compulsory Purchase Orders
16.
To make, vary and/or amend Compulsory
Assistant Director (Legal Services) in
Purchase Orders.
consultation with any appropriate
Director.
Property Management
17.
Service of notices under Section 25 of the
Assistant Director (Legal Services) in
Landlord & Tenant Act 1954 to enable
consultation with the appropriate
rents and any other new terms to be
Director.
negotiated.
18.
Arrangement of defective title indemnity
Assistant Director (Legal Services).
cover in respect of land or property being
disposed of by the Council up to a
premium limit of £6,500 each such costs to
be met from sale proceeds.
Council Halls/Meeting Rooms
19.
To determine any applications for the use
Strategic Director of Law & Corporate
of Council halls or meeting rooms by
Governance in consultation with the
extremist organisations other than use
Leader of the Council
required under the Representation of the
People Acts.
Hire of Civic Accommodation
20.
To waive the charges for the hire of Civic
Strategic Director of Law & Corporate
meeting rooms to outside organisations
Governance.
where such organisations are of a
charitable or non-profit making nature or
where there are exceptional
circumstances.
Regulation of Investigatory Powers Act
21.
To make any necessary amendments to
Strategic Director of Law & Corporate
the Covert Surveillance Policy and
Governance
Procedural Guidance documentation
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70
FUNCTION AUTHORISED
OFFICER
Local Government (Access to Information)
Act 1985
22.
To adjust in the light of inflation the figure
Assistant Director (Democratic
below which no charge be made for the
Services)
supply of copies of documents under the
Act on a one-off basis.
23.
To determine arrangements for the
Assistant Director (Democratic
inspection of background papers for
Services)
meetings.
Members’ Allowances Scheme
24.
To consider on its merits and make
Assistant Director (Democratic
payment in respect of any claim not
Services)
received within 2 months of the date of
performance of the duty.
25.
To consider and determine requests by
Assistant Director (Democratic
Members of the Council for advance
Services)
payment of part of their basic allowance as
provided for in the current Members’
Allowance Scheme.
Entertainment of Civic Guests
26.
Authority to approve arrangements and
Assistant Director (Democratic
expenditure in respect of the entertainment Services)
of civic guests within approved budget.
Courses & Seminars
27.
To approve the attendance of Members at
Assistant Director (Democratic
courses and seminars.
Services)
28.
Admission and Exclusion Appeals
To make arrangements for the
Assistant Director (Democratic
determination of admission and exclusion
Services)
appeals in accordance with the schools
Standards and Framework Act 1998 (as
amended by the Education Act 2002) and
Regulations.
Part 3 – Responsibility for Functions
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71
GREEN & BUILT ENVIRONMENT
FUNCTION AUTHORISED
OFFICER
Building Regulations
1.
Notices and action under Sections 16,
Head of Building Control
16(2) and 18 of the Building Act 1984.
2.
Directions under Sections 8, 10, 15, 19, 20, Head of Building Control
21, 24, 25, 30, 32, 33, 35, 36, 47, 72, 77,
78, 80, 81, 95, 96 and 107 of the Building
Act 1984.
3.
Notices and action under the Building
Head of Building Control
Regulations 2000 and subsequent
amendments thereto.
Clean Air – Height of Chimney
4.
Notices and action under Section 10 of the
Head of Planning & Strategic Policy
Clean Air Act 1956 (Height of Chimneys –
for development control purposes).
Scaffolding & Hoarding
5.
Issue of licences and appropriate actions
Head of Building Control
under Section 169, 171 and 172 of the
Highways Act 1980.
Party Wall Act 1996
6.
Appointment of “third” surveyor under
Head of Building Control
Section 10 of the Party Wall Act 1996.
Protection of Buildings during Demolition
7.
Action under Section 29 of the Local
Head of Building Control
Government (Miscellaneous Provisions)
Act 1982
Uninspected Work
8.
Laying open uninspected work under
Head of Building Control
Regulation 15 of the Building Regulations
2000.
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72
FUNCTION AUTHORISED
OFFICER
Fire Precautions
9.
Action under Sections 32, 33, 35, 37 and
Head of Building Control
38 of the Berkshire Act 1986.
10.
Action under Sections 23 and 24 of the
Assistant Director (Legal Services) in
Local Government (Miscellaneous
consultation with Head of Planning
Provisions) Act 1976 in cases of
and Strategic Policy.
emergency (including the institution of legal
proceedings and prosecutions)
Development Control Functions
11.
The Development Control Functions set
Head of Planning & Strategic Policy.
out in the Appendix “1” hereto.
Emergency Tree Works
12.
The making and confirmation of orders
Strategic Director of Law & Corporate
under Sections 198 and 201 of the Town & Governance in consultation with Head
Country Planning Act 1990 for the
of Planning & Strategic Policy.
preservation of trees in the Borough
(where no objections have been received)
and issue of consents to the felling,
topping, lopping, etc. of individual trees.
Cable Television
13.
Response to consultations between The
Head of Planning & Strategic Policy.
Cable Corporation and the Local Planning
Authority regarding the proposed
installation of cable television apparatus
except for proposals relating to installations
within conservation areas or affecting listed
buildings or where it is considered an
objection should be raised.
Advertising Boards
14.
Determination of applications for display of
Head of Planning & Strategic Policy
“For Sale/To Let” boards requiring the
consent of the Council.
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73
FUNCTION AUTHORISED
OFFICER
Demolition
15.
To determine whether the approval of the
Head of Planning & Strategic Policy.
Council will be required to the method of
the proposed demolition and any proposed
restoration of the site.
16.
To determine whether to approve the
Head of Planning & Strategic Policy
submission of subsequent details of
demolition/restoration.
Town & Country Planning Act 1990 (as amended)
17.
(a) To issue & serve planning
Head of Planning & Strategic Policy in
contravention notices under Section
consultation with Assistant Director
171C of the Act and to consider any
(Legal) Services.
representations subsequently received.
(b) To authorise the issue and service of
Strategic Director of Law and
an Enforcement Notice & Stop Notice
Corporate Governance in consultation
under the Town & Country Planning
with the Head of Planning & Strategic
Act 1990 where urgent action is
Policy.
required to protect the amenities of
local residents and the surrounding
area.
(c) To authorise the issue and service of
Strategic Director of Law and
an enforcement notice where
Corporate Governance in consultation
operational development (i.e. building,
with the Head of Planning & Strategic
engineering, mining or other
Policy.
operations) or an unauthorised change
of use has occurred.
(d) To authorise the issue and service of a Strategic Director of Law and
notice requiring the proper
Corporate Governance in consultation
maintenance of land under Section 215 with the Head of Planning & Strategic
of the Town and Country Planning Act
Policy.
1990.
(e) To authorise the raising and issuing of
Strategic Director of Law and
notices under the provisions of S.330
Corporate Governance in consultation
and S. 172 of the Town and Country
with the Head of Planning & Strategic
Planning Act 1990 and/or S.16 of the
Policy.
Local Government (Miscellaneous)
(Provisions) Act 1976 and the Local
Government and Planning
(Amendment) Act 1981 and Planning
Contravention Notices under S.171c
and 171d of the Town & Country
Planning Act 1990.
Part 3 – Responsibility for Functions
Council - May 2006
74
FUNCTION AUTHORISED
OFFICER
(f) Not to take enforcement action in those Head of Planning & Strategic Policy
cases where it would be in expedient.
Planning & Compensation Act 1991
18.
To decide to decline to determine
Head of Planning & Strategic Policy
applications if he/she is satisfied that they
fall within all provisions of Section 17 of the
Act.
Listed Buildings
19.
To take urgent action in respect of Listed
Head of Planning & Strategic Policy
Buildings and Conservation Areas under
the provisions of the Planning (Listed
Buildings & Conservation Areas) Act 1990.
Planning Briefs
20.
Approval of planning briefs in accordance
Head of Planning & Strategic Policy
with planning policy.
Highways & Transportation Services -Regulatory Functions
21.
The Highway & Transportation functions
set out in Appendix “2” hereto.
22.
Authority to remove all unauthorised signs
Assistant Director (Transport &
and free standing advertisement boards on Planning)
or projecting over highway or Council land;
charge for their return and following
warning to the owners, destroy any signs
not collected within 21 days and instigate
legal proceedings against persistent
offenders as necessary.
Traffic Signs
23.
Provision and maintenance of traffic signs
Assistant Director (Transport &
in accordance with Directorate for
Planning)
Transport regulations and manuals.
Street Lighting
24.
Provision of additional street lighting units.
Assistant Director (Transport &
Planning)
Part 3 – Responsibility for Functions
Council - May 2006
75
FUNCTION AUTHORISED
OFFICER
Roads & New Streets
25.
Authority to prepare and execute
Assistant Director (Legal Services in
agreements under Section 38 of the
consultation with the Assistant Director
Highways Act 1980 for construction,
(Transport & Planning).
dedication and adoption of new roads &
streets built to approved widths and
standards and acceptance of free
dedication of land for highways widening
and improvement purposes.
Street Furniture, etc.
26.
Siting and re-siting of pillar boxes, street
Assistant Director (Transport &
seats and telephone kiosks.
Planning)
27.
Erection on ornamental grass verges of
Assistant Director (Transport &
notices applying byelaws prohibiting driving Planning)
of vehicles thereon.
28.
Selection of sites for street seats.
Assistant Director (Transport &
Planning)
29.
Position of litter bins.
Assistant Director (Transport &
Planning)
30.
Selection of sites for and planting of street
Assistant Director (Transport &
trees within approved estimates.
Planning)
Footway Crossings
31.
Construction of footway crossings on
Assistant Director (Transport &
rechargeable basis or in accordance with
Planning)
agreed policy.
Street Naming and Numbering
32.
Numbering and re-numbering of premises
Assistant Director (Transport &
in streets.
Planning)
33.
Allocation of new street names.
Assistant Director (Transport &
Planning)
Permits
34.
Issue of permits for vehicles to enter the
Assistant Director (Transport &
High Street in accordance with the terms of Planning)
the Traffic Order(s).
Temporary Closures
35.
Making temporary restrictions or
Assistant Director (Transport &
prohibitions under Section 14 of the Road
Planning)
Traffic Regulation Act 1984.
Part 3 – Responsibility for Functions
Council - May 2006
76
FUNCTION AUTHORISED
OFFICER
36.
To exercise the Council’s powers under the Assistant Director Legal Services in
Road Traffic Regulations (Special Events)
consultation with Assistant Director
Act 1994 to restrict or prohibit vehicular
(Transport & Planning)
and pedestrian movements as necessary
to facilitate the holding of a relevant event
where the Strategic Director of Law and
Corporate Governance considers an order
under the Town Police Clauses Act 1847 is
inappropriate.
HGV & PSV Operators
37.
Consideration of and lodging of objections
Assistant Director (Transport &
to, applications for Heavy Goods Vehicles
Planning) in consultation with the
Operators Licences under the Transport
Assistant Director (Legal Services)
Act 1968.
38.
To exercise the powers of the Council
Assistant Director (Transport &
under the Public Passenger Vehicles Act
Planning) in consultation with the
1981 including the submission of
Assistant Director (Legal Services)
objections to applications for the grant of
operators Licenses under Section 14A.
Hackney Carriages & Private Hire Vehicles
39.
(a) Substitution of vehicles under existing Assistant Director (Transport &
Hackney Carriages and Private Hire
Planning)
Licences.
(b) Transfer of ownership of Hackney
Assistant Director (Transport &
Carriages and Private Hire Vehicles.
Planning)
(c)
The grant or renewal of Hackney
Assistant Director (Transport &
Carriage Drivers and Private Hire
Planning)
Vehicles, Operators and Driver’s
Licences (except when drivers have
convictions) in accordance with
guidelines laid down.
Emergency Works on the Highway
40.
To undertake emergency works of any kind Assistant Director (Transport &
whether or not provision has been made in Planning)
the estimates where justified in his/her
opinion by the scale of a potential hazard
and legal liability.
41.
Pursuant to Section 4 of the Berkshire Act
Assistant Director (Transport &
1986 to recover expenses reasonably
Planning) in consultation with the
incurred in fencing or lighting of source of
Assistant Director (Legal Services)
danger or obstruction to persons or
vehicles using a highway from the owner or
other person responsible for the danger of
obstruction.
Part 3 – Responsibility for Functions
Council - May 2006
77
FUNCTION AUTHORISED
OFFICER
Public Transport
42.
To exercise the power of the Council under Assistant Director (Transport &
Section 7 of the Transport Act 1985 to
Planning) in consultation with the
request the Traffic Commission to make,
Assistant Director (Legal Services)
vary or revoke Traffic Regulation
conditions affecting local services or to
hold an inquiry prior to determination of
such conditions.
43.
To enter into public transport service
Assistant Director (Transport &
subsidy agreements under the Transport
Planning) in consultation with the
Act 1985 where they are exempted from
Assistant Director (Legal Services)
the tendering requirements in that Act.
44.
To lodge holding objections regarding
Assistant Director (Transport &
proposals by operators for withdrawals of
Planning) in consultation with the
or alterations to rail services, or the fares
Assistant Director (Legal Services)
and charges thereof, where it is anticipated
that extra Council expenditure would result,
and to pursue objections before the
Transport Users Consultative Committee.
45.
To serve a 42 day Notice of Deregulation
Assistant Director (Transport &
Planning) in consultation with the
Assistant Director (Legal Services)
Concessionary Travel
46.
To negotiate and agree the concessionary
Assistant Director (Transport &
fares scheme with bus operators and set
Planning)
the level of annual subsidy to them.
Stopping Up
47.
To exercise the powers of the Highway
Strategic Director of Law & Corporate
Authority to stop up or divert the highway
Governance in consultation with the
or private access to the highway under the
Assistant Director (Transport and
Highways Act 1980 and the Town and
Planning).
Country Planning Act 1990 (if applicable)
and to undertake all necessary legal
procedures in connection therewith.
Works Contracts
48.
To act as the “Engineer” to works contracts Assistant Director (Transport &
for Highways and Transportation projects.
Planning)
Part 3 – Responsibility for Functions
Council - May 2006
78
FUNCTION AUTHORISED
OFFICER
Goods & Services Contracts
49.
To act as “Supervising Officer” for Goods & Assistant Director (Transport &
Services contracts for Highways &
Planning)
Transportation projects.
Traffic Regulation Orders
50.
To consider objections to proposed Traffic
Assistant Director (Transport and
Regulation Orders and formal notices to
Planning) in consultation with the
other traffic management matters including relevant Commissioner and the Local
traffic calming measures and Public Rights Ward Members.
of Way and to authorise the making of the
necessary orders with or without
modification or to refer to the Cabinet as
appropriate.
Erection of Banners
51.
To determine applications for the erection
Assistant Director (Transport &
of banners in Slough High Street or
Planning)
elsewhere in the town.
Consultancy Agreements for Highways & Transportation Professional Services
52.
To act as the designated officer
Assistant Director (Transport &
representing the Client.
Planning)
Cemetery & Crematorium
53.
Management of the Cemetery and
Head of Customer Services – will
Crematorium in accordance with Cemetery change after restructure
and Crematorium Rules and appropriate
statutory provisions.
54.
Environmental Health, Trading Standards,
Head of Public Protection, Head of
Community Safety, Licensing and
Environmental Services and Policy
Registration Functions as set out in
Appendix 4 hereto
Part 3 – Responsibility for Functions
Council - May 2006
79
FUNCTION AUTHORISED
OFFICER
Cleansing of Private Roads and Land
55.
To exercise discretion concerning the
Public Protection Services and
exceptions allowed in respect of cleansing
appropriate Directors - will change
private roads and land (Environmental
after restructure.
Health and Control Committee 22.10.91
refers)
Formal Cautions
56.
To issue formal cautions with respect to
Head of Public Protection Services and
Environmental Health, Trading Standards,
appropriate Directors - will change
Community Safety, Licensing and
after restructure.
Registration functions
(to meet current
Private Sector Housing Manager
Home Office requirements) on behalf of the
Council. To delegate authority to suitably
qualified officers to issue cautions.
Public Health Public Health Act 1936
57.
Incurring of expenditure in premises
Head of Public Protection, Services will
requiring emergency cleansing on a
change after restructure.
discretionary basis.
Public Health Acts (Amendment) Act 1907
58.
Authority to act on behalf of the Council in
Head of Public Protection Services and
respect of the provisions of the Public
appropriate Directors - will change
Health Acts (Amendment) Act 1907
after restructure.
Part 3 – Responsibility for Functions
Council - May 2006
80
APPENDIX 1
DEVELOPMENT CONTROL FUNCTIONS
The following functions are delegated to the Head of Planning & Strategic Policy
subject to any conditions set out below:-
1.
Determination of all applications for planning permission (except for major
development, i.e. development of 10 or more dwellings (0.5 hectare where no
numbers given and for all other uses, 1,000 square metres floorspace/or 1
hectare or more) within the constraints set out below:-
(a)
Approval of applications which comply with existing approved
statutory statements of policy and substantially comply with non-
statutory policy guidelines.
(b)
Refusal of applications which do not comply with existing
approved statutory and non-statutory statements of policy.
2.
Matters of mutual interest referred to the Council by adjoining authorities when
the proposed development has no adverse affect on the planning policies
operating within the Borough.
3.
Authorising the felling, lopping or other works to trees within a Conservation
Area or any trees which are subject to a Tree Preservation Order.
4.
The withdrawal or amendment of an Enforcement Notice when there has been
a change in circumstances.
5. Directions
requiring
further details, information, evidence or particulars in
respect of an application for planning permission pursuant to Article 10(4) of
the Town & Country Planning General Development Order 1988.
6.
Preparation and signature of decision notices in respect of planning
applications after consultation with the Strategic Director of Law & Corporate
Governance in appropriate cases. (Such decision notices shall be dated with
the date upon which the decision was taken).
7.
The power to issue a Breach of Condition Notice under Section 187A of the
Town and Country Planning Act 1990 is delegated to the Head of Planning
and Strategic Policy in consultation with the Strategic Director of Law &
Corporate Governance.
8.
In consultation with the Strategic Director of Law & Corporate Governance to
determine applications for Certificates of Lawful Use or Development.
9.
In consultation with the Strategic Director of Law & Corporate Governance,
authority to enter into planning agreements in cases where in all other
respects the application falls within this Scheme of Delegation.
Part 3 – Responsibility for Functions
Council - May 2006
81
10.
Determination of applications deferred by the Planning Committee which are
subsequently amended such that they comply with the provisions of 1(a)
above, unless the Committee specifically reserves the determination to itself.
11. Decisions under the Town & Country Planning (Environmental Impact
Assessment) (England & Wales) Regulations 1999 as to:-
(a)
whether or not an environmental impact assessment is needed;
and
(b)
the main effects of a development which an Environmental
Statement should cover.
12.
Preparation and approval of conservation area character assessments.
13
In consultation with the Strategic Director of Law and Corporate Governance
to issue and serve a high hedge Remedial Notice under the Anti Social
Behaviour Act 2003.
Conditions
Ward Members
The Head of Planning and Strategic Policy shall refer applications under
Paragraph 1(a) above to the Planning Committee for determination provided
any Ward Member in which the Application Site is situated has:-
(i)
set out in writing to the Planning Case Officer the detailed planning
issues/concerns which s/he has in respect of the Application and
(ii)
s/he has had an official and formal discussion on such planning
issues/concerns with the Planning Case Officer or the Head of Development
Control or the Head of Planning and Strategic Policy and the issues/concerns
remain unresolved. The Ward Member will be informed of the date of the
meeting so that s/he can attend and speak in support of the referral.
Council Applications
In the case of Applications made by the Council paragraph 1(a) shall apply
unless an objection has been received against the proposal and if so the
Application shall be referred to the Planning Committee for determination
Petitions
Petitions submitted in respect of Planning Applications shall be copied to the
relevant Ward Members and normally dealt with by the Head of Planning and
Strategic Policy/Assistant Director (Democratic Services) in accordance with
the Public Participation Scheme.
Part 3 – Responsibility for Functions
Council - May 2006
82
HIGHWAYS & TRANSPORTATION
REGULATORY FUNCTIONS
60.
The Assistant Director (Transport & Planning) in consultation where necessary
with Assistant Director (Legal Services) has delegated responsibility to
undertake general, administrative and regulatory highways and transportation
functions within established policy (including service of notices) set out in the
relevant parts of following statutes:
1.
Road
Traffic
Act
1988
2.
Highways
Act
1980
3.
Construction
(Design
& Management) Regulations 1994
4.
New
Roads
&
Street Works Act 1991
5.
Health & Safety at Work, etc. Act 1974
6.
Land
Compensation
Act
1973
7.
Noise
Insulation
Regulations
1975
8.
Reservoirs
Act
1975
9.
Electricity
at
Work
Regulations
10.
Town & Country Planning Act 1990
11.
Acquisition
of
Land
Act
1981
12.
Cycle
Track
Act
1984
13.
Local Government Planning & Land Act 1980
14.
Road Traffic Regulations Act 1984
15.
Road Traffic Reduction Act 1997
16.
Transport
Acts
2000
&
1985
17.
Land
Drainage
Act
1991
18.
Countryside & Rights of Way Act 2000
19.
Local
Government
Act
2000
20.
Town Improvement Clauses Act 1874
21.
Public
Health
Act
1885
22.
Road
Traffic
Act
1991
Part 3 – Responsibility for Functions
Council - May 2006
83
COMMUNITY & CULTURAL SERVICES
By Virtue of an agreement with People 1st
(Slough) Ltd. the Council has delegated to that
company a number of functions under the broad headings of housing management,
leasehold services, repairs and maintenance and stock investment, details of which are
contained in the schedule to the contract
FUNCTION
AUTHORISED OFFICER
Consultation
1.
To consult and promote participation of
Head of Paid Service People 1st (Slough)
residents and tenants in service
Ltd.
development.
Government Returns
2.
Complete H.I.P. returns annually in line
Assistant Director (Housing Strategy &
with the agreed capital programme and
Renewal).
strategy.
Tenants’ Improvements
3.
Approval or refusal of applications from
Head of Paid Service People 1st (Slough)
tenants to carry out external or internal
Ltd.
improvements to Council
accommodation subject to the Housing
Act 1985 and subject to compliance with
building regulations and planning
requirements.
Improvements to Sold Council Dwellings
4.
Approval or refusal of applications from
owners of sold Council dwellings:-
(a) To carry out internal improvements Head of Paid Service People 1st (Slough)
or external improvements not
Ltd.
involving significant additions to
the existing building.
(b) To carry out significant external
Head of Paid Service People 1st (Slough)
improvements.
Ltd.
Access to Personal Files, etc.
5.
(a) To implement and deal with the
Head of Paid Service People 1st (Slough)
Access to Personal Files (Housing) Ltd.
Regulations 1989 including the
fixing of a nominal charge.
Part 3 – Responsibility for Functions
Council - May 2006
84
FUNCTION AUTHORISED
OFFICER
(b) Determination of appeals with
Assistant Director (Housing Strategy and
regard to (a) above.
Renewal)
Rents & Management Matters
6.
(a) Fixing of rents for properties on
Strategic Director Cultural & Community
Council housing estates used for
Services and Strategic Director of
special purposes.
Finance and Property
(b) Payment of sums as approved
Assistant Director (Housing Strategy &
from time to time by the Director of Renewal) and Housing Needs Manager
Community and Cultural Services
to tenants in respect of their
transfer from under-occupied
housing of any type to “less easily
let” property.
(c) To deal with tenant consultation in
Head of Paid Service People 1st (Slough)
accordance with the Council’s
Ltd.
policy and current legislation.
(d) Payment of reasonable removal
Head of Paid Service People 1st
and reconnection of appliance
(Slough) Ltd.
expenses and a disturbance
allowance (not exceeding the
maximum approved from time to
time), in appropriate cases to
tenants who are requested to
move by the Council, and where
there is a management advantage
to the Council in their moving.
(e) Service of Notice of Variation of
Assistant Director (Housing Strategy and
Rent.
Renewal)/Head of Revenues, Benefits &
Business Services.
(f)
Amendments to tenancy terms in
Assistant Director (Housing Strategy and
accordance with the Council’s
Renewal) in consultation with Strategic
policy.
Director of Law & Corporate Governance.
(g) Fixing of standard charges for
Head of Paid Service People 1st (Slough)
rechargeable repairs.
Ltd.
(h) i.
Approval of applications for
Head of Paid Service People 1st (Slough)
“three room scheme” of
Ltd.
internal redecoration.
Part 3 – Responsibility for Functions
Council - May 2006
85
FUNCTION AUTHORISED
OFFICER
ii. Installation of central heating
Head of Paid Service People 1st (Slough)
systems outside the
Ltd.
established criteria where it is
considered that special
circumstances apply.
(i)
Determination of appeals with
Head of Paid Service People 1st (Slough)
regard to (i) above.
Ltd.
(j)
Authorisation of refunds of undue
Assistant Director Housing Strategy and
expenditure, rent refunds and
Renewal
similar items (not the fault of the
tenants) in appropriate
circumstances; waiver of rents and
charges in respect of temporary
disruption of occupation or
services; authority to waive or
reduce the standard charge for bed
and breakfast accommodation in
cases of hardship.
(k) Ordering of works of alteration
Head of Paid Service People 1st (Slough)
within budget provision to Council
Ltd.
properties to meet the needs of
disabled persons.
(l)
Issue of distress warrants for rent
Head of Paid Service People 1st (Slough)
arrears.
Ltd.
Cable T.V.
7.
Making of arrangements for the cabling
Head of Paid Service People 1st (Slough)
of municipal housing estates.
Ltd.
Modernisation
8.
To approve extensions and other
Head of Paid Service People 1st (Slough)
improvements to properties where such
Ltd.
suitable properties exist and where
tenants would benefit, the cost to be
funded from the Miscellaneous
Modernisation Budget.
Part 3 – Responsibility for Functions
Council - May 2006
86
FUNCTION AUTHORISED
OFFICER
Housing & Council Tax Benefit
To take all necessary action in the
9.
general administration, implementation
Head of Revenues, Benefits and
and enforcement of the Housing Benefit
Business Services – may change under
(General) Regulations 1987 and the
restructuring of Community & Cultural
Council Tax Benefit (General)
Services Directorate
Regulations 1992.
10.
To apply administration penalties and
Head of Revenues, Benefits and
administer Cautions under current
Business Services - may change under
legislation in relation to Housing &
restructuring of Community & Cultural
Council Tax Benefit fraud.
Services Directorate.
Homelessness
11.
(a) To consider and deal with cases of Housing Advice Manager and Allocations
permanent re-housing arising from
Manager and Housing Needs Manager
the implementation of Part 7 of the
1996 Housing Act. as amended
(b) Determination of appeals against
Assistant Director (Housing Strategy &
decisions in homelessness cases
Renewal) or Housing Needs Manager
in accordance with approved policy
guidelines.
(c) Authorisation in cases of
Housing Needs Manager.
intentional homelessness or non-
priority need to give housing
guarantees of not more than one
month and rent deposit loans as
part of the duty to provide advice
and assistance and that this be
related where possible to housing
benefit arrangements.
(d) To deal with the leasing of private
Housing Needs Manager
sector properties in accordance
with the Council’s approved
scheme.
Part 3 – Responsibility for Functions
Council - May 2006
87
FUNCTION AUTHORISED
OFFICER
Allocation Scheme
12.
(a) To deal with all matters in
Assistant Director Housing Strategy &
connection with (i) the allocation of Renewal, Housing Needs Manager,
housing accommodation in
Allocations Manager and Housing Advice
accordance with current legislation Manager
and the schemes of allocation
adopted by the Council, (ii)
applications for transfer and
exchanges of accommodation, and
(iii) allocation of social needs
points.
(b) To deal with all applications from
Housing Needs Manager/ Head of Paid
tenants of the Council for
Service People 1st (Slough) Ltd.
alternative accommodation on non-
housing needs grounds.
(c) Re-housing of the tenants and their Housing Needs Manager.
families in cases where Closing,
Demolition and Clearance Orders
are made.
(d) Acceptance of service authorities’
Housing Needs Manager.
certificates of cessation of
entitlement to occupy a service
quarter in lieu of Court Order.
(e) To re-designate as elderly persons Housing Needs Manager.
dwellings bed-sit bungalows and
one bedroom flats which are not
part of a sheltered complex.
(f)
Appeals on those matters referred
Housing Needs Manager (provided he or
to in (a) and (b) above.
she had not been involved in the original
decision) or Assistant Director (Housing
Strategy & Renewal).
(g) To transfer tenants on
Head of Paid Service People 1st (Slough)
management grounds.
Ltd.
Part 3 – Responsibility for Functions
Council - May 2006
88
FUNCTION AUTHORISED
OFFICER
Provision of Council Housing in Special
Cases
13.
(a) Within established policy deal with
Housing Needs Manager who should
applications for priority housing on
take specialist advice where necessary
medical grounds, non-housing
need grounds and emergency
housing accommodation from
persons who are homeless or
threatened with eviction from their
present accommodation.
(b) Appeals on those matters referred
Assistant Director (Housing Strategy &
to in 13 (a) above.
Renewal).
Management of Council Housing
14.
(a) To deal with:-
(i)
Applications for succession of Head of Paid Service People 1st (Slough)
tenancy within statutory right
Ltd.
where the property is not
under-occupied.
(ii)
Applications for second
Head of Paid Service People 1st (Slough)
succession or succession
Ltd.
leading to under-occupation.
(iii) Applications for assignment
Head of Paid Service People 1st (Slough)
of a tenancy.
Ltd.
(iv) Applications to sublet or part
Head of Paid Service People 1st (Slough)
with possession of part of a
Ltd.
property.
(v) Application under the “right to Area Housing Managers/RTB Officer
approve”.
N.B. Appeals against the Officer decisions referred to in 13 and 14(i), (iii), (iv) and (v) shall be
considered initially by the Assistant Director (Housing Strategy and Renewal). There may be a
further appeal to the Appeals Sub Committee on referral by Officers or at the request of 3 Members.
Part 3 – Responsibility for Functions
Council - May 2006
89
FUNCTION AUTHORISED
OFFICER
Termination, Possession & Legal
Proceedings
15.
(a) To sign and serve Notices of
Head of Paid Service People 1st (Slough)
Seeking Possession for tenancy
Ltd. And the Assistant Director Housing
conditions.
Strategy & Renewal
(b) To serve Notice to quit for
Head of Paid Service People 1st (Slough)
unauthorised occupation or
Ltd. And the Assistant Director Housing
abandonment of tenancy and
Strategy & Renewal
recover possession.
(c) To authorise possession
Head of Paid Service People 1st (Slough)
proceedings.
Ltd. And the Assistant Director Housing
Strategy & Renewal
(d) To authorise eviction proceedings.
Head of Paid Service People 1st (Slough)
Ltd. And the Assistant Director Housing
Strategy & Renewal
(e) Recovery of Court costs and
Head of Paid Service People 1st (Slough)
associated fees from Possession
Ltd. And the Assistant Director Housing
Proceedings, and other legal
Strategy & Renewal
action for breach of Tenancy
Conditions.
(f)
Waiver of or partial claim for Court
Head of Paid Service People 1st (Slough)
costs where reasonable.
Ltd. And the Assistant Director Housing
Strategy & Renewal
Squatting
16.
To authorise recovery under the
Head of Paid Service People 1st (Slough)
Criminal Law Act 1977.
Ltd. And the Assistant Director Housing
Strategy & Renewal
Sales of Housing
17.
Signature of TRB and RTB forms in
Assistant Director (Housing Strategy and
connection with Housing Act 1985.
Renewal)/Head of Revenues, Benefits
and Business Services
18.
In respect of sales under the Housing
Act 1985, the Housing & Building
Control Act 1984 and any voluntary
sales scheme to:-
Part 3 – Responsibility for Functions
Council - May 2006
90
FUNCTION AUTHORISED
OFFICER
(a) Seek determination from the
Assistant Director (Housing Strategy &
Secretary of State – appropriate
Renewal)
cases, to serve Admission of the
Right to Buy, authorise cases in
pursuance of Sections 4(2) and
15(2) of the Housing Act 1985 and
acceptance of statutory
declarations;
(b) Approve and exercise discretions
Strategic Director of Community &
permitted in the Acts covering
Cultural Services in consultation with the
mortgages;
Director of Finance and Property.
(c) Determine the parameters in
Strategic Director of Community &
respect of mortgage offers to be
Cultural Services in consultation with the
made in cases where a tenant has
Strategic Director of Finance and
served a Notice requesting a
Property.
shared equity lease;
(d) Grant of extension of time limits as Strategic Director of Community &
permitted;
Cultural Services in consultation with
Assistant Director (Legal Services).
(e) (i)
Determine service charges in
Assistant Director Housing Strategy &
respect of leasehold sales
Renewal
and refunds in accordance
with current legislation;
(ii)
To authorise refunds of
Strategic Director of Community
undue expenditure on service &Cultural Services
charges and similar items
(not the fault of leaseholders)
in appropriate circumstances;
(iii) To waive charges in respect
Strategic Director of Community &
of temporary disruption of
Cultural Services in consultation with
occupation or services.
Head of Paid Service People 1st (Slough)
Ltd.
(f)
Carry out structural surveys as
Head of Paid Service People 1st (Slough)
required.
Ltd.
Part 3 – Responsibility for Functions
Council - May 2006
91
FUNCTION AUTHORISED
OFFICER
(g) Determine applications for the
Head of Paid Service People 1st (Slough)
purchase of amenity areas and off-
Ltd.
site garages by Right to Buy
purchasers;
(h) To decide on applications for the
Head of Neighbourhood Housing/
Right to Buy from tenants of
Assistant Director (Housing Strategy &
designated elderly persons’
Renewal) / Head of Resources, Benefits
dwellings, in accordance with the
and Business Resources
legislation currently in force,
ensuring that as far as possible the
properties concerned are retained
in the Council’s housing stock;
(i)
In respect of Housing (Service
Strategic Director of Community &
Charge Loan) Regulations 1992 for Cultural Services in consultation with
Leaseholders who purchased
Strategic Director of Finance and
under the right to buy; to arrange
Property
loans secured against the property.
In respect of service charges for
repairs and circumstances not
work covered by the right to a loan
and subject to a minimum sum
borrowed of £500;
(j)
To determine the administrative
Strategic Director of Community &
expenses for arranging each loan
Cultural Services in consultation with
and the scale of charges (to cover
Strategic Director of Finance and
the Council’s costs);
Property
(k) Appeal against discretionary
Strategic Director of Community &
determinations.
Cultural Services.
Tenants’ Right to Repair
19.
(a) Authority to operate statutory
Head of Paid Service People 1st (Slough)
schemes under Right to Repair
Ltd.
legislation.
(b) Authority to pay compensation for
Head of Paid Service People 1st (Slough)
failure of the Council to carry out
Ltd.
repairs in accordance with the
Tenancy Agreement and current
Landlord and Tenant legislation.
Part 3 – Responsibility for Functions
Council - May 2006
92
FUNCTION AUTHORISED
OFFICER
Harassment
20.
Investigation of complaints or alleged
Assistant Director (Housing Strategy &
offences, under Landlord & Tenant Act
Renewal)
1962 and under the Protection from
Eviction Act 1977.
21.
To determine applications for transfer
Housing Needs Manager
from tenants suffering from harassment. Head of Paid Service People 1st (Slough)
Ltd.
22.
To administer the Home Energy
Head of Paid Service People 1st (Slough)
Efficiency Scheme (HEES) in respect of
Ltd.
Council Property.
Private Tenants – Restoration of
Services
Local Government (Miscellaneous
Provisions) Act 1976/1982
23.
Section 33 (Assistance to private
Private Sector Housing Manager
tenants in restoration or continuation of
supply of water, gas or electricity).
Private Sector Housing
24.
(a) To exercise all of the Council’s
Assistant Director (Housing Strategy &
powers and duties under the
Renewal)
housing/public health statutes set
out in Appendix “3” hereto and any
Regulations and Orders made
thereunder:-
(b) To authorise suitably qualified
Assistant Director (Housing Strategy and
Officers to exercise the various
Renewal)
powers of entry for the purposes of
inspection, survey etc. as provided
for by the above-mentioned
statutes.
Part 3 – Responsibility for Functions
Council - May 2006
93
FUNCTION AUTHORISED
OFFICER
Authorised Signatories for S.H.G.
Funded Schemes
25.
(a) Authority to sign Local Authority
Assistant Director (Housing Strategy &
Social Housing Grant applications,
Renewal)
subject to available Capital
Funding.
(b) Authority to sign Housing
Assistant Director (Housing Strategy &
Association Grants claims.
Renewal)
(c) Authority to sign scheme work
Assistant Director (Housing Strategy &
certifications.
Renewal)
(d) Authority to issue loans to Housing Strategic Director of Community &
Associations to fund Local
Cultural Services.
Authority Housing Association
Grant aid schemes.
Careline Centre
26.
To review and revise charges to other
Head of Revenues, Benefits and
landlords for the use of the Careline
Business Services
Centre and the monitoring fee for
individual alarms in line with the
changes in the Council’s costs and
where market conditions permit.
27.
To set charges for individual alarm units
Head of Revenues, Benefits and
that cover the actual cost of purchase by Business Services
the Council.
28.
To waive the connection charge for
Head of Revenues, Benefits and
individual alarm units provided by third
Business Services
parties and to vary this charge in
response to market conditions for other
subscribers.
29.
Management all aspects of official
Head of Paid Service People 1st (Slough)
Council traveller sites.
Ltd.
Infill Housing Sites on Council Housing
Estates
30.
Authority to approve sites before
Assistant Director (Housing Strategy and
proceeding further.
Renewal) in consultation with Head of
Paid Service People 1st (Slough) Ltd.
Part 3 – Responsibility for Functions
Council - May 2006
94
FUNCTION AUTHORISED
OFFICER
Demolition of Unfit Properties/Garage
Sites
31.
Following completion of Compulsory
Assistant Director (Housing Strategy and
Purchase Order to arrange for
Renewal)
demolition of unfit housing or garage
Strategic Director of Community and
site in the interests of public safety and
Cultural Services in consultation with the
health and to seek to recover any
Strategic Director of Law & Corporate
expenditure as appropriate.
Governance.
Other Legislation
Council Tax
32.
Lodging of proposals by the Council for
Strategic Director of Finance and
revision of existing rating assessments.
Property
33.
Determination of grant of rate rebates
on non-Council properties.
(a) To discharge any of the functions
Section 151 Officer
imposed upon and capable of
delegation to an Officer by the
Borough Council, as a billing
authority, by virtue of the Local
Government Finance Act 1992 (as
amended) in connection with the
administration, billing collection
and recovery of the Council Tax
including
• To give due notice of the Section 151 Officer
agreed Council Tax in the
manner provided by Section
38(2) of the 1992 Act.
• To apply when necessary for a Section 151 Officer
summons against any Council
Tax payer or non-domestic
ratepayer on whom an account
for the said tax or rate and
arrears has been duly served
and who has failed to pay the
amounts due to take all
subsequent necessary action to
recover them promptly.
Part 3 – Responsibility for Functions
Council - May 2006
95
FUNCTION AUTHORISED
OFFICER
• To collect (and disperse from
Section 151 Officer
the relevant accounts) the
[whenever the office of the Section 151
Council Tax and National Non-
Officer is vacant or the holder thereof is
Domestic Rate.
for any reason unable to act, the Chief
Executive or such other authorised
postholder be authorised to act as before
said in his stead.]
(b) To impose or revoke penalties
Section 151 Officer
under the provisions of Schedule 3
of the Local Government Finance
Act 1992 (as amended).
(c) Arrangements for Officers to agree Section 151 Officer.
with any Council Tax payer an
alternative payment to the
standard scheme where it is
considered that it is in the best
interests of the Authority.
(d) To determine applications for
Section 151 Officer.
awards of Local Council Tax
discount in cases of hardship and
subject to a maximum award of the
equivalent of 6 months Council Tax
Payable. Appeals against awards
to be determined by a Member
Appeals Panel.
34.
To consider any grievances received
from persons regarding:-
(i)
Any decision of the Authority that a Section 151 Officer
dwelling is a chargeable dwelling
or that he/she is a liable person in
respect of such dwelling; or
(ii)
Any calculation made by the
Section 151 Officer
authority of an amount he/she is
liable to pay in respect of the
Council Tax.
Part 3 – Responsibility for Functions
Council - May 2006
96
FUNCTION AUTHORISED
OFFICER
Cash Incentive Scheme Portable
Discounts
35.
(a) Authority to approve house
Assistant Director (Housing Strategy and
purchase grants to tenants who
Renewal)
meet the Council’s criteria with the
right of appeal to the Director of
Community and Cultural Services.
(b) To authorise the extension of the
Assistant Director (Housing Strategy and
offer period for grants under this
Renewal)
scheme.
Part 3 – Responsibility for Functions
Council - May 2006
97
COMMUNITY & CULTURAL SERVICES
HOUSING & PUBLIC HEALTH
PRIVATE SECTOR HOUSING FUNCTIONS
38(a). The power and duties of the Council contained in the following Acts of
Parliament are delegated to the Assistant Director (Housing Strategy &
Renewal) to the extent set out in the right-hand column:-
ACT
EXTENT OF DELEGATION
(Parts or Sections)
HOUSING ACT 1985 (as amended)
Part VI Repair Notices
Part VIII Area Improvement (except
declaration of Neighbourhood Renewal
Area)
Part IX Slum Clearance (except declaration
of Clearance Area)
Part X Overcrowding
Part XI Houses in Multiple Occupation Part
XVI Assistance for Owners of Defective
Housing.
Housing Grants, Construction &
Improvements to unfit property and dealing
Regeneration Act 1996
with deferred action notices. Power to
improve enforcement procedures. Power to
charge for enforcement action. Mandatory
Grants to help with disabled facilities.
The Regulatory Reform (Housing
Policy for grants etc. for renewal of Private
Assistance) Order 2002
Sector Housing and Provision of
discretionary disabled facilities grants.
Housing Act 1996
Part II Houses in Multiple Occupation
Public Health Act 1936
Sections 45, 50, 83, 84, 268 and 269
Prevention of Damage by Pests Act 1949
Sections 4, 5, 6 & 7
Caravan Site & Control of Development Act
Conditional licensing of caravan sites,
1960
subject to current planning permission,
including approval to transfer licences and
stationing of caravans
Public Health Act 1961 (as amended)
Sections 17 and 34.
Housing Act 2004
Sections 4 and 55
Part 3 – Responsibility for Functions
Council - May 2006
98
ACT
EXTENT OF DELEGATION
(Parts or Sections)
Local Government (Miscellaneous
Section 16
Provisions) Act 1976
Local Government (Miscellaneous
Sections 29, 30 31 & 32.
Provisions) Act 1982
Building Act 1984
Sections 59, 60, 64, 76 & 79.
Environmental Protection Act 1990
Part III Statutory Notices
Part 3 – Responsibility for Functions
Council - May 2006
99
Appendix 4
Act
Extent of Delegation
Environmental Health, Trading Standards,
Interim Head of Public Protection, Head of
Community Safety, Licensing and Registration
Environmental Services
Functions as set out in Appendix 4 hereto
1.
Local Government (Miscellaneous Provisions)
Powers under the following sections of the Local
Acts 1976 and 1982:-
Government (Miscellaneous Provisions) Acts 1976
and 1982)
(a) Securing of unoccupied premises against
unauthorised entry or likely to be a danger to
public health, as per Sections 29 and 30 of the
Local Government (Miscellaneous Provisions)
Act 1982.
(b) Section 20 (Notice requiring provision of sanitary
appliances at places of public entertainment)
Local Government (Miscellaneous Provisions)
Act 1976.
(c) Section 35 (Power by notice to require removal
of obstructions from private sewers) Local
Government (Miscellaneous Provisions) Act
1976.
Service of notices requiring works to be carried out,
carrying out of works in default and recovery of costs
and expenses in connection therewith under Local
Government (Miscellaneous Provisions) Act 1976
and 1982.
2.
Medical Advisors – Consultants in
Authority to appoint and authorise persons to act on
Communicable Disease Control - Authorisation
behalf of the Council as Proper Officer in their
capacity as Consultants in Communicable Disease
Control for the relevant purposes under the Public
Health (Control of Disease) Act 1984 and
subordinate legislation”.
3. Registration and Licensing – Various Acts
Registration of Hairdressers and Barbers and their
premises under Section 19 of the Berkshire Act 1986
Registration of persons and premises in respect of
acupuncture, tattooing and electrolysis in accordance
with sections 14 and 15 of the Local (Miscellaneous
Provisions) Act 1982.
Enforcement of Parts III and V of the Food Act 1984.
Entry into premises where it is suspected that an
offence is being committed in accordance with
Section 17 of the Local Government(Miscellaneous)
Provisions Act 1982.
Part 3 – Responsibility for Functions
Council - May 2006
100
Act
Extent of Delegation
4.
Licensing Act 2003
All powers under the Licensing Act 2003 which can
be delegated to an officer relating to
(a) The determination of an application for a
premises licence
(b) The determination of an application for a
provisional statement
(c) The determination of an application to vary a
premises licence
(d) The determination of an application to vary a
premises licence so as to specify a new premises
supervisor
(e) The determination of an application to transfer a
premises licence
(f) The determination of an application for review of
premises licence
(g) The determination of whether a club is
established and conducted in good faith
(h) The determination of an application for club
premises certificate
(i) The determination of an application to vary club
premises certificate
(j) The determination of an application for review of
club premises certificate
(k) The determination of an application by temporary
event notice for a permitted temporary activity
(l) The determination of an application for grant or
renewal of personal licence
(m) The authorisation of an officer as an “authorised
person” for the purposes off the Act
(n) The authorisation of an officer as an “authorised
officer” for the purposes of the Act
5. Public Entertainment Licences - (Local
The Whole Act
Government (Miscellaneous Provisions) Act
1982)
6. Theatre Licences - (Theatres Act 1968)
The Whole Act
7. Cinematograph Licences - (Cinema Act 1985)
The Whole Act
8. Sex Establishment Licences - (Local
The Whole Act
Government (Miscellaneous Provisions) Act
1982)
9. Game Dealers Licences - (Game Act 1831,
The Whole Act
Game Licensing Act 1860)
10. Late Night Refreshment House Licences -
The Whole Act
(Late Night Refreshment Houses Act 1969)
11. Amusements with Prizes permits - (Gaming
The Whole Act
Act 1968)
12. Registration of Small Lotteries (Lotteries
The Whole Act
and Amusements Act 1976)
Part 3 – Responsibility for Functions
Council - May 2006
101
Act
Extent of Delegation
13. Street trading consent (except the fixing of
The Whole Act
fees for consents and the designation of
consent or prohibited streets) (Local
Government (Miscellaneous Provisions) Act
1982)
14.
Zoo Premises - (Zoo Licensing Act 1981)
The Whole Act
15. Riding Establishments - (Riding
The Whole Act
Establishments Acts 1964, 1970)
16. Breeding of Dogs - (Breeding of Dogs Act
The Whole Act
1973)
17. House to House Collections - (House to
The Whole Act
House Collections Act 1939)
18. Dangerous Wild Animals - (Dangerous Wild
The Whole Act
Animals Act 1976)
19. Scrap Metal Dealers - (Scrap Metal Dealers
The Whole Act
Act 1964)
20. Pets Shops Act 1951
The Whole Act
21. Public Health Act 1936
Section 42
(Alteration to drainage systems of premises)
Section 45
(Notice to repair water closets)
Section 48
(Power to examine & test drains believed to be
defective.)
Section 50
(Overflowing or leaking Cesspools)
Section 78
(Scavenging of common courts and passages)
Section 79
(power to remove noxious matter)
Section 83 (As amended)
(Cleansing of filthy and/or verminous premises)
Section 84
(Cleansing or destruction of filthy or verminous
articles)
Section 141
(Powers to deal with wells, tanks, cisterns etc.)
Part 3 – Responsibility for Functions
Council - May 2006
102
Act
Extent of Delegation
Sections 259, 260
(Powers to deal with nuisances from ponds,
pools ditches and watercourses etc)
Section 268
(Powers to deal with nuisances from tents,
vans etc.)
22. Public Health Act 1961
Section 17
(Drainage) as amended by Section 27 of the
Local Government (Miscellaneous Provisions) Act
1982.
Section 34
(Accumulation of rubbish)
Section 74
(Pigeons)
23. Public Health (Control Of Disease) Act 1984
Section 23
(Exclusion of children from places of
entertainment)
Section 24
(Control of infected articles)
Section 25
(Library books)
Section 26
(Infectious matter in dustbins)
Section 28
(Prohibition of work on premises where notifiable
diseases exist)
Section 30
(Giving of notice to owners and occupiers of
houses after the recent case of notifiable disease)
Section 34
(Disinfection of public conveyance)
Section 41 and 42
(Common lodging houses - notifiable disease)
Section 46
(Burial and Cremation)
Section 51
(Canal Boats)
24. Provisions of the Public Health (Infectious The Whole Acts
Disease) Regulations 1968, 1974 and 1976
and subsequent regulations made.
Part 3 – Responsibility for Functions
Council - May 2006
103
Act
Extent of Delegation
25. Prevention of Damage by Pests Act 1949
Service of Notices, carrying out of works in default,
recovery of reasonable expenses and exercise of
powers relating to entry onto premises in accordance
with Sections 4, 5 , 6, 7 and 22.
26. Building Act 1984
Section 59
(Drainage of buildings)
Section 60
(Ventilation of soil pipes)
Section 64
(Closets in buildings)
Section 65
(Sanitary conveniences in workplaces)
Section 70
(Food storage accommodation)
Section 76
(Defective Premises)
Section 79
Ruinous and dilapidated buildings and
neglected sites.
27. Refuse Disposal (Amenity ) Act 1978
The Whole Act
28. Crime & Disorder Act 1998
To carry out relevant duties and functions imposed
on the Council by the Crime & Disorder Act 1998
and to apply the requirements of sections 5-7 and
17 with reference to abandoned motor vehicles and
any other matters relevant to the functions of
Customer & Environmental Services.
29. Performing Animals (Regulation) Act 1925
The Whole Act
30. Food Safety Act 1990
The Whole Act
31. Health and Safety Legislation
Authority to act on behalf of the Council in respect of
The provisions of the Health and Safety at Work etc
Act 1974, the Offices, Shops and Railway Premises
Act 1963 and relevant codes of practice, regulations
and guidance made under these acts.
Under the Health and Safety at Work etc Act 1974
Authority to issue instruments in writing to suitably
qualified persons to act as ‘Inspector’ Sections 20(2),
21, 22 and 25.
Under Section 19 of the above act, authority to issue
instruments in writing to suitably qualified persons to
act as ‘inspector’ for the purposes of the Health and
Safety at Work etc Act 1974 and thus the Petroleum
(Regulations) Acts 1928 and 1936, Petroleum
Consolidation Act 1928 and appropriate associated
legislation.
Part 3 – Responsibility for Functions
Council - May 2006
104
Act
Extent of Delegation
32. Public Health Act 1961 – Section 73
Authority to serve notice under section 73 to require
the occupier of a premise on which a fixed tank or
other fixed container which has been used for the
storage of petroleum spirit and is no longer used for
that purpose ‘to take all such steps as may be
reasonably necessary to prevent danger from that
container’.
Authority to appoint and/or authorise a
suitably qualified officer for the purposes of
Section 73 (2), (3), (4).
33. Petroleum (Regulation) Acts 1928 and 1936
Authority to act on behalf of the Council in respect of
the provisions of the Petroleum (Regulation) Acts
1928 and 1936.
34. Petroleum (Consolidation) Act 1928
Sections 1 & 2 - Authority to issue or refuse licences,
with appropriate conditions for the keeping of
petroleum spirit.
35. Petroleum (Transfer of Licences) Act 1936
Authority to transfer licences for the keeping of
petroleum spirit, by endorsement of the licence or
otherwise.
36. Housing Act 1985 (amended)
Authority to act on behalf of the Council in respect of
the provisions of the Housing Act 1985 (amended),
including powers to serve notice, powers of entry and
inspection, survey and examination under sections
197, 395, 319 (1), 337 (1), 340(1) and elsewhere
within the Act.
37. Sunday Trading Act 1994
The Whole Act
38. Berkshire Act 1986
The Whole Act
39. Safety of Sports Grounds Act 1975
The Whole Act
40. Hypnotism Act 1952
The Whole Act
41. Animal Welfare Legislation
The powers and functions of the Council in
connection with the receipt and determination of
applications and consideration of reports by
Veterinary Surgeons and Practitioners, relating to the
issue of licences and to approve arrangements for
the retention of Veterinary Surgeons or practitioners
under:-
The Riding Establishments Act 1964 and 1970
The Pet Animals Act 1951
The Animal Boarding Establishments Act 1963
The Breeding of Dogs Act 1973
The Dangerous Wild Animals Act 1976
The Zoo Licensing Act 1981.
The negotiation and agreement in respect of fees
under the Animal Welfare Acts (subject to fees
proposed, not exceeding those recommended by the
British Veterinary Association or prescribed by
DEFRA).
Part 3 – Responsibility for Functions
Council - May 2006
105
Act
Extent of Delegation
42. Water Act 1989, Water Industry Act 1991
Authority to act on behalf of the Council in relation to
the controls and duties over public and private water
supplies under the terms of the above acts.
43. Caravan Sites & Control Of Development Act
The Whole Act
1960
44. Scrap Metal Dealers Act 1964
(i) The powers and duties of the Council under
Section 3 regarding the issue of Exemption
Orders (where no special considerations arise).
(ii) Authorisation to enter land and ascertain if the
premises are being used contrary to the Scrap
Metal Dealers Act 1964.
45. Control of Asbestos at Work Regulations 2002
Authority to determine notifications received under
Regulation 8(2) of the Control of Asbestos at Work
Regulations 2002 and to agree the commencement
or work before the end of the 14-day notification
period. (14 6/88).
46. Environmental Protection Act 1990
The powers and duties of the Council under Parts I,
II, IIa, III, IV, VIII, IX of the Environmental Protection
Act 1990.
Authority to serve relevant notices under the
provisions of part IIa of the Act in respect of
contaminated land and the declaration of land as
contaminated.
Authority to appoint suitably qualified persons to act
as authorised Officers/Inspectors for the purposes of
the provisions of parts I, II, IIa, III, IV, VIII, IX.
Compliance with the Council’s Duty of Care in
respect of waste (Section 34).
Compliance with the Council’s Duty to keep land and
highways clear of litter etc. (Section 89).
Compliance with the Councils duties under section
45 and 48 in respect of collection and disposal of
household waste.
47. Food & Environment Protection Act 1985 (Part
To enforce relevant provisions of the above
III) and the Control of Pesticides Regulations
legislation.
1986
48. Environment Act 1995
To exercise the functions and duties of the Council in
respect of air quality management and contaminated
land management.
Authority to appoint and/or authorise suitably
qualified persons in writing to exercise the powers
under Section 108 – Powers of enforcing authorities
and persons authorised by them and Section 109 –
Power to deal with imminent danger of serious
pollution etc.
49. Dangerous Dogs Act 1991
The Whole Act.
Part 3 – Responsibility for Functions
Council - May 2006
106
Act
Extent of Delegation
50. Noise & Statutory Nuisance Act 1993
To carry out relevant statutory functions for the
purposes of this Act, in respect of vehicles,
machinery and equipment noise on the highway.
51. Control of Pollution Act 1974
Parts III and V of the Act
52. Clean Air Act 1993
The Whole Act
53. Dogs (Fouling on Land) Act 1996
The Whole Act
54. Noise Act 1996
The Whole Act
55. Insurance Brokers (Registration) Act 1977
To assist the British Insurance Brokers Association in
the enforcement of the above Act, including
instigation of legal proceedings as required.
56. Transport Act 1968
Part V – to make representation on behalf of the
Council to the licensing authorities in connection with
the revocation, suspension or curtailment of
operation licences in appropriate circumstances.
57. Local Government Act 1972, Section 222
To initiate proceedings under the above section of
the above legislation in relation to Traffic Regulation
Orders restricting the weight and width of vehicles
permitted to use certain roads under the Road Traffic
Regulation Act 1984.
58. European Communities Act 1972
The Whole Act.
The Meat (Enhanced Enforcement Powers)
Authority to authorise suitable officers for the purpose
(England) Regulations 2000
of exercising a statutory function with respect to the
The Organic Products (Imports from Third Countries)
following regulations made under the Act with respect
Regulations 2003
to the Council’s function as a Food Authority.
The Products of Animal Origin (Import and Export)
Regulations 1996
The Products of Animal Origin (Third Country
Imports) (England)
(Amendment) (No. 4)
Regulations
2002 (as amended) (and all subsequent
amendments)
The Official Feed and Food Controls (England)
Regulations 2005 made under Regulation (EC) No.
882/2004: Official Feed and Food and Animal Health
Welfare Control.
Regulation (EC) No. 852/2004 of the European
Parliament and of The Council of 29 April 2004 on
the hygiene of foodstuffs.
Regulation (EC) No. 853/2204 of the European
Parliament and the Council of 29 April 2004 laying
down specific hygiene rules for food of animal origin.
Regulation (EC) No. 854/2004 of the European
Parliament and of the Council laying down specific
rules for the organisation of the official controls on
products of animal origin intended for human
consumption (as amended).
The Food Hygiene (England) Regulations 2006.
Part 3 – Responsibility for Functions
Council - May 2006
107
Act
Extent of Delegation
Agriculture
59. Agriculture Produce (Grading and Marketing)
Act 1928
60. Farm and Garden Chemicals Act 1967
61. Agriculture Act 1970
Animal Health
62. Dogs Act 1906
63. Protection of Animals Act 1911
64. Dogs (Amendment) Act 1928
65. Protection of Animals (Amendment) Act 1954
66. Protection of Animals (Anaesthetics) Act 1954
67. Abandonment of Animals Act 1960
68. Agriculture (Miscellaneous Provisions) Act
The Whole Act.
1968
69. Animal Health Act 1981
The Whole Act
70. Animal Health and Welfare Act 1984
71. Protection of Animals (Penalties) Act 1987
The Whole Act
72. Protection of Animals (Amendment) Act 1988
73. Protection Against Cruel Tethering Act 1988
74. Dangerous Dogs Act 1989
The Whole Act
75. Welfare of Animals at Slaughter Act 1991
76. Animal Health Act 2002
Company Law
77. Companies Act 1985
78. Companies Consolidation (Consequential
Provisions) Act 1985
79. Business Names Act 1985
80. Insolvency Act 1986
81. Company Directors Disqualification Act 1986
Consumer Credit
82. Administration of Justice Act 1970
83. Consumer Credit Act 1974
84. Law of Property (Miscellaneous Provisions)
Act 1989
Consumer Protection
85. Consumer Protection Act 1987
86. Motor Vehicles (Safety Equipment for
Children)Act 1991
Control of Pollution
87. Control of Pollution Act 1974
88. Environmental Protection Act 1990
89. Clean Air Act 1993
Copyright
90. Registered Designs Act 1949
91. Patents, Designs and Marks Act 1986
92. Copyright, Designs and Patents Act 1988
93. Broadcasting Act 1990
94. Trade Marks Act 1994
95. Olympic Symbol etc (Protection) Act 1995
Part 3 – Responsibility for Functions
Council - May 2006
108
Act
Extent of Delegation
Education Reform
96. Education Reform Act 1988
Estate Agents
97. Estate Agents Act 1979
98. Housing Act 2004
European Community Law
99. European Communities Act 1972
Explosives
100. Explosives Act 1875
101. Explosives Act 1923
102. Fireworks Act 1951
103. Fireworks Act 1964
104. Explosives (Age of Purchase) Act 1976
105. Fireworks Act 2003
Fair Trading
106. Fair Trading Act 1973
107. Timeshare Act 1992
108. Trading Schemes Act 1996
109. Competition Act 1998
110. Enterprise Act 2002
Food and Environmental Protection
111. Food and Environment Protection Act 1985
112. Pesticides (Fees and Enforcement) Act
1989
113. Scotch Whiskey Act 1988
114. Food Safety Act 1990
Hallmarking
115. Hallmarking Act 1973
Health and Safety
116. Health and Safety at Work etc Act 1974
117. Offshore safety Act 1992
Insurance Brokers
118. Insurance Brokers (Registration) Act 1977
119. Insurance Companies Act 1982
Medicines
120. Medicines Act 1968
Other Enforcement Legislation
121. Children and Young Persons Act 1933
122. Cancer Act 1939
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109
Act
Extent of Delegation
123. Accommodation Agencies Act 1953
124. Trading Representations (Disabled
Persons) Act 1958
125. Mock Auctions Act 1961
126. Theft Act 1968
127. Trading Representations (Disabled
Persons) Act 1972
128. Employment Agencies Act 1973
129. Solicitors Act 1974
130. Energy Act 1976
131. Theft Act 1978
132. Forgery and Counterfeiting Act 1981
133. Energy and Conservation Act 1981
134. Intoxication Substances (Supply) act 1985
135. Protection of Children (Tobacco) Act 1986
136. Banking Act 1987
137. Motor Cycle Noise Act 1987
138. Malicious Communications Act 1988
139. Courts and Legal Services Act 1990
140. Children and Young Persons (Protection
from Tobacco) Act 1991
141. Charities Act 1992
142. Knives Act 1997
143. Protection From Harassment Act 1997
144. Tobacco and Advertising and Promotion
Act 2002
145. Communications Act 2003
146. Licensing Act 2003
147. Anti-Social Behaviour Act 2003
148. Clean Neighbourhoods and Environment
Act 2005
Petroleum
149. Petroleum (Consolidation) Act 1928
150. Petroleum (Transfer of Licenses) Act 1926
Poisons
151. Poisons Act 1972
Prices
152. Development of Tourism Act 1969
153. Prices Act 1974
154. Prices Act 1975
Road Traffic
155. Vehicles (Excise) Act 1971
156. Road Traffic (Foreign Vehicles) Act 1972
157. Road Traffic (Consequential Provisions) Act
1988
158. Road Traffic Act 1988
159. Road Traffic Offenders Act 1988
160. Road Traffic Act 1991
Telecommunications
Telecommunications Act 1984
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110
Act
Extent of Delegation
Trade Descriptions
161. Trade Descriptions Act 1968
162. Property Misdescriptions Act 1991
Unsolicited Goods and Services
163. Unsolicited Goods and Services Act 1971
164. Unsolicited Goods and Services
(Amendment) Act 1975
Video Recordings
165. Video Recording Act 1984
166. Video Recordings Act 1993
Weights and Measures
167. Weights and Measures etc. Act 1976
168. Merchant Shipping Act 1979
169. Weights and Measures Act 1985
170. Nationality, Immigration and Asylum Act 2002
Performance and Management of Citizenship
Ceremonies
171. Refuse Disposal (Amenity) Act 1987 and the
To authorise the removal of untaxed vehicles on an
Vehicle Excise and Registration Act 1994
adopted highway under the devolved powers scheme
of the Driver and Vehicle Licensing Agency
172. Pollution Prevention Control Act 1999
To carry out the relevant functions of the Council with
respect to a Part A(2) Installation or mobile plant for
the purpose of achieving a high level of protection of
the environment by reducing emissions into the air,
water and land.
Authority to appoint suitable officers to exercise any
such functions and conferring powers (such as those
specified in Section 108 (4) of the Environment Act
1995) on persons so appointed.
173. Anti-Social Behaviour Act 2003
Authority to authorise an environmental health officer
for the purpose of exercising a statutory function in
relation to pollution of the environment of harm to
human health under Section 40 – closure of noisy
premises.
Authority to authorise suitable officers in writing to
issue fixed penalty notices for graffiti and flyposting
under Section 43.
174.
Clean Neighbourhoods and Environment Act
Authority to authorise suitable officers for the purpose
2005
of exercising a statutory function with respect to
Environmental Health, Trading Standards,
Community Safety, Licensing and Registration.
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111
Act
Extent of Delegation
175. Control of Pollution (Amendment) Act 1989
Authority to authorise suitable officers to demand that
a person produce his, or his employer’s authority for
transporting waste and to search any vehicle that is
being, or has been used for transporting waste and to
carry out tests on anything found and to take
samples away for testing.
176. Marriage Act 1949 (As Amended) The
Strategic Director, The Green and Built Environment
Marriage (Approved Premises) Regulations
1995
(i) To grant, or refuse application for approval of
premises under the above Act or Regulations or
any additional regulation made under the Act.
(ii) To revoke any approval which has been
granted.
(iii) To determine or to increase or decrease the
fees payable for the granting or refusal of
application for the approval of said premises.
(iv) To apply such appropriate conditions to the
approval of premises under the above
regulations.
(v) To determine, and from time to time vary, the
fees, payable for Marriages at premises
approved under the Marriage ()Approved
Premises).
177. Coroners Act 1988
To appoint Coroners under the provisions of the
above legislation.
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112
FUNCTION AUTHORISED
OFFICER
General
36.
Within the provisions of the National Health
Assistant Director (Community Care)
Service and Community Care Act 1990, to
arrange for the purchase and provision of
appropriate care services to those persons
assessed as having needs that fall within
the Council’s agreed priorities, subject
always to Standing Orders and financial
Regulations, the approved policies and
estimates of the Council and the proper
identification of appropriate suppliers.
37.
To exercise the functions of the Council
Assistant Director (Children &
under Part VII of the Children Act 1989 in
Families)
relation to the provision of accommodation
by voluntary organisations.
38.
To exercise the powers conferred on the
Assistant Director (Children &
Council under Part IX of the Children Act
Families)
1989 in respect of arrangements for the care
of privately fostered children.
39.
To make decisions to exempt persons from
Assistant Director (Children &
the usual fostering limit in accordance with
Families)
paragraph 4 of Schedule 7 of the Children
Act 1989.
Guardians ad Litem, Representation,
Registration & Inspection
40.
Subject to the joint arrangements
Assistant Director (Children &
established with the other Berkshire Unitary
Families)
Authorities to maintain a Panel of Guardians
ad Litem in accordance with the Guardians
ad Litem & Reporting Officers (Panels)
Regulations 1991.
Home Care Service: Financial Matters
41.
To waive the assessment charges for any
Assistant Director (Business and
services to clients in circumstances where it
Finance Resources)
is essential for the family for social and/or
medical reasons and to record every case
requiring such action in a register to be
provided for this purpose.
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FUNCTION AUTHORISED
OFFICER
Residential Accommodation
42.
To authorise and approve the maintenance
Assistant Director (Community Care)
costs for the admission of any person to any
residential accommodation.
Disability
43.
To authorise the following facilities for any
Assistant Director (Community Care)
registered disabled person, within the
approved budget and within approved
policies:-
(a) Attendance at a centre providing
Assistant Director (Community Care)
appropriate development opportunities.
(b) The provision of special facilities
Assistant Director (Community Care)
(c) Minor alterations and adaptations to
Assistant Director (Community Care)
premises including the installation of
appropriate equipment, the works to be
supervised by the appropriate
professional staff.
(d) Contribute, where assessed as
Assistant Director (Community Care)
appropriate, to the cost of adaptations
to premises where the client is not
eligible for a grant.
44.
(a) To authorise the making of the
Assistant Director (Community Care)
necessary amendment orders
providing for exemption for disabled
car badge holders in accordance with
the Disabled Persons (Badges for
Motor Vehicles) Regulations 1982.
(b) To administer the Council’s scheme for Assistant Director (Community Care)
badges for disabled Officer person as
drivers or passengers.
(c) To issue and recall badges in
Assistant Director (Community Care)
accordance with the Disabled Persons
(Badges for Motor Vehicles)
Regulations 1982.
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114
FUNCTION AUTHORISED
OFFICER
44.
Within the approved policies and estimates
Assistant Director (Community Care)
of the Council to discharge the duties
towards people with disabilities imposed
upon the Council by the National Assistance
Act 1948, the Chronically Sick & disabled
Persons Act 1970 and the Disabled Persons
(Services Consultation and Representation)
Act 1986 and the powers of the Council in
relation to the Community Care (Direct
Payments) Act 1996.
Receivership & Appointees
45.
To act as receiver in all matters in which it is Assistant Director (Finance &
appropriate for an officer of the Council so to Business Resources)
act.
46.
To accept a guardianship application and to
Assistant Director (Community Care)
make an order for discharge of patients
subject to guardianship under the Mental
Health Act 1983.
47.
To appoint officers to act as approved social Assistant Director (Community Care)
workers under the Mental Health Act 1983.
48.
To agree “Places of Safety” under the
Assistant Director (Community Care)
Mental Health Act 1983 with the Police and
the Health Authority.
Carers
49.
Within the approved policies and estimates
Assistant Directors (as appropriate)
of the Council to discharge the powers and
duties towards carers (including young
carers) imposed upon the Council by the
Carers (Recognition & Services) Act 1995.
50.
The Council’s powers and duties under the
Assistant Directors (as appropriate)
Police & Criminal Evidence Act 1994.
Joint Agreement with Health Authority
51.
In formal agreement with the Health
Assistant Director (Commissioning,
Authority within the approved policies and
Quality & Standards) & Assistant
estimates of the Council) to arrange, monitor Director (Financial & Business
and/or manage services as part of a Section Resources).
28A grant.
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115
FUNCTION AUTHORISED
OFFICER
52.
To participate in joint commissioning
Assistant Director (Commissioning,
arrangements in partnership with the Health
Quality & Standards) & Assistant
Authority (or other statutory agencies) as
Director (Financial & Business
approved by the Council.
Resources).
Lettings of Public Buildings and Parks
53.
Arrangements for letting of public
Appropriate Head of Service
buildings/parks within control of Community
& Cultural Services to local and voluntary
organisations for occasional use, in
accordance with approved scales of charges
and Council's general policies.
54.
General management of and authority to
Service Manager
authorise bookings for non core activities.
Licences
55.
Grants of licences for occasional use of
Strategic Director of Community &
parks and public buildings within the control
Cultural Services
of Community & Cultural Services (including
for exhibition) within the general policies
adopted by the Council.
Concessionary Charges for Public Buildings/Parks
56.
Determination of applications for
Appropriate Head of Service
concessionary charges for use of public
buildings/parks within control of Learning
and Cultural Services Directorate. Within
established policy.
Town Square
57. Bookings
of
the Town Square.
Events Manager
58.
To approve the siting of commercial vehicles Events Manager
in the Town Square.
59.
To determine appeals following the refusal
Events Manager
of a booking of the Town Square.
Opening Hours
60.
Fixing of opening and closing dates of public Service Manager
buildings within control of Learning and
Cultural Services Directorate including bank
and public holiday periods.
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116
FUNCTION AUTHORISED
OFFICER
Allotments
61.
Decisions on requests from allotment
Head of Leisure and Resources
associations for permission to erect
additional storage accommodation at their
own expense for member’s use, subject to
compliance with planning legislation.
62.
Routine management of allotment plots in
Head of Leisure and Resources
accordance with Smallholdings and
Allotments Act 1908 and Allotments Act
1922.
Libraries and Information Service
63.
To manage the Library and Information
Head of Libraries, Arts, Heritage and
Service in accordance with the Public
Information
Libraries and Museums Act 1964 (as
amended) and the Local Government and
Housing Act 1989.
64.
To select and/or withdraw individual books
Head of Libraries, Arts, Heritage and
or materials.
Information
Museums and Archives
65.
To determine the policy on the materials and Head of Libraries, Arts, Heritage and
records to be held in any archives
Information
maintained by the Council, other than those
maintained for statutory or similar purposes.
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117
EDUCATION & CHILDREN’S SERVICES
N.B. In respect of the following authorisations to Officers the delegation to
Heads of Service in the Education and Children’s Services Directorate will run
concurrently with the Director except in the case of:
a)
Proper Officer requirements; and
b) Delegations where the right of appeal falls to be determined by the
Director of Education and Children’s Services.
FUNCTION AUTHORISED
OFFICER
1.
Subject to the Education (Determination of
Strategic Director of Education &
Admissions Arrangements) (England)
Children’s Services
Regulations 1999 as amended by the
Education (Determination of Admissions
Arrangements) (Amendment) (England)
Regulations 2002 relating to maintained
schools:
a) Consult annually about admissions
Strategic Director of Education &
arrangements with governing bodies of Children’s Services
admissions authorities of schools.
b) Where there are within year variations
Strategic Director of Education &
to (except in a case where their
Children’s Services
proposed variations fall within any
descriptions of variations prescribed –
see Education (Variations of
Admissions Arrangements) (England)
Regulations 2002) refer the proposed
variations to the adjudicator and notify
the bodies whom it consulted of the
proposed variations. Where the LEA
is the admissions authority for the
school, to consult with the governing
body before making a reference to the
adjudicator.
c) When determining admissions
arrangements for schools for which the
authority is the admissions authority,
include determination of the number of
pupils in each relevant age group that it
is intended to admit to the school in that
year, taking into consideration the
current capacity of the school and its
indicated admission number.
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118
FUNCTION AUTHORISED
OFFICER
d) Where the authority determines an
admission number for a relevant age
group which is lower than the school’s
indicated admission number, the
authority must undertake additional
publication (reg.9 of the 1999
Regulations) of a statutory notice.
2.
To administer arrangements for
Strategic Director of Education &
admissions to nursery schools and classes Children’s Services
in accordance with policies agreed by the
Local Education Authority.
3.
To exercise on behalf of the Authority the
Strategic Director of Education &
power under section 98 of the 1998
Children’s Services
Education Act to give direction to a
governing body that a child be admitted to
a named school within the Authority’s area.
4.
To comply with any requirements made by
Strategic Director of Education &
the Secretary of State to implement a
Children’s Services
scheme for co-ordinated arrangements for
admissions in accordance with section
2002 Education Act, Education (co-
ordination of Admissions Arrangements)
(Primary Schools) (England) Regulations
2002 as amended by the Education (Co-
ordination of Admissions Arrangements)
(Primary Schools) (England) (Amendment)
Regulations 2003, and the Education (co-
ordination of Admissions Arrangements)
(Secondary Schools) (England0
Regulations 2002.
5.
In compliance with the 2002 Education Act
Strategic Director of Education &
(s46), 1998 School Standards and
Children’s Services
Frameworks Act (S.85A), and Education
(Admissions Forum) (England) Regulations
2002, to establish and maintain an
Admissions Forum for its area.
6.
To administer arrangements for the
Strategic Director of Education &
admission of individual pupils to primary
Children’s Services
and secondary schools, including
designated areas and other relevant
factors and to present the case on behalf
of the Authority to admission appeals
panels.
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119
FUNCTION AUTHORISED
OFFICER
School Term Dates
7.
In the case of Local Education Authority,
Strategic Director of Education &
Voluntary Controlled and Special Schools,
Children’s Services
including residential schools, to determine
school term dates after appropriate
consultation.
Name of Schools
8.
To approve the name of a school proposed Strategic Director of Education &
by the governors.
Children’s Services
Attendance at School
9.
To ensure that appropriate transport
Strategic Director of Education &
arrangements are made in accordance
Children’s Services
with the Authority’s policies.
10.
To exercise the powers and duties of the
Strategic Director of Education &
Authority as set out in Section 19 of the
Children’s Services
1996 Education Act in respect of making
arrangements for the provision of suitable
education at school or otherwise for
children of compulsory school are who, by
reason of illness, exclusion from school or
otherwise, may not for any period receive
suitable education unless such
arrangements are made.
11.
To authorise any proceedings necessary to Strategic Director of Education &
enforce any enactment relating to the non
Children’s Services
attendance of pupils at school, or
education other than at school with
reference to the Education Act 1996 and
the Anti-social Behaviour Act 2003.
12.
To undertake the powers and duties of the
Strategic Director of Education &
Authority under Section 36 of the Children
Children’s Services
Act 1989 regarding Education Supervision
Orders.
Curriculum
13.
Under s.79 of the Education Action 2002,
Strategic Director of Education &
to ensure that every school it maintains
Children’s Services
(including nursery schools and nursery
education funded through the LEA) meets
the general requirements for the curriculum
in particular the National Curriculum (which
now includes the Foundation Stage) and
religious worship.
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120
FUNCTION AUTHORISED
OFFICER
14.
To monitor the way in which the
assessments and foundation stage profiles
are being conducted by teachers to ensure
consistency and proper implementation of
the statutory provisions (The Education
(National Curriculum) (Foundation Stage
Profile Assessment Arrangements)
(England) Order 2003).
15.
In accordance with arrangements
Strategic Director of Education &
approved by the Secretary of State under
Children’s Services
the Education Act 1996 (s.409) to
investigate complaints concerning alleged
failures of schools to comply with the
National Curriculum, including
requirements for religious education and
collective worship and the arrangements
for statutory assessment and moderation
of the National Curriculum.
16.
In accordance with s.90 of the 2002
Strategic Director of Education &
Education Act, to determine whether
Children’s Services
applications be made to the Secretary of
State to direct than an LEA maintained
school be authorised to conduct curriculum
experiments outside the National
Curriculum.
17.
To provide on behalf of the Authority any
Strategic Director of Education &
information, which the Secretary of State
Children’s Services
may by regulation require, including
through the Education (School
Performance Information) (England)
Regulations 2001 and the Education (Pupil
Information) (England) Regulations 2000.
Special Educational Needs
18.
To arrange for children to be assessed in
Strategic Director of Education &
accordance with the requirements of the
Children’s Services
Education Act 1996 and the SEN and
Disability Act 2001, to determine the
special educational provision which should
be made for them and to maintain and
review statements of special educational
need in accordance with any regulations
concerning these.
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121
FUNCTION AUTHORISED
OFFICER
19.
To represent the Authority at statutory
Strategic Director of Education &
appeal tribunals in connection with the
Children’s Services
assessment of special educational needs.
20.
To ensure that the requirements of any
Strategic Director of Education &
statutory Codes of Practice, or other
Children’s Services
regulations are complied with.
Staffing
As respects community voluntary controlled or community special schools (including
Nursery Schools)
21.
Strategic Director of Education &
To provide advice to schools at all
Children’s Services
proceedings relating to the selection of a
headteacher, and of other teaching staff
where required
22.
Strategic Director of Education &
To appoint persons selected by
Children’s Services
Governing Bodies to fill vacant posts as
Headteachers, or Deputy Headteachers
in schools, provided they meet all
relevant staff qualifications requirements,
conditions as to health and physical
capacity, and is not subject to direction
under s.142 of the 2002 Education Act
prohibiting him/her from teaching.
23.
Strategic Director of Education &
Where the governing body either Children’s Services
recommends to the LEA or notifies the
LEA that it accepts for appointment any
person nominated by the governors, the
LEA shall appoint that person unless (a)
he or she is to be appointed by the LEA
or governing body otherwise than under a
contract of employment (reg 11(1)) and/or
(b) he or she does not meet school staff
qualification requirements as are
applicable in relation to that appointment
(reg 14(3)).
24.
To nominate persons recommended or
Strategic Director of Education &
accepted for appointment by governing
Children’s Services
bodies to fill other teaching posts in
schools unless the person so
recommended does not meet any staff
qualification or other requirements
relevant to the post.
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122
FUNCTION AUTHORISED
OFFICER
25.
To appoint persons selected by governing Strategic Director of Education &
bodies as their clerks.
Children’s Services
26.
Carry out pre-employment checks on all
Strategic Director of Education &
teaching and non-teaching staff to ensure
Children’s Services
that the Authority does not employ anyone
barred from teaching by the Secretary of
State, in case of teachers that they are
registered with GTC, have qualified
teacher status, and have completed their
induction, plus check for criminal
backgrounds of staff whose posts involve
substantial unsupervised access to
children.
27.
To implement decisions for governing Strategic Director of Education &
bodies of schools relating to the Children’s Services
determination of potential dismissals and
any subsequent appeals against such
dismissals, which are within the Authority’s
powers to determine.
Voluntary aided and foundation schools
28. Where
the
governing
bodies of voluntary
Strategic Director of Education &
aided or foundation schools notifies the
Children’s Services
LEA of the intention to appoint a person to
the post of headteacher or deputy
headteacher the chief education officer will
make written representation within 14 days
if the applicant is not suitable for
appointment.
Schools without delegated budgets
29.
Strategic Director of Education &
In accordance with S.35(7) of the
Children’s Services
Education Act 2002 the arrangement for
staffing of schools without delegated
budgets shall be determined by the LEA.
Federations
30.
Strategic Director of Education &
Apply Staffing Regulations to hard Children’s Services
federated schools in the same way as
other schools, but with reference to the
Federation of Schools (Community,
Schools, Community Special Schools,
Voluntary Controlled Schools and
Maintained Nursery Schools) (England)
Regulations 2003.
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123
FUNCTION AUTHORISED
OFFICER
All Educational Establishments
31.
To exercise powers of the local
Strategic Director of Education &
Education Authority in respect of any
Children’s Services
national recruitment and retention
schemes currently in operation.
32.
To appoint supply teachers from funds
Strategic Director of Education &
held centrally.
Children’s Services
33.
To exercise powers and duties under the Strategic Director of Education &
School Teacher (Appraisal) Regulations
Children’s Services
1991 in respect of headteachers.
Finance
34.
To design and keep under review the
Strategic Director of Education &
Authority’s schemes of delegation in
Children’s Services
accordance with the Authority’s policies
and any statutory requirements.
35.
In accordance with s47A of the 2002
Strategic Director of Education &
Education Act, establish and maintain a
Children’s Services
Schools Forum to advise and/or make
decisions, as prescribed in regulations,
on the distribution of money between
schools and how much should be sent on
certain LEA-wide functions.
36.
In consultation with schools and Schools Strategic Director of Education &
Forum, to determine each school’s Children’s Services
budget share through the development
and implementation of a local Fair
Funding Formula, subject to any statutory
requirements, including reference to the
Financing of Maintained Schools
(England) Regulation 2003
37.
Set school budgets in accordance with Strategic Director of Education &
regulations, including those relating to Children’s Services
minimum school budgets and
‘passporting’ targets
38.
In accordance with para 66 of sched 7 to
the Local Government Act 2003 submit to
the Secretary of State the proposed
Schools Budget at the end of December
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124
FUNCTION AUTHORISED
OFFICER
39.
To further regulate the delegation of Strategic Director of Education &
budget shares to schools, produce a Children’s Services
financial statement before the beginning
of each financial year (‘the budget
statement’) and after the end of each
financial year (‘the outturn statement’) in
accordance with s.52 of the 1998 Act and
other related regulations
40.
In accordance with the Consistent Strategic Director of Education &
Financial Reporting (England)
Children’s Services
Regulations) 2003 to report to the
Secretary of State each schools’ audit
date by the August following the end of
the financial year.
41.
In consultation with schools and partners, Strategic Director of Education &
develop and implement a Schools’ Children’s Services
Capital Programme, distributing capital
funding to school on the basis of need
and in accordance with any regulations
regarding the use of funding grants
42.
To approve loans for any education Strategic Director of Education &
project within the policy of the Council Children’s Services
which provides for loans.
43.
To determine and authorise the payment Strategic Director of Education &
of boarding awards, grants towards tuition Children’s Services
fees and expenses at schools where fees
are payable, major and further education
awards, maintenance allowances and
tuition fees for correspondence courses
and requests for the refund of grants in
accordance with the policy of the Council.
44.
To determine applications for assistance Strategic Director of Education &
towards travelling expenses from further Children’s Services
education students over the age of 21
who apply on grounds of hardship within
the Council’s approved scheme.
45.
To approve the payments of recoupment
Strategic Director of Education &
charges for pupils and students at out of
Children’s Services
Borough establishments.
46.
To determine applications for financial
Strategic Director of Education &
assistance from staff in accordance with
Children’s Services
any schemes approved by the Council.
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125
FUNCTION AUTHORISED
OFFICER
Transport
47.
To approve the home to school transport
Strategic Director of Education &
policy following consultation as
Children’s Services
appropriate, and to administer home to
school transport.
General
48.
To submit plans/bids that the DfES or other Strategic Director of Education &
Government Directorates may from time to Children’s Services
time require, following appropriate
consultation.
49.
To approve instruments of government for
Strategic Director of Education &
schools.
Children’s Services
50.
To appoint additional governors to schools
Strategic Director of Education &
in special measures.
Children’s Services
Support to Children & Families in their own home
51.
To exercise the powers of the Council
Assistant Director (Children &
under Section 7 of the Children Act 1989 to Families)
report to the Court on the welfare of
children in private proceedings.
52.
To exercise any functions of the Council
Assistant Director (Children &
relating to Orders with respect to children
Families)
in family proceedings under Part II of the
Children Act 1989.
53.
To exercise the powers of the Council
Assistant Director (Children &
under Section 16 of the Children Act 1989
Families)
to provide advice, assistance and
befriending under the terms of a Family
Assistance Order.
54.
To exercise the functions of the Council
Assistant Director (Children &
under Section 17 and Part I of Schedule 2
Families)
of the Children Act 1989 to safeguard and
promote the welfare of children in need
including financial assistance within current
budgetary limits.
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126
FUNCTION AUTHORISED
OFFICER
55.
To make provision for the day-care of pre-
Assistant Director (Children &
school children and provision for out-of-
Families)
school and holiday care and activities as
appropriate in accordance with the duties
and powers of the Council under Section
18 of the Children Act 1989.
56.
To approve arrangements for the financial
Assistant Director (Children &
and other support of young people formerly Families)
looked after by the Council and by others
under Sections 23 & 24 of the Children Act
1989 within current budgetary limits.
57.
To vary the assessment scale in respect of Assistant Director (Children &
financial contribution by a parent or young
Families)
person to any service provided by the
Council under Part III of the Children Act
1989 for reasons affecting the welfare of
the child in question.
58.
To vary or waive the charges for any
Assistant Director (Children &
service provided by the Council under Part
Families)
III of the children Act 1989 where failure to
do so would adversely affect the welfare of
the child in question.
Child Protection
59.
To exercise the functions of the Council in
Assistant Director (Children &
relation to the duty to make investigations
Families)
as necessary to decide whether action
should be taken to safeguard or promote
the welfare of children in accordance with
Section 47 of the Children Act 1989.
60.
Take such action as is necessary under
Assistant Director (Children &
Section 31 of the Children Act 1989 to
Families)
bring a child or young person before a
Court where there are grounds for bringing
care proceedings.
61.
To present an application to a Court for the Assistant Director (Children &
variation or discharge of any care order or
Families)
supervision order in accordance with
Section 39 of the Children Act 1989.
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127
FUNCTION AUTHORISED
OFFICER
62.
To present an application to a Court for a
Assistant Director (Children & Families)
Child Assessment Order, an Emergency
Protection Order or a Recovery Order
under Part V of the Children Act 1989.
Accommodation, Care, Fostering & Adoption
63.
To provide accommodation for children in Assistant Director (Children & Families)
need in pursuance of the Council’s duty
under Section 20 to 23 of the Children Act
1989.
64.
To make provision for the
Assistant Director (Children & Families)
accommodation of children in secure
accommodation in accordance with
Section 25 of the Children Act 1989.
65.
To exercise the functions of the Council
Assistant Director (Children & Families)
to undertake parental responsibility for
children who are the subject of Care
Orders and to make arrangements for
reasonable contact with parents and
others in accordance with Sections 33 &
34 of the Children Act 1989.
66.
To allow children the subject of a care
Assistant Director (Children & Families)
order to reside at home in accordance
with Section 23 (5) of the Children Act
1989, subject to the Accommodation with
Parents Regulations 1991.
67.
To make contributions towards the
Assistant Director (Children & Families)
maintenance of children placed with a
person as a result of a Residence Order
in accordance with Paragraph 15 of
Schedule 1 of the Children Act 1989.
68.
To approve payment of the legal
Assistant Director (Children & Families)
expenses of applicants for a Residence
Order or other Section 8 Orders in
respect of children in care to the extent
that they are not met by Legal Aid.
69.
To consent to a child, subject to a care
Assistant Director (Children & Families)
order, being known by a new surname,
subject to the requirements of Section 33
of the Children Act 1989.
Part 3 – Responsibility for Functions
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128
FUNCTION AUTHORISED
OFFICER
70.
To appoint an independent visitor for a
Assistant Director (Children & Families)
child where appropriate in accordance
with paragraph 17 of Schedule 2 of the
Children Act 1989.
71.
To guarantee apprenticeship and similar
Assistant Director (Children & Families)
deeds under paragraph 18 of Schedule 2
of the Children Act 1989.
72.
To give consent to the marriage of a
Assistant Director (Children & Families)
young person in care pursuant to Section
3 of the Marriage Act 1949 as amended
by the Family Law Reform Act 1969.
73.
To approve and sign applications for
Assistant Director (Children & Families)
passports for children and young persons
in the care of the Council.
74.
To arrange for a child in care to live
Assistant Director (Children & Families)
abroad subject to the approval of a Court
in accordance with paragraph 19 of
Schedule 2 of the Children Act 1989, and
to prepare a child to cease to be looked
after in accordance with paragraph 19 of
Schedule 2 of the children Act 1989.
75.
To approve the applications of children
Assistant Director (Children & Families)
and young persons in the care of the
Council who wish to join HM Forces.
76.
To exercise the powers of the Council
Assistant Director (Children & Families)
under paragraph 20 of Schedule 2 of the
Children Act 1989 in relation to the death
of children looked after by local
authorities.
77.
To exercise the functions of the Council
Assistant Director (Children & Families)
under Part VI of the Children Act 1989 in
relation to the provision of
accommodation for children in community
homes.
78.
To arrange interest free loans to foster
Assistant Director (Children & Families)
parents to provide accommodation for
sibling groups to extending their present
homes or to purchase larger homes, the
amount of the outstanding loan to be
reduced by way of a special allowance for
as long as they care for foster children.
Part 3 – Responsibility for Functions
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129
FUNCTION AUTHORISED
OFFICER
79.
To approve the institution of adoption
Assistant Director (Children & Families)
proceedings by foster parents.
80.
To set up an adoption panel in
Assistant Director (Children & Families)
accordance with Section 56 of the
Adoption Agencies Regulations 1997 and
to make such decisions and notifications
as to the adoption of children as are
specified in those regulations.
81.
To approve the payment of the legal
Assistant Director (Children & Families)
expenses of prospective adoptive parents
for children who are being placed for
adoption by the Council as an Adoption
Agency.
82.
To grant allowances to persons who have Assistant Director (Children & Families)
adopted children in accordance with
Section 57 of the Adoption Act 1976 and
regulations which may be issued by the
Secretary of State.
83.
To take such action as may be necessary Assistant Director (Children & Families)
to implement the payment of the various
foster care allowances for the time being
approved by the Council within current
budgetary limits, and in consultation with
the Head of Finance to increase the
allowances annually in accordance with
the scales recommended by the National
Foster Care Association.
84.
To sanction payment of the cost of the
Assistant Director (Children & Families)
initial clothing and equipment required by
children looked after by the Council who
are placed in boarding schools and other
establishments within current budgetary
limits.
85.
To approve applications to go on school
Assistant Director (Children & Families)
expeditions, including expeditions abroad,
of children looked after by the Council
including expenditure on equipment and
pocket money within current budgetary
limits.
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130
FUNCTION AUTHORISED
OFFICER
86.
To make ex gratia payments in respect of
Assistant Director (Children &
claims not exceeding £1,000 in respect of
Families)
damage or injury resulting from the actions
of clients looked after by the Council.
87.
To make payments to promote contact
Assistant Director (Children &
between parents and children looked after
Families)
by the Council in accordance with
paragraph 16 of Schedule 2 of the Children
Act 1989.
88.
To exercise the powers of the Council
Assistant Director (Children &
under Part III of Schedule 2 of the Children Families)
Act 1989 relating to contributions towards
the maintenance of children looked after by
local authorities.
89.
To assess the contributions to be paid
Assistant Director (Children &
towards board and lodging by working
Families)
children in accordance with the currently
agreed formulae, provided that the amount
remaining for weekly personal pocket
money and clothing allowance should not
be less than the amount current approved
under the payment of foster care
allowances.
90.
To waive charges or make additional
Assistant Director (Children &
allowances where the child has exceptional Families)
circumstances, such as apprenticeship and
heavy travelling expenses.
91.
To increase the contribution of children in
Assistant Director (Children &
lodgings in appropriate circumstances in
Families)
order to help to assimilate the heavier
costs of lodgings after leaving care.
92.
To make payment for the fees and
Assistant Director (Children &
expenses of individual members of the
Families)
Panel in accordance with the regulations.
Part 3 – Responsibility for Functions
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131
FUNCTION AUTHORISED
OFFICER
Complaints
93.
To set up arrangements for the hearing of
Strategic Director of Education &
representations and complaints in
Children’s Services and Strategic
accordance with Section 26 of the Children Director of Community and Cultural
Act 1989 and the National Health Service
Services
& Community Care Act 1990 and to
respond to and determine responses to
recommendations of complaint review
panels including application of financial
redress, as considered appropriate within
the framework of the Council’s policy on
remedies to complaints, financial
regulations and where necessary in
consultation with the Monitoring Officer.
94.
To exercise the functions of the Council
Strategic Director of Education &
under Sections 85 & 86 of the Children Act Children’s Services
1989 in relation to children accommodation
by health and education authorities or in
residential care homes or mental nursing
homes.
Part 3 – Responsibility for Functions
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132
PROPER OFFICER APPOINTMENTS
Various Acts of Parliament require certain statutory functions to be performed by an
Officer specified by the council. It is open to each Council to decide which of its Officers
should be designated as the “Proper Officer” for the particular function in question.
Where functions are delegated to specific named officers, the same powers and duties
shall be exercised by any subsequent post which incorporates the relevant powers and
duties of the post detailed below.
1.
ALL DIRECTORS
Act
Function
Deputy
Local Government Act 1972 –
Authentication of documents Appropriate Assistant
Section 234 (1) and (2)
prepared within his/her
Director
Department.
Local Government Act 1972 –
Deposit of Documents
Appropriate Assistant
Section 225(1)
Director.
Local Government (Access to
Compilation of lists of
Appropriate Assistant
Information) Act 1985, Section
background papers in
Director.
100D(1)(a)
reports produced by them
and production of the
papers themselves.
2.
CHIEF EXECUTIVE
(a)
any reference in any enactment passed before or during the 1971/72
session of Parliament other than the Local Government Act 1972 or in
any instrument made before 26th October, 1972, to the Clerk of a
Council or the Town Clerk of a Borough which, by virtue of any
provision of the said Act, is to be construed as a reference to the Proper
Officer of the Council;
(b)
any reference in any local statutory provision to the Clerk of a specified
Council or the Town Clerk of a specified Borough which is to be
construed as a reference to the Proper Officer of the Council;
(c)
any amendment, re-enactment or statutory substitution of any of the
matters detailed in these provisions insofar as an Officer of the Council
remains under a duty to perform the same or similar tasks.
(d)
the following provisions:
(e)
where a “Proper Officer” function has not been specified by the Council
to an Officer then in default of such appointment the Chief Executive
shall be deemed to be the “Proper Officer”.
Part 3 – Responsibility for Functions
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133
In the Local Government Act 1972:
Section
Function
Deputy
83
Witness and receipt of declarations of
Strategic Director of
acceptance of office.
Law & Corporate
Governance.
84
Receipt of Resignation of Office.
-
88(2)
Convening of meeting of Council to fill casual
-
vacancy in the office of Chairman.
210(6) & (7)
Charity functions of holders of offices with
-
existing authorities transferred to holders of
equivalent office with new authorities or, if
there is no such office, to the Proper Officer.
Schedule 12,
Signature of summonses to Council meeting.
-
Paragraph 4(2)(b)
3.
STRATEGIC DIRECTOR OF LAW & CORPORATE GOVERNANCE
In the Local Government Act 1972:
Section
Function
Deputy
89(1)(b)
Receipt of Notice of casual vacancy from two
Assistant Director
Local Government Electors.
(Democratic
Services)
Assistant Director
191
Functions with respect to ordnance survey:
Transport and
Planning
Assistant Director
(a)
Any reference in any enactment passed
Transport and
before or during the 1971/72 session of
Planning
Parliament other than the Local Government
Act 1972, or in any instrument made before
26th October 1972 to the Engineer and
Surveyor of a Council or the Borough
Engineer and Surveyor of a borough which,
by virtue of any provision of the said Act, is to
be construed as a reference to the Proper
Officer of the Council.
(b)
Any reference in any local statutory provision
Assistant Director
to the Borough Engineer and Surveyor of a
Transport and
specified Council or the Borough Engineer
Planning
and Surveyor of a specified Borough which is
to be construed as a reference to the Proper
Officer of the Council.
Part 3 – Responsibility for Functions
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134
Section
Function
Deputy
(c)
Any amendment, re-enactment or statutory
substitution of any of the matters detailed in
these provisions insofar as an Officer of the
Council remains under a duty to perform the
same or similar tasks.
229(5)
Certification of photographic copies of
Assistant Director
documents in legal proceedings.
(Legal Services)
236(9)
Sending of copies of By-Laws for Parish
Assistant Director
Records
(Legal
Services)
238
Certification of By-Laws.
Assistant Director
(Legal
Services)
In the Local Land Charges Act 1975:
Section
Function
Deputy
The Whole Act
To act on Local Land Charges Register
-
In the Representation of the People Act 1983:
Section
Function
Deputy
The Whole Act
To act as an Electoral Registration Officer Assistant
Director
(Democratic
Services)
35
(Acting) Returning Officer for Parliamentary
Assistant Director
Borough & Parish Elections
(Democratic
Services)
81
Receipt & Deposit of Election Expenses
Electoral Services
Manager
82
Declarations as to Expenses
Electoral Services
Manager
Rule 44 of the
Receipt of Notice of Persons Elected
Electoral Services
Local Elections
Manager
(Principal Areas)
& (Parish &
Community)
Rules 1986
Rules 46 & 48 of
Receipt, retention and disposal of election
Electoral Services
the Local Election documents.
Manager
(Principal Areas)
&(Parish &
Community)
Rules 1986
Part 3 – Responsibility for Functions
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135
In the Sheriff’s Act 1887:
6(3) Receipt, enrolling and keeping of warrant of appointment of High Sheriff.
4.
ASSISTANT DIRECTOR (DEMOCRATIC SERVICES)
In the Local Government Act 1972:
Section
Function
Deputy
100 B (2)
Exclusion of confidential reports from copies
Committee Team
of reports made open to inspection by public.
Manager
100 B (2)
Circulation of reports and agenda.
Committee Team
Manager
100 B (7)
Supply of papers to the Press.
Committee Team
Manager
100 C (2)
Production of record of confidential
Committee Team
proceedings (Minutes)
Manager
100 F
Members’ Right to Papers
Committee Team
Manager
248
Keeping of Roll of Honorary Freemen
Committee Team
Manager
Schedule 14
Certification of Resolution for Legal
Committee Team
Para. 25(7)
Proceedings.
Manager
5.
STRATEGIC DIRECTOR OF FINANCE AND PROPERTY
(a)
Any reference in any enactment passed before or during the 1971/72
session of Parliament other than the Local Government Act 1972 or in
any instrument made before 26th October, 1972, to the Treasurer of a
Council or the borough Treasurer of a Borough which, by virtue of any
provision of the said Act, is to be construed as a reference to the Proper
Officer of the Council;
(b)
Any reference in any local statutory provision to the Treasurer of a
specified Council or the Borough Treasurer of a specified Borough
which is to be construed as a reference to the Proper Officer of the
Council;
(c)
Any amendment, re-enactment or statutory substitution of any of the
matters detailed in these provisions insofar as an Officer of the Council
remains under a duty to perform the same or similar tasks.
(d)
The following provisions, namely:-
Part 3 – Responsibility for Functions
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136
In the Local Government Act 1972:
Section
Function
Deputy
115 (2)
Receipt of money due from Officers
146(1)(a) & (b) Declaration and Certificates with regard to
securities.
151
Administration of the Council’s financial affairs.
In the Local Government Finance Act 1988:
Section
Function
Deputy
26
Community Charge Registration Officer
6
Officer responsible for financial administration of
certain authorities.
114
Reports on financial administration.
6.
ASSISTANT DIRECTOR (TRANSPORT & PLANNING)
In the Local Government Act 1972:
Section
Function
Deputy
191
Functions with respect to ordnance survey
Head of Planning
Policy
18
Passing Plans – Building over Sewers
Head of Building
Control
77
Dangerous Buildings & Structures.
Head of Building
Control
36(1)
Removal or alteration of work in order to comply
Head of Building
with Building Regulations
Control
32
Lapse of deposit of plans
10 Relaxation
(Advertisement)
Head of Building
Control
8
Relaxation
Head of Building
Control
78
Dangerous buildings and structures –
Head of Building
Emergency measures.
Control
Schedule 16.
Receipt or deposit of lists of Protected Buildings
Para. 18
Part 3 – Responsibility for Functions
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137
In the Towns Improvement Clause Act 1874/
In the Public Health Act 1985:
Street Numbering Certificates
The Whole Acts.
In the Road Traffic Regulation Act 1984:
Section
Function
Deputy
Head of Transport
99(3)
Notice served on owner of the land
Development
Head of Transport
65
Placing of traffic signs
Development
In the Highways Act 1980:
Section
Function
Deputy
139
Deposit of Builders’ skips
Head of Highways
156
Statutory Undertakers: Restriction of breaking up
Head of Highways
321
Authentication of Documents
Head of Highways
154
Overhanging Vegetation
Head of Highways
220
Notice requiring deposit or security
Head of Highways
Part XI
Making up of private streets.
Head of Highways
7.
INTERIM HEAD OF PUBLIC PROTECTION
(a)
Any reference in any enactment passed before or during the 1971/72
session of Parliament other than the Local Government Act 1972 or in
any instrument made before 26th October, 1972, to the Chief Public
Health Inspector of a Council or the Chief Public Health Inspector of a
Borough which by virtue of any provision of the said Act, is to be
construed as a reference to the Proper Officer of the Council.
(b)
Any reference in any local statutory provision to the Chief Public Health
Inspector of a specified Council or the Chief Public Health Inspector of
a specified Borough which is to be construed as a reference to the
Proper Officer of the Council.
(c)
Any amendment, re-enactment or statutory substitution of any of the
matters detailed in these provisions insofar as an Officer of the council
remains under a duty to perform the same or similar tasks.
Part 3 – Responsibility for Functions
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138
(c) The following provisions, namely:
In the Public Health Act 1936:
Section
Function
Deputy
Head of
79
Power to require removal of noxious matter
Neighbourhood
Services
Head of
84
Cleansing of disinfection of filthy or verminous
Neighbourhood
articles.
Services
Head of
85
Cleansing of verminous persons and their
Neighbourhood
clothing.
Services
Head of
343(1)
Definition – authorisation of officers of the local
Neighbourhood
authority.
Services
In the Public Health Act 1961:
Section
Function
Deputy
Head of
S.17 (as
Power to remedy stopped-up drains.
Neighbourhood
amended by
Services
S.27 of the
Local
Government
(Miscellaneous
Provisions) Act
1982
Head of
37
Prohibition of sale of verminous articles.
Neighbourhood
Services
In the Housing Act 1985:
Section
Function
Deputy
Assistant Director
606
Reports on unfit houses and clearance areas
(Housing Strategy
and Renewal)
Part 3 – Responsibility for Functions
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139
In the Public Health (Control of Diseases) Act 1984:
Section
Function
Deputy
Head of
11
Cases of notifiable disease and food poisoning
Neighbourhood
to be reported.
Services
Head of
18
Information to be furnished by occupier in case
Neighbourhood
of notifiable disease or food poisoning.
Services
Head of
20
Stopping work to prevent spread of disease.
Neighbourhood
Services
Head of
21
Exclusion from school
Neighbourhood
Services
Head of
22
Exclusion of children from places of
Neighbourhood
entertainment or assembly.
Services
Head of
24
Infected articles
Neighbourhood
Services
Head of
29
Letting of house or room
Neighbourhood
Services
Head of
31
Disinfection of premises.
Neighbourhood
Services
Head of
32
Removal of person from infected house
Neighbourhood
Services
Head of
59
Authentication of documents
Neighbourhood
Services
In the Registration Service Act 1953:
Section
Function
Deputy
The Whole
Proper Officer for registration function
Head of Customer
Act:
Services
Part 3 – Responsibility for Functions
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140
In the Rent Act 1977:
Section
Function
Deputy
The Whole
Exercise of functions under Part IV
Assistant Director
Act:
(Housing Strategy
and Renewal)
In the National Assistance Act 1947 and National Assistance (Amendment) Act
1951:
Section
Function
Deputy
47 of the first
Local authority public health responsibilities
Head of Public
Act
regarding the process of removing into care
Protection Services
someone who is either suffering from a chronic
1 of the
illness, or is living in insanitary conditions; is
second Act
unable to look after himself; and removal is
necessary in the person’s own interest or to
prevent injury or serious nuisance to others.
8.
DIRECTOR OF COMMUNITY AND CULTURAL SERVICES
In the Small Holdings & Allotments Act 1908:
Section
Function
Deputy
AD (Cultural
28
Making of rules for the regulation of allotments
Services)
AD (Cultural
30
Recovery of rent and possession of allotments
Services)
AD (Cultural
1
Determination of tenancies of allotments
Services)
9.
STRATEGIC DIRECTOR OF COMMUNITY AND CULTURAL SERVICES
In the Housing Act 1957:
Section
Function
Deputy
Head of
Part V
Service of Notices to Quit where rent is more
Neighbourhood
than four weeks in arrears
Housing
In the Caravan Sites Act 1968:
Section
Function
Deputy
2
Service of Notices to Quit
Part 3 – Responsibility for Functions
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141
10.
CONSULTANT IN COMMUNICABLE DISEASE CONTROL
The Consultant in Communicable Disease Control for the Health Protection
Agency, is appointed Consultant in Communicable Disease Control and
“Proper Officer” for the following purposes:-
(i)
Any reference in any enactment passed before or during the 1971/72
session of Parliament other than the Local government Act 1972 or in
any instrument made before 26th October, 1972 to the Medical Officer
of Health of a Borough which, by virtue of any provision of the said Act,
is to be construed as a reference to the Proper Officer of the Council;
(ii)
Any reference in any local statutory provision to the Medical Officer of
Health of a specified Council or the Medical Officer of Health of a
specified Borough which is to be construed as a reference to the Proper
Officer of the Council;
(iii)
The following provisions namely:-
In the Public Health (Control of Diseases) Act 1984:
Section
Function
Deputy
36 Medical
examination
of group of persons
CCDC
40
Medical examination of inmates of common lodging-
CCDC
house
42
Closure of common lodging-house
Head of Public
Protection Services
43
Person dying in hospital
CCDC
48
Removal of body to mortuary
CCDC
59
Authentication of documents
CCDC
In the Vaccination Act 1867:
Section
Function
Deputy
22
Vaccination and immunisation and certification
CCDC
thereof.
Part 3 – Responsibility for Functions
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142
11.
OTHER STATUTORY APPOINTMENTS
In the Local Government & Housing Act 1989:
Section
Function
Designation
Deputy
4
Head of Paid Service
Chief Executive
Strategic Director of
Law & Corporate
Governance.
5
Monitoring Officer
Strategic Director
Assistant Director
of Law and
(Legal Services).
Corporate
Governance.
In the Representation of the People Acts 1983 & 1985:
Section
Function
Designation
Deputy
35
(Acting) Returning Officer
Strategic Director
Assistant Director
of Law and
(Democratic
Corporate
Services)
Governance.
In the Regulation of Investigatory Powers Act 2000
28 & 29
Authorisation of covert
Head of
surveillance and/or the use of
Revenues,
covert human intelligence
Benefits and
source
Business Services
Strategic
Director
The Green and
Built Environment
Strategic
Director
of Finance and
Property
Strategic
Director
of Human
Resources
Assistant
Director
(Legal Services)
Part 3 – Responsibility for Functions
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143
CABINET PORTFOLIOS
Commissioners Portfolios
Leader
Overall policy and strategy direction
Organisational Development/Human Resources
Overall corporate/operational/performance management
Heart of Slough (
Secondary responsibility: Commissioner for
Planning/Transportation/Legal and Democratic Services)
Communications (
Secondary responsibility Commissioner for
Planning/Transportation/Legal and Democratic Services and Commissioner for Education
and Children’s Services)
Housing
Housing Strategy and Renewal (including private sector housing)
Neighbourhood Housing (allocation/management of Council housing stock)
Tenant Services
One Stop Shop/1st phases Service Centre (
secondary responsibility: Commissioner for
Resources)
Care Line
Benefits/Council Tax Service (
Secondary responsibility Commissioner for Social Care and
Social and Economic Inclusion linked to Social Inclusion agenda)
Resident Participation
Homelessness
Asylum Seekers/Refugees
Public Protection
Environmental Services and Street scene
Refuse collection
Waste management
Recycling
Grounds maintenance
Food Safety and Health and Safety at Work
Public Health
Trading Standards
Consumer protection
Air Quality and Contaminated Land
Licensing (
secondary responsibility: Commissioner
for
Planning/Transportation/Legal and
Democratic Services)
Cemetery, Crematorium, Registrar and Coroner
Part 3 – Responsibility for Functions
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144
Planning/Transportation/Legal and Democratic Services
Planning/Transportation policy, strategy and services
Development Control
Building Control
Highways
Transport
Regeneration
Emergency Planning
Regional Planning
Agenda 21
Legal Services
Local Land Charges
Procurement
Democratic Services
Member Services
Communications (
secondary responsibility)
Social Care and Social and Economic Inclusion
Social and Community Care
Older persons Services
Services for people with disabilities
Services for people with learning disabilities
Services for people with mental health needs
Health links/partnerships (
secondary responsibility: Commissioner for Public Protection)
Social inclusion Oversight and Strategy
Oversight of services to people in need and engaging communities in need
Benefits (
secondary responsibility)
Economic development strategy and action plan (Economic Development is linked to
Social Inclusion agenda)
Adult and community (lifelong learning)
Education and Children’s Services
Co-ordination and overall responsibility for children’s agenda
Strategy, Planning and performance for Children’s services
Raising achievement
LEA Services to schools
Services to Schools and Services to young people needing support
Pupil services and parent support for children with special needs
Children and families services and support
Parenting and family services
Child protection
Adoption and Fostering
Communications (
secondary responsibility)
Part 3 – Responsibility for Functions
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145
Leisure, Cultural and Community Services
Overall co-ordination of cultural services
Leisure, libraries, sports and arts
Community facilities (post age 26 provision)
Parks and open spaces
Equality and community cohesion
Community celebration and faith group involvement in Council planning
Events
Community Information
Young Peoples Services (Youth Service) and Community Safety
Young peoples services (youth service)
Community facilities (under age 26 provision)
Community Safety Strategy (
secondary responsibility: Commissioner for Housing)
Substance Misuse Strategy
Partnership (grants to voluntary sector, regeneration, community capacity building)
(
secondary responsibilities Commissioner for Housing and Commissioner for
Social Services
))
Neighbourhood Wardens
Crime/Disorder/Anti-Social Behaviour
Youth Offending Team Links
Young Peoples Centres/The Foyer
Nai Roshni projects
Resources
Financial Strategy
IT and e-government strategy
Property and asset strategy
Forward Budget Strategy and Council Tax
Valuation Services
Corporate Accounts
Exchequer Services
Efficiency and roll out of Service Centre Strategy
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SLOUGH STANDING ADVISORY COUNCIL ON RELIGIOUS EDUCATION (SACRE)
The SACRE is established in accordance with Section 11 of the Education Reform Act
1988 (as amended by Section 255 of the Education Act 1993) by Slough Borough Council
acting as Local Education Authority.
Membership
1. The Members of the SACRE shall be appointed by the Authority so that they shall
represent the following groups.
Committee 1 – Christian denominations and other religions (12)
The Free Churches (1)
The Black Free Churches (1)
The Roman Catholic Church (1)
Hinduism (1)
Islam (4)
Judaism (1)
Sikhism (2)
Baha’is (1)
Committee 2 – The Church of England (4)
Committee 3 – Associations representing teachers (6)
National Union of Teachers
Professional Association of Teachers
National Association of Head Teachers
Secondary Heads Association
National Association of Schoolmasters/Union of Women Teachers
Association of Teachers and Lecturers
Committee 4 – The Authority (5)
2. Committee 4 shall be subject to the proportionality requirements of the Local
Government and Housing Act 1989.
3. No Member appointed to the Cabinet shall be appointed to the SACRE.
4. The SACRE shall be appointed by the Council.
Terms of Reference
1. In accordance with Section 11 of the Education Reform Act 1988 (as amended by
Section 255 of the Education Act 1993) to advise the Council on such matters
connected with religious worship in schools and the religious education to be given in
accordance with an agreed syllabus as the authority may refer to it or as it may see fit.
To advise, in particular, on methods of teaching, the choice of materials and the
provision of training for teachers.
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2. On application made by a Head Teacher of any Slough school after consultation with
the governing body to consider whether it is appropriate for the requirement for
Christian collective worship to apply in the case of that school, or in the case of any
class or description of pupils at that school. The SACRE shall arrive at its decision and
communicate it to the Head Teacher in accordance with the provisions of Section 12 of
the Education Reform Act 1988.
3. The representative groups on the SACRE other than that representing the authority
may at any time require a review of any agreed syllabus for the time being adopted by
the authority.
4. The SACRE shall each year publish a report on its proceedings and those of its
representative groups, the report to specify any matters on which the SACRE has
given advice to the authority and the reasons for offering that advice.
5. The SACRE shall take any action assigned to it by the authority in relation to the
consideration and disposal of any complaint concerning worship or religious education
in compliance with Section 23 of the Education Reform Act 1988.
SLOUGH SCHOOL ORGANISATION COMMITTEE
This Committee is established under the requirements of the School Standards and
Framework Act 1998.
Membership
1. Membership of the Committee shall consist of:
(a) Representatives of the Local Education Authority (7).
(b) Representatives of School Governors (7).
(c) Representatives of the Church of England (3).
(d) Representatives of the Roman Catholic Church (3).
(e) Representative of the Learning and Skills Council (1).
(f) Representative of the Slough Race Equality Council (Discretionary Group) (1).
2. The LEA’s representatives shall be appointed in accordance with the proportionality
requirements of the Local Government and Housing Act 1989.
3. The Committee shall be appointed by the Council.
4. No Member appointed to the Cabinet shall be appointed to the Committee.
Terms of Reference
1. To consider and approve the Slough Local Education Authority’s School Organisation
Plan.
2. To consider and approve statutory proposals relating to the organisation of school
places in the Slough LEA area including the establishment, alteration and
discontinuance of schools and changes to standard numbers.
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SLOUGH SCHOOL ADMISSIONS FORUM
This Forum is established under the requirements of the Education (Admission Forums)
(England) Regulations 2002.
The ‘core members’ appointed to the Forum shall be as follows:-
Representatives of the Local Education Authority ........................................................ 5
Representatives of the Church of England .......................................................... . up to 3
Representatives of the Roman Catholic Church .................................................. . up to 3
Representatives of Community and Voluntary Controlled Schools ............................ 2
Representatives of Voluntary Aided Schools ................................................................ 2
Representatives of Foundation Schools ..................................................................... 2
Representatives of Parent Governors .......................................................................... 2
Representative of the Slough Race Equality Council .................................................. 1
Representative of the Slough Early Years Partnership ................................................ 1
Terms of Reference
The Forum shall –
(a)
consider how well existing and proposed admission arrangements serve the
interests of children and parents within the area of the authority;
(b)
promote agreement on admission issues:
(c)
consider the comprehensiveness and accessibility of the admission literature and
information for parents, produced by each admission authority within the area of the
Forum;
(d)
consider the effectiveness of the authority’s proposed co-ordinated admission
arrangements;
(e)
consider the means by which admissions processes might be improved and how
actual admissions relate to the admission numbers published;
(f)
monitor the admission of children who arrive in he authority’s area outside a normal
admission round with a view to promoting arrangements for the fair distribution of
such children among local schools, taking account of any preference expressed in
accordance with arrangements made under section 86(1) of the Act;
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(g)
promote the arrangements for children with special educational needs, looked after
children and children who have been excluded from school;
(h)
insofar as not included within sub-paragraphs (a) to (g), consider any admissions
issues arising.
SCHOOL ADMISSION AND EXCLUSION APPEALS PANELS
The Panels are established under the Education Act 1996 to give parents or guardians the
right to appeal respectively against the decision of the Local Education Authority to refuse
admission of a child to their preferred school or to permanently exclude a child from a
school within the LEA’s area.
Membership
A pool of independent lay and teacher members is established to hear these appeals.
Terms of Reference
As set out in the Education Act 1996 (Schedules 33 and 16 respectively).
JOINT STRATEGIC PLANNING COMMITTEE
The purpose of the Committee is to prepare the Berkshire Structure Plan and associated
strategic policy guidance on behalf of the six Berkshire Unitary Authorities.
Membership
One voting and one observer Member from each of the six Berkshire Unitary Authorities.
SLOUGH LOCAL ACCESS FORUM (LAF)
The LAF is a statutory advisory forum. It provides advice and guidance to the Borough
Council and the Countryside Agency on ways in which the area can be made more
accessible and enjoyable for open-air recreation while having regard to social, economic
and environmental interests.
Membership of the LAF
The LAF consists of no fewer than 10 and no more than 22 members.
A reasonable balance between the number of members who represent the interests of
users and those who represent landowners will be maintained.
Members will act in the best interests of the people of Slough, and not through individual
interest agendas.
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A Chairperson and Vice-chairperson will be elected by the LAF from amongst those
people appointed to be members. Their terms of office will be decided by the LAF, with a
limit provided by the length of time that they were appointed to serve as members.
LAF members will be appointed by an appointments panel convened by the Borough
Council. The panel will assess if candidates have sufficient experience of countryside
access issues within Slough to be able to make an informed and constructive contribution
to improving access provision.
Membership of the LAF will be regularly reviewed by the Borough Council, with formal
reviews every 3 years. Each appointment of a member shall be for a period of 1 to 3
years, with the option of renewal on expiry in each case.
Role and responsibilities of the LAF
To advise relevant organisations, especially the Borough Council, on the
improvement of public access to land in the area for the purposes of open-air
recreation and enjoyment. In particular, to ensure that such advice:
• sets public rights of way and access to open countryside in a broad context,
integrating provision for all forms of open-air recreation, transport, tourism,
health and public information;
• considers provision for all users, and reflects the needs of local people;
• addresses the co-ordinated use of resources to deliver integrated recreational
and access provision and management
• has regard to the needs of land management, the conservation of flora, fauna
and geological and physiographical features, and government advice.
Specifically, the LAF will:
Work to improve the public rights of way network by:
• commenting on proposals to change the network, where appropriate;
• commenting on the extent to which the network meets the present and likely future
needs of the public;
• assisting with the production of the Borough’s Rights of Way Improvement Plan;
• evaluating the results of public consultation on the draft Plan and any significant
issues arising from it;
• commenting on any action plans that follow from the Improvement Plan and
assisting with their implementation.
Assist with the implementation, management and review of the statutory right of
open access to the countryside by providing advice to the Borough Council and the
Countryside Agency.
Comment on national and local consultation documents relating to public rights of
way or access to open countryside.
Provide input into relevant strategies and plans being developed by the Borough
Council, such as the Community Strategy, Local Transport Plan, Local Plan,
Walking Strategy, Cycling Strategy etc.
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Liaise with neighbouring LAFs, and groups and agencies with an interest in access
to land within the Borough, on matters of shared interest.
The LAF will work to:
Develop a constructive and inclusive approach to the improvement of recreational
access for the residents of and visitors to Slough.
Respect local circumstances and different interests while operating within national
guidance.
Engage in constructive debate and seek consensus wherever possible; where this
is not possible, make clear the nature of differing views and suggest how they might
be resolved.
Seek specialist advice where needed and appropriate.
LAF meetings are open to the public, subject to powers of exclusion to prevent or
suppress disorderly conduct or other misbehaviour, and advertised in advance.
Agendas and papers for the meetings will be available to the public at least 3 clear
days before each meeting, except that when the meeting is convened at shorter
notice, the agenda and papers will be open for inspection from the time that the
meeting is convened.
SOCIAL SERVICES COMPLAINTS REVIEW PANEL
The Panel is required under the provisions of the NHS and Community Care Act 1990 and
Children Act 1989.
Membership
The Panel comprises three people – two independent persons (one of whom chairs the
Panel) and one Member of the Council.
The Council appoints named deputies for the Council Member on the Panel.
Terms of Reference
To consider and make recommendations to the Director of Social Services in accordance
with the provisions of National Health Service and Community Care Act 1990 and Children
Act 1989 in respect of representations and complaints about the discharge or failure to
discharge any Social Services function.
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Part 4
Procedure Rules
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149
Part 4.1
Council Procedure Rules
CONTENTS
Rule No.
1
Annual meeting of the Council
2
Ordinary meetings
3
Extraordinary meetings
4
Time and place of meetings
5
Notice of and summons to meetings
6
Chair of meeting
7
Quorum
8
Duration of meeting
9
Questions by the public
10
Questions by members
11
Petitions
12
Complaints about Members or Officers’ Conduct and/or Performance
13
Cabinet & Committee Recommendations/Minutes
14
Motions on notice
15
Motions without notice
16
Rules of debate
17
State of Borough debate
18
Previous decisions and motions
19
Voting
20
Minutes
21
Record of attendance
22
Exclusion of public
23
Members’ conduct
24
Disturbance by public
25
Photographs or Recordings
26
Smoking Robes Food and Drink
27
Suspension and amendment of Council Procedure Rules
28
Appointment of Deputies
29 Council
in
Committee
30
Attendance of Non Members at Cabinet/Committees/Sub-Committees
31
Appointment of Panels/Working Parties
32
Application to Cabinet, Committees and Sub-Committees
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1.
ANNUAL MEETING OF THE COUNCIL
1.1
Timing and business
In a year when there is an ordinary election of Members, the annual meeting will
take place within 21 days of the retirement of the outgoing Members. 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 Mayor of the Council is not present;
(ii) elect the Mayor of the Council;
(iii) elect the Deputy Mayor of the Council;
(iv) approve the minutes of the last meeting;
(v) receive any declarations of interest from Members;
(vi) receive any announcements from the Mayor and/or Head of the Paid
Service;
(vii) elect the Leader of the Council;
(viii) agree the number of Members to be appointed to the Executive and
appoint those Members of the cabinet;
(ix) appoint at least 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;
(x) approve a programme of ordinary meetings of the Council for the year;
and
(xi) consider any business set out in the notice convening the meeting.
Only the business specified in the Summons to the Annual meeting shall be
transacted except in the case of business required by law to be done at the
Annual Meeting and other business brought before the meeting which the
Mayor accepts on the grounds of urgency.
1.2
Appointment of Members to Committees and Outside Bodies
At the annual meeting, the Council will:
(i) decide which committees to establish for the municipal year;
(ii) decide the size and terms of reference of those committees;
(iii) decide the allocation of seats and deputies (where appropriate) to political
groups in accordance with the political balance rules;
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(iv) receive nominations of Members to serve on each committee and outside
body; and
(v) appoint to those committees and outside bodies except where
appointment to those bodies has been delegated by the Council.
2. ORDINARY MEETINGS
2.1
Order of Business
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 Mayor and Deputy Mayor are not present;
(ii) approve and sign the minutes of the last meeting;
(iii) receive any declarations of interest from Members;
(iv) receive any announcements from the Mayor or the Head of Paid Service.
(v) receive any petitions under Rule 11.
(vi) answer any questions from Members of the Public under Rule 9
. (vii) answer any questions on Police Authority functions asked under Rule 10.
(viii) deal with any business from the last Council meeting;
(ix) receive reports and recommendations from the Cabinet and the Council’s
Committees and receive questions and answers on any of those reports
(subject to the normal rules of debate) under Rule 12;
(x) receive reports and recommendations about and receive questions and
answers (subject to the normal rules of debate) on the business of joint
arrangements and external organisations under Rule 12;
(xi) deal with any reports from officers of the Council specified in the Council
summons.
(xii) debate the state of the Borough under Rule 16;
(xiii) consider motions in the order in which they have been received under
Rule 13.
(xiv) consider any other business specified in the summons to the meeting,
including consideration of proposals from the Cabinet in relation to the
Council’s budget and policy framework and reports of the Scrutiny and
Overview Committee/Sub-Committee for debate.
(xv) answer any questions from Elected Members asked under Rule 10.
(xvi) to authorise the sealing of documents as necessary.
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Only the business specified in the summons of the meeting shall be transacted
at an ordinary meeting of the Council.
2.2
Variations
(a) No variations shall be made as regards (i) to (iv) above.
(b) The Mayor may, with the consent of the Council, vary the order of
business without discussion.
2.3 Any Member may request the Mayor to exercise the above discretion with the
consent of the Council and shall have the right to explain for no more than one
minute his/her reason for wishing to vary the order of business.
3. EXTRAORDINARY MEETINGS
3.1
Calling extraordinary meetings
Those listed below may request the Assistant Director (Democratic Services) to
call Council meetings in addition to ordinary meetings:
(i) the Council by resolution;
(ii)
the Mayor of the Council;
(iii) The
Chief
Executive;
(iv) the Monitoring Officer; and
(v) any five Members of the Council if they have signed a requisition
presented to the Mayor of the Council and he/she has refused to call a
meeting or has failed to call a meeting within seven days of the
presentation of the requisition.
Only the business specified in the summons may be transacted at an
extraordinary meeting of the Council.
3.2
Business
Any requisition shall specify the business to be transacted at the Extraordinary
Meeting. The Agenda shall specify the business to be transacted at the
Meeting and no other business shall be transacted at that Meeting.
Where the next meeting of the Council is an Extraordinary Meeting called under
paragraph 3 of Schedule 12 to the Local Government Act 1972, the Minutes of
the last meeting of the Council shall be put to the next ordinary meeting of the
Council.
4.
DATE, TIME AND PLACE OF MEETINGS
The Mayor, together with the Chief Executive may adjust the dates, place and
time of Council meetings
.
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5.
NOTICE OF AND SUMMONS TO MEETINGS
The Chief Executive will give notice to the public of the time and place of any
meeting of the Council in accordance with the Access to Information Rules. At
least five clear days before a meeting, the Chief Executive will send a summons
signed by him or 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.
6.
CHAIR OF MEETING
The person presiding at the meeting may exercise any power or duty of the
Mayor. Where these rules apply to Committee and Sub-Committee meetings,
references to the Mayor also include the Chair of Committees and Sub-
Committees.
7.
QUORUM
The quorum of a meeting shall be one quarter of the whole number of
Members. During any meeting if the Mayor or Chair (as the case might be)
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 Mayor/Chair. If he/she does not fix a
date, the remaining business will be considered at the next ordinary meeting.
8.
DURATION OF MEETING
8.1 If the Council has not completed its business by 10.30 p.m. the Mayor will stand
up and move that the remainder of the business shall be dealt with under either
Rule 8.2 or Rule 8.3. The motion shall be voted upon without debate.
8.2 That the Council resolve to continue past 10.30 p.m. to complete all or part of its
business as specified by the Mayor. The business not dealt with under this
Rule 8.2 shall be dealt with under Rule 8.3.
8.3 That the remaining business be completed in accordance with the following
procedure:
(i) recommendations
of
Committees/Cabinet shall be put to the meeting. If
any are opposed the meeting shall stand adjourned to the following
Thursday at 7.00 pm unless otherwise resolved;
(ii) any minutes of proceedings of committees not yet received shall be
moved, seconded and received forthwith;
(iii) any motion of which notice was given under Rule 12 shall be formally
moved and seconded and shall stand referred to the Cabinet or
appropriate Committee without discussion for determination;
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(iv) any questions and answers from Members submitted under Rule 10 shall
be noted; and
(v) other formal business, including authority to seal documents shall be dealt
with prior to closure of the meeting.
9.
QUESTIONS BY THE PUBLIC
9.1
General
At an ordinary meeting of the Council a registered elector/resident of the
Borough (not being a Member of the Council) may ask the Leader,
Commissioners, Chairs or Group Leaders questions relating to any policy of the
Council. The time allowed for questions by the public shall not exceed 30
minutes and may be extended at the discretion of the Mayor.
9.2
Order of Questions
Questions will be asked in the order notice of them was received, except that
the Mayor may group together similar questions.
9.3
Notice of Questions
A question may only be asked if notice has been given by delivering it in writing
or by electronic mail to the Assistant Director (Democratic Services) no later
than 5.00 pm on the fifth working day before the day of the meeting. Each
question must give the name and address of the questioner and must name the
Member/Chair to whom it is to be put.
9.4
Number of Questions
At any one meeting no person may submit more than two questions and no
more than two such questions may be asked on behalf of one organisation.
9.5
Scope of Questions
The Assistant Director (Democratic Services) will reject a question if it:
• is not about a matter for which the local authority has a responsibility or
which affects the Borough;
• concerns a matter which could be raised as casework or through the
Council’s complaints procedure or is specific to a particular individual or
their property;
• is defamatory, frivolous or offensive;
• criticises or purports to criticise an employee/officer’s competence and/or
conduct and the employee/officer is identified by name, title or in any other
way
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• is substantially the same as a question which has been put at a meeting of
the Council in the past six months; or
• requires the disclosure of confidential or exempt information.
9.6
Record of Questions
The Assistant Director (Democratic Services) will enter each question in a book
open to public inspection and will immediately send a copy of the question to
the Member/Chair to whom it is to be put. Rejected questions will include
reasons for rejection.
Copies of all questions will be circulated to all Members and will be made
available to the public attending the meeting.
9.7
Asking the Question at the Meeting
The Mayor will invite the questioner to put the question to the Member/Chair
named in the notice. If a questioner who has submitted a written question is
unable to be present the question will be circulated at the meeting and a written
reply sent to the questioner following the meeting.
9.8
Supplemental Question
A questioner who has put a question in person may also put one supplementary
question arising directly out of the original question or reply, without notice to
the Member/Chair who has replied to his or her original question or the reply.
The Mayor may reject a supplementary question on any of the grounds in Rule
9.5 above.
9.9
Written Answers
Any question which cannot be dealt with during public question time, either
because of lack of time or because of the non-attendance of the Member/Chair
to whom it was to be put, will be dealt with by a written answer and shall be
entered in the book referred to in Rule 9.6 above.
9.10
Reference of Question to the Cabinet or a Committee
No discussion will take place on any question, but any Member may move that
a matter raised by a question be referred to the Cabinet or the appropriate
Committee/Sub-Committee. Once seconded, such a motion will be voted on
without discussion.
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NOTE:
That whilst encouraging open and free debate, the Council will not tolerate any
person making defamatory remarks or other unfair and unjustified criticisms of
Officers of the Council
The Council has agreed that
(a) The Assistant Director (Democratic Services) be authorised to reject or require
amendment, at his/her discretion, to written questions submitted to the Council
or to any Committee or Sub-committee of the Council which contain criticisms of
Officers of the Council or that, in his/her view, make defamatory remarks about
individual officer holders.
(b) That any person whose question to a meeting is rejected under this provision or
is required to amend their question by the Assistant Director (Democratic
Services) may appeal that decision to the Council’s Strategic Director of Law and
Corporate Governance.
(c) That the Mayor/Chair of any meeting of the Council, its committees and its sub-
committees will request any person present to desist from making any
defamatory remarks or other unfair or unjustified criticisms of Officers and in the
event of a person so instructed by the Mayor/Chair of the meeting failing to desist
the Chair will instruct that person to remain silent on the matter under discussion
only until such time as they indicate a willingness to comply.
(d) That where an individual fails to comply with that instruction, the Mayor/Chair
may warn the individual that any further interruption will result in their removal
from the meeting whilst the matter in question is under consideration.
(e) Where, in the reasonable opinion of the Mayor/Chair of any meeting of the
Council, its Committees and its Sub-committees, defamatory remarks or other
criticisms of Officers have been made by an individual present, the Mayor/Chair
may require that individual to apologise for any offence their remarks may have
caused before continuing to speak on the matter in question or, if they have been
excluded from the meeting under these provisions, will require an apology for any
offence their remarks may have caused before allowing re-admission to the
meeting.
10.
QUESTIONS BY MEMBERS
10.1
Questions on notice at Full Council
Subject to Rule 10.2, a Member of the Council may ask:
• the
Mayor;
• a
Commissioner;
• the Chair/Vice Chair of any Committee or Sub-Committee;
• the person nominated by the Council to answer on behalf of the Thames
Valley Police Authority;
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One question on any matter (a) which the Council has Statutory powers or
duties or (b) which affects the Borough or (c) on the discharge of the functions
of the Thames Valley Police Authority.
10.2
Notice of Questions
A Member may only ask a question under Rule 10.1 if either:
(a) Notice in writing of the question has been given to the Assistant Director
(Democratic Services) by 5.00 pm on the fifth working day before the
Council
(b) If the question relates to urgent matters, they have the consent of the
Chair to whom the question is to be put and the content of the question is
given to the Assistant Director (Democratic Services) by 12 noon on the
day of the meeting.
10.3
Scope of Questions
The Assistant Director (Democratic Services) will reject a question if it:
•
is not about a matter falling within Rule 10.1 above;
• concerns a matter which could be raised as casework or through the
Council’s complaints procedure or is specific to a particular individual or
their property;
•
is defamatory, frivolous or offensive;
• criticises or purports to criticise an employee/officer’s competence and/or
conduct and the employee/officer is identified by name, title or in any other
way
•
could be regarded as more than one question (ie: consists of multi parts)
•
is substantially the same as a question which has been put at a meeting of
the Council in the past six months; or
•
requires the disclosure of confidential or exempt information.
10.4 Questions shall be tabled in the order in which they are received by the
Assistant Director (Democratic Services) except that, where questions are
submitted from more than one political group or independent Member,
questions will be taken in alternate order from those political groups or
independent Members. Questions shall only be the subject of a written reply
to be tabled at the meeting.
10.5 A Member can submit a supplementary question, in writing, within 10 working
days of the Council meeting at which he/she asked the original question. The
supplementary must relate to the original question and be submitted to the
Commissioner/Member in question who will reply, in writing, within ten working
days of receipt of the supplementary question.
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11.
PETITIONS
11.1
General
Petitions may be received by:
(a) an ordinary meeting of the Council on matters affecting the Borough
and/or its residents/electors or relating to the Council’s powers or duties
but shall not relate to an individual case, applicant for service or employee
(b) the Cabinet, Planning or Licensing Committee provided they relate to
matters affecting applications or other issues within their respective terms
of reference and such matter or issue is not delegated to a Chief Officer or
other officer under the Scheme of Delegation; or
(c) Chief Officers within authority delegated to them.
Once presented, the petition shall not be re-submitted and no new petition with
the same or similar objective shall be accepted for a period of six months from
the date the previous petition was considered and determined unless such new
petition is part of a statutory process.
The Assistant Director (Democratic Services), in consultation with the Mayor or
appropriate Chair (as the case may be) shall decide who should receive a
petition or that it does not comply with this Rule 11.1.
11.2
Submission of Petitions to the Council
Petitions to the Council must be signed by at least 25 registered electors or
residents of the Borough. To assist with verification of their status, each
petitioner must print his/her name and address.
The petition must be submitted to the Assistant Director (Democratic Services)
no later than ten working days before the date of the meeting and at that time of
submission the Petitioners may ask that a deputation representing them attend
the Council meeting.
The Mayor may accept a petition at shorter notice if he/she considers the matter
is urgent.
11.3
Addressing the Council
A deputation shall comprise of not more than 3 people who signed the petition
but they may appoint another person (who may be a Member) to speak on their
behalf.
One petitioner or the appointed spokesperson may address Council for a period
not exceeding 5 minutes. Members of the Council may, for a period not
exceeding 5 minutes, ask questions of any member of the deputation.
If the petition is not dealt with at that Council meeting there will be no debate on
the petition which will then be:
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(a) referred to the Cabinet or appropriate Committee, if it relates to a matter
within their respective terms of reference; or
(b) referred to the appropriate Chief Officer.
Time allowed for the presentation of petitions is limited to 20 minutes and a
maximum of two deputations can be received at any meeting of the Council.
11.4
Submission of Petitions to Cabinet and the Licensing Committee
Petitions must be signed by at least 7 registered electors or residents in respect
of a petition to the Cabinet or Licensing Committee. To assist with verification of
their status, each petitioner must print his/her name and address.
Persons wishing to present a petition to the Cabinet or the Licensing Committee
must notify the Assistant Director (Democratic Services). Any Member or officer
receiving a petition for the Cabinet or Licensing Committee shall forward it to
the Assistant Director (Democratic Services) forthwith and he/she will then send
copies of the petition to the appropriate Cabinet Commissioner, Committee
Chair, Ward Members and Officers and advise those persons and the petition
organiser that the petition will be submitted to the next practicable meeting of
the Cabinet or appropriate Committee. Except in cases of urgency, not less
than 10 working days before the date of the meeting, the petitioners may ask
that a deputation representing the petitioners address the Cabinet or
appropriate Committee.
11.5
Addressing the Cabinet.
Any deputation shall comprise of no more than 3 people who signed the petition
but they may appoint another person (who may be a Member) to speak on their
behalf.
One petitioner or the appointed spokesperson may address the Cabinet or for
up to 10 minutes and Members may ask questions for up to a further 10
minutes.
The subject matter shall not be discussed until the deputation has formally
withdrawn or moved to the public gallery.
11.6
Addressing the Licensing Committee
A deputation to Licensing Committee shall be conducted in accordance with the
Deputation Policy and Procedure approved by the Committee from time to time.
11.7
Petitions – Planning Matters
Petitions received in response to planning applications or other planning
matters shall be dealt with by the Head of Planning and Strategic Policy as
detailed in the Council’s Scheme of Delegation to Officers or through the Public
Participation Scheme.
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11.8
Petitions to Chief Officers
Petitions may be received and dealt with by Chief Officers where the subject
matter falls within the authority delegated to them but have discretion in
consultation with the Leader, Chair or Vice-Chair (as the case may be) to refer
the matter to the Cabinet or the appropriate Committee.
12
COMPLAINTS ABOUT MEMBERS OR OFFICERS’ CONDUCT AND/OR
PERFORMANCE
12.1 The Council shall not discuss at any meeting (including an extra-ordinary
meeting):-
(a)
any complaint about the conduct of a Member which is or may be the
subject of an investigation by the Standards Board for England or the
Monitoring Officer unless and until the matter has been adjudicated
upon under the provisions of the Local Government Act 2000 and any
regulations made thereunder.
(b)
Any complaint about the conduct or performance of an Officer which is
or could be the subject of an investigation under the Council’s relevant
Disciplinary Policy and Procedure, Grievance Policy and Procedure,
Capability Procedure or any other relevant employment procedure
unless it is a requirement of any one of those procedures to report the
matter to Council.
13. CONSIDERATION OF CABINET AND COMMITTEE RECOMMENDATIONS/
MINUTES
13.1
Recommendations of the Cabinet and Committees
The recommendations and wherever possible the minutes of the Cabinet and
every Committee meeting held since the preceding meeting of the Council shall
be reproduced, circulated and laid before an ordinary meeting of the Council.
Such minutes shall be presented and dealt with in two parts, the first part
extracting and recording the recommendations requiring the Council’s approval
and the second part recording the action taken under delegated powers of the
Cabinet and Committee.
Any Member wishing to move an amendment on a recommendation that is
before the Council shall give written notice of such intention before 10.00 a.m.
on the day before the Council meeting.
13.2
Recommendations as Motions
For the purposes of Rule 16 (Rules of debate) each recommendation to the
Council arising out of the Cabinet or a Committee’s minutes shall be deemed to
be a separate motion.
The Leader of the Council or the Chair of the Committee from which the
recommendation has come (or in their absence any other Member) shall move
the recommendation which shall be seconded by another Member.
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Each recommendation is open to discussion in accordance with Rule 15.
13.3
Withdrawal of Recommendations
The Leader of the Council or the Chair of any Committee, (as the case may be),
shall not seek leave to withdraw a recommendation to Council contained in
his/her minutes.
13.4 Formal Presentation of Minutes
The Leader of the Council or Chair of each Committee, (as the case may be), or
another Member, will formally move the reception of all minutes. Another
Member will formally second the minutes. All minutes so moved and seconded
shall then be held to be received.
14. MOTIONS ON NOTICE
14.1
Notice
Except for motions which can be moved without notice under Rule 14, written
notice of every motion, signed by at least two Members, must be delivered to
the Assistant Director (Democratic Services) not later than noon on the ninth
working day before the date of the meeting. These will be entered in a book
open to public inspection. No Political Group or individual member (ie not part
of any Group) may propose more than two motions under this Rule at any one
ordinary Council meeting.
14.2
Wording of Motion
The wording of any Motion under this procedure Rule shall be confined to
proposing action to be taken by or on behalf of the Council and shall not include
explanatory or other text.
14.3
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 state, in
writing, that he/she proposes to move it to a later meeting or withdraw it.
Motions shall be formally moved by the Member who gave notice or, on the
written request of this Member, by another Member on their behalf.
14.4
Scope of Motions
Motions must be about matters for which the Council has a responsibility or
which affect the Borough. Motions that relate to Executive Functions, once
determined by the Council, shall be referred to the Cabinet for consideration if
action is required.
The Assistant Director (Democratic Services), in consultation with the Mayor,
may reject a Notice of motion if he/she considers that it:
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• Is not about a matter for which the Council has a responsibility or which
affects the Borough
• Is defamatory, frivolous or offensive
• Subject to Rule 18.2 is substantially the same as a question which has been
put to a meeting of the Council in the past six months
• Requires the disclosure of confidential or exempt information, or
• is the subject of a review by the Scrutiny and Overview Committee or a
Scrutiny Sub-Committee which has been ongoing for less than six months.
14.5
Challenge to Inclusion
If any Member of the Council considers that any motion that appears on the
summons for the Council Meeting should not have been included on the agenda
he/she shall give written notice to the Assistant Director (Democratic Services)
before 10.00 a.m. on the day of the meeting. Such written notice will indicate
the nature of the challenge.
A challenge lodged in accordance with this Rule 14.4 above will be dealt with as
follows:
• The Member submitting the challenge will speak to his/her challenge.
• Confining
him/herself
to the nature of the challenge for a period not
exceeding two minutes.
• The Member who gave notice of the motion will reply to the challenge and
will speak for no longer than two minutes.
• No other Member will be entitled to speak.
• The challenge will be put to the vote.
• If the challenge is upheld the motion will be treated as withdrawn.
15. MOTIONS WITHOUT NOTICE
The following motions may be moved without notice:
(a) to appoint a Chair of the meeting at which the motion is moved;
(b) in relation to the accuracy of the Council minutes;
(c) to change the order of business in the agenda;
(d) to refer something to an appropriate Committee/body or individual;
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(e) to appoint a committee or Member arising from an item on the summons for
the meeting;
(f) to receive reports or adoption of recommendations of committees or officers
and any resolutions following from them;
(g) to withdraw a motion;
(h) to amend a motion;
(i) to proceed to the next business;
(j) that the question be now put;
(k) to adjourn a debate;
(l) to adjourn a meeting;
(m) to suspend a particular council procedure rule;
(n) to exclude the public and press in accordance with the Access to
Information Rules;
(o) to not hear further a Member named under Rule 22.3 or to exclude them
from the meeting under Rule 22.4; and
(p) to give the consent of the Council where its consent is required by this
Constitution.
(q) that a matter raised by a petitioner is referred to the Cabinet or appropriate
Committee other Authority or Chief Officer.
16. RULES OF DEBATE
16.1
Addressing the Mayor
A Member when speaking shall stand and address the Mayor. If more than one
Member stands the Mayor shall indicate the order of speakers. Subject to
Rules 16.13 (Points of Order) and 16.14 (Personal Explanation) below, all other
Members shall remain seated whilst a Member is speaking.
16.2
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.
16.3
Right to require motion in writing
Unless notice of the motion has already been given, the Mayor may require it
and any proposed amendment to be written down and handed to him/her before
it is discussed.
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16.4
Seconder’s speech
When seconding a motion or amendment, a Member may reserve their speech
until later in the debate.
16.5
Content and length of speeches
Speeches must be directed to the motion/amendment under discussion or to a
personal explanation or point of order.
Except with the consent of the Council, voted upon without discussion, the
speech of a Member moving a motion or amendment or responding to the
debate on a motion or amendment shall not exceed 5 minutes and the speech
of any other Member shall not exceed 3 minutes.
Where in the opinion of the Mayor it is conducive to the effective conduct of
Council business and with the consent of the Council, voted upon without
discussion, the Council may agree to:-
(a) further
limit:
(i)
the duration of speeches by any Member(s) on any matter under
consideration;
(ii)
the total duration of debate on any matter under consideration;
(iii) for the remainder of the meeting the duration of speeches by any
Member(s) and the total duration of debate on any matters remaining
to be considered.
(b) allow a Member moving a motion or amendment to speak for a limited
period exceeding 5 minutes.
16.6
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:
(a) to speak once on an amendment moved by another Member;
(b) to move a further amendment if the motion has been amended since
he/she last spoke;
(c) 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);
(d) in exercise of a right of reply;
(e) on a point of order; and
(f) by way of personal explanation.
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16.7
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 the Cabinet or an appropriate Committee/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 or introduce a
new proposal on the same subject matter.
(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 but it will not be permitted to seek to re-instate part(s) of
the motion which have already been rejected with words to the same or
similar effect No further amendments can be moved once the seconder of
the original motion has commenced his/her speech (if reserved) or the
mover of the original motion has commenced his/her wind up speech.
(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. If an amendment to refer a matter under (i)
above is carried the ‘substantive motion’ requires no further vote.
(e) After an amendment has been carried, the Mayor will read out the
amended motion before accepting any further amendments, or if there are
none, put it to the vote.
16.8
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.
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16.9
Withdrawal of motion
A Member may withdraw a motion or amendment which he/she has moved
with the consent of both the seconder and the meeting. The meeting’s
consent will be signified without discussion. No member may speak on the
motion or amendment after the mover has asked permission to withdraw it
unless permission is refused.
16.10
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 the debate on the amendment, but may not
otherwise speak on it.
(c)
The Leader/Chair will have the penultimate right of reply to the Motion
.
(d)
The mover of the amendment has no right of reply to the debate on his
or her amendment.
16.11
Procedural Motions which may be moved during debate
When a motion is under debate, no other motion may be moved except the
following procedural motions:
(a) to withdraw a motion;
(b) to amend a motion;
(c) to proceed to the next business;
(d) that the question be now put;
(e) to adjourn a debate;
(f) to adjourn a meeting;
(g) to exclude the public and press in accordance with the Access to
Information Rules; and
(h) to not hear further a member named under Rule 23.3 or to exclude them
from the meeting under Rule 23.4.
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16.12
Closure motions
(a) A Member who has not spoken in the debate
, 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 Mayor thinks
the item has been sufficiently discussed, he or she will give the mover of
the original motion a right of reply and then put the procedural motion to
the vote. If the procedural motion is carried the Council proceeds to next
business without a vote on the original motion/amendment.
(c) If a motion that the question be now put is seconded and the 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 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. If the procedural motion is carried the Mayor will
determine the date and time when the meeting/debate shall continue.
16.13
Points of order
A Member may raise a point of order at any time. The Mayor will hear them
immediately. A point of order may only relate to an alleged breach of these
Council Rules of Procedure 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 Mayor on the matter will be final.
16.14
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 Mayor on the admissibility of a personal explanation
will be final.
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17. STATE OF THE BOROUGH DEBATE
17.1
Calling of debate
The Leader will call a State of the Borough debate annually on a date and in a
form to be agreed with the Mayor.
17.2
Form of debate
The Leader will decide the form of the debate with the aim of enabling wide
public involvement and publicity. This may include holding workshops and
other events prior to or during the State of Borough debate.
17.3
Chairing of debate
The debate will be chaired by the Mayor.
17.4
Results of debate
The results of the debate will be:
(i) disseminated as widely as possible within the community and to
agencies and organisations in the area; and
(ii) considered by the Leader in proposing the budget and policy framework
to the Council for the coming year.
18. PREVIOUS DECISIONS AND MOTIONS – THE SIX MONTH RULE
18.1
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 one third of all Members of the Council.
18.2
Motion similar to one previously dealt with
A motion or amendment in similar terms to one that has been voted upon 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 one third of all Members of the
Council. This includes amendments that have been voted upon during the
meeting in question. Once the motion or amendment is dealt with, no one can
propose a similar motion or amendment for six months
19. VOTING
19.1
Majority
Unless this Constitution or the law provides otherwise, any matter will be
decided by a simple majority of those Members voting and present in the room
at the time the question was put.
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19.2
Mayor’s casting vote
If there are equal numbers of votes for and against, the Mayor will have a
second or casting vote. There will be no restriction on how the Mayor chooses
to exercise a casting vote.
19.3
Show of hands
Unless a recorded vote is requested under Rule 19.4, the Mayor will take the
vote by show of hands, or if there is no dissent, by the affirmation of the
meeting.
19.4
Recorded vote
If a Member present at the meeting requests it, before voting commences
, the
names for and against the motion or amendment or abstaining from voting will
be taken down in writing and entered into the minutes.
19.5
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.
19.6
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.
20.
MINUTES
20.1
Signing the minutes
The Mayor will sign the minutes of the proceedings at the next ordinary
meeting. The Mayor will move that the minutes of the previous meeting be
signed as a correct record. The only matter in relation to the minutes that can
be discussed is their accuracy.
20.2
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 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.
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20.3
Form of minutes
Minutes will contain all motions and amendments in the exact form and order
the Mayor put them.
21. 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 to
assist with the record of attendance.
22. EXCLUSION OF PUBLIC
22.1
General
Members of the public and press may only be excluded either in accordance
with the Access to Information Rules in Part 4 of this Constitution or Rule 23
(Disturbance by Public).
22.2
Motions affecting Council employees
Before any discussion on the appointment, promotion, suspension, dismissal,
salary, conditions of service, or the conduct of a Council employee, the Mayor
shall move and the Council shall resolve without discussion, a motion to
exclude the Press and Public. During consideration of the matter the
employee concerned if present shall immediately leave the meeting until the
matter under consideration is settled.
23. MEMBERS’ CONDUCT
23.1
Standing to speak
When a Member speaks at a Council meeting they must stand and address
the meeting through the Mayor. If more than one Member stands, the 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.
23.2
Mayor standing
When the Mayor stands during a debate, any member speaking at the time
must stop and sit down. The meeting must be silent.
23.3
Member not to be heard further
If a member persistently disregards the ruling of the Mayor by behaving
improperly or offensively or deliberately obstructs business, the Mayor may
move that the Member be not heard further. If seconded, the motion will be
voted on without discussion.
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23.4
Member to leave the meeting
If the Member continues to behave improperly after such a motion is carried,
the Mayor may move that either the Member leaves the meeting or that the
meeting is adjourned for a specified period. If seconded, the motion will be
voted on without discussion.
23.5
General disturbance
If there is a general disturbance making orderly business impossible, the
Mayor may adjourn the meeting for as long as he/she thinks necessary.
24. DISTURBANCE BY PUBLIC
24.1
Removal of member of the public
If a member of the public interrupts proceedings, the Mayor will warn the
person concerned. If they continue to interrupt, the Mayor will order their
removal from the meeting room.
24.2
Clearance of part of meeting room
If there is a general disturbance in any part of the meeting room open to the
public, the Mayor may call for that part to be cleared.
25.
PHOTOGRAPHS OR RECORDINGS OF PROCEEDINGS
25.1 The prior consent of the Mayor, in consultation with the Director of Legal,
Democratic and Development Services and Group Leaders, shall be obtained
before any photograph, recording or oral report of any proceedings of the
Council is taken. Any person attending the meeting may take written notes.
25.2 The admission of any person who is in possession of equipment or apparatus
designed to make pictorial or sound records may be refused by the Mayor
unless consent has been given under Rule 25.1.
26.
SMOKING, ROBES, FOOD & DRINK, ELECTRONIC BUSINESS DEVICES
26.1 Smoking shall not be allowed at any meeting of the Council.
26.2 Council Robes may be worn by Members at the Annual Meeting of the Council
and at other special civic occasions as the Mayor may request.
26.3 The consumption of food and drink (other than water, coffee, tea or soft drinks)
will not be allowed at any Meeting of the Council.
26.4 Mobile telephones, with the exception of the Council’s emergency phone, shall
not be permitted at any meeting of the Council.
26.5 Electronic business devices, including laptop computers will not be permitted
in any meeting of the Council.
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27. SUSPENSION AND AMENDMENT OF COUNCIL PROCEDURE RULES
27.1
Suspension
All or any part of these Council Rules of Procedure except Rule 19.6 and 20.2
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 may
be for the consideration of a particular item of business or for the duration of
that meeting.
27.2
Amendment
Other than at the Annual Meeting of the Council, 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.
28.
APPOINTMENT OF DEPUTIES
The Council shall at its Annual meeting agree to the appointment by the
Employment Committee to standing deputies on any of its Sub-Committees in
accordance with the political balance rules and a standing Parish Council
deputy to the Standards Committee.
29.
COUNCIL-IN-COMMITTEE
The Mayor may at any time require the summoning of a meeting of Members
of the Council to sit as a Council-in-Committee or Committee-of-the Whole-
Council. (N.B. Such a meeting has the status of a Committee only, and its
proceedings require confirmation by the Council at a meeting duly summoned
and held in accordance with the statutory provisions unless the Council has
previously delegated powers to the meeting under the provisions of the Local
Government Act 1972).
30.
ATTENDANCE OF NON-MEMBERS AT CABINET, COMMITTEES AND
SUB-COMMITTEES
30.1 Subject to Rule 30.2 and 30.3 below, any Member can attend meetings of the
Cabinet, Committees and Sub-Committees as an observer and may speak if
given permission by the Chair (which should be previously notified), such
permission not to be unreasonably withheld. If permission is withheld, the
Chair shall state the reason for this and this reason will be recorded in the
minutes of the meeting.
The consent of the Standards Committee (majority
resolution) is required for a Member to attend as an observer in Part II of that
Committee. The right to speak does not extend to the Standards Local
Determination Sub Committee and Licensing Sub Committee when it is
dealing with applications under the Licensing Act 2003.
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30.2 A Member shall have the right to attend and speak at a meeting of the
Cabinet /Committee/Panel or Working Party to which a motion proposed by
him/her has been referred.
30.3 A Member shall have the right to attend and speak at the Cabinet, Committee
or Sub-Committee on a matter which directly and specifically affects his/her
Ward. (The right to speak does not extend to the Licensing Sub Committee
when dealing with Licensing applications under the Licensing Act 2003)
30.4 The Cabinet and any Committee or Sub-Committee may allow
representatives of employees to attend any of its meetings as observers.
The Chair shall have discretion to invite employee representatives to speak.
30.5 The Cabinet and any Committee or Sub-Committee shall have discretion to
specify a maximum number of employee representatives who may attend a
meeting. The representatives within that maximum number shall be
determined by the employees concerned or their representatives.
31.
PANELS AND WORKING PARTIES
The Council may appoint such Panels and/or Working Parties as it wishes to
deal with specific matters. Such bodies are non decision making, not subject
to the Local Government Access to Information Act 1985 and should be
politically proportionate. Subject to rule 30.2 above only those Members
appointed shall be entitled to attend meetings of the Panel/Working Party.
This Procedure Rule is not applicable to Overview and Scrutiny Panels as the
arrangements for these are set out in Part 4 – Overview and Scrutiny
Procedure Rules.
32.
APPLICATION TO CABINET COMMITTEES AND SUB-COMMITTEES
All of the Council Rules of Procedure apply to ordinary meetings of the full
Council. All the Council Procedure Rules other than those determining
business to be transacted apply to Extraordinary Council Meetings. Only
Rules 11, 24, 25, 30 and 31 apply to meetings of the Cabinet. Only Rules 4–
8, 10-11, 15-16, 18-20, 21-26 (but not Rule 23.1), 30 and 31 apply to meetings
of Committees and Sub-Committees.
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PROCEDURE FOR DEALING WITH ALL MOTIONS/RECOMMENDATIONS
Motions
• Mover of motion to speak and move his/her motion
• Seconder to speak (or can reserve the right to speak later)
• Any other Member who wishes to speak in the debate
A member may move an amendment to the motion. If it is agreed, it then becomes
the substantive motion before the Council
Amendments
• Mover of amendment to speak
• Seconder of amendment to speak (or reserve the right)
• Any other member (except mover of original motion)
• Seconder of amendment (if not spoken already)
• Mover of the original motion
• Go to the vote on the amendment
If the amendment is agreed it then becomes the substantive motion before the
Council (Any further amendment(s) on the same item to be moved and dealt with as above)
• Further debate on the original motion (amended as appropriate)
• Seconder to speak if reserved the right
• Leader or Chair penultimate speech (if not mover of motion)
• Mover of the motion to wind up the debate
• Go to the vote
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Part 4.2
Access to Information Procedure
Rules
1.
SCOPE
These rules apply to all meetings of the Council, Overview and Scrutiny
Committee/Panels, the Standards Committee, Regulatory Committees, Audit
Advisory Panel, public meetings of the Executive (together called meetings).
2.
ADDITIONAL RIGHTS TO INFORMATION
These rules do not affect any more specific rights to information contained
elsewhere in this Constitution or the law, in particular the public may have
additional rights of access to information under the Freedom of Information Act
2000 and/or the Data Protection Act 1998.
3.
RIGHTS TO ATTEND MEETINGS
Members of the public may attend all meetings subject only to the exceptions
in these rules.
4.
NOTICE OF MEETING
The Council will give at least five clear working days notice of any meeting by
posting details of the meeting at Town Hall, Bath Road, Slough SL1 3UQ [the
designated office]. Unless the meeting is called at shorter notice in
accordance with the Provisions of the Local Government Act 1972.
5.
ACCESS TO AGENDA AND REPORTS BEFORE THE MEETING
The Council will make copies of the agenda and reports open to the public
available for inspection at the Town Hall at least five clear working days before
the meeting (Subject to 4 above). If an item is added to the agenda later, the
revised agenda will be open to inspection from the time the item was added to
the agenda. Where reports are prepared after the summons has been sent
out the Assistant Director (Democratic Services) shall make each such report
available to the public as soon as the report is completed and sent to
Members.
6.
SUPPLY OF COPIES
The Council will supply copies of:
(a) any agenda and reports which are open to public inspection;
(b) any further statements or particulars necessary to indicate the nature of
the items in the agenda; and
(c) if the Assistant Director (Democratic Services) thinks fit, copies of any
other documents supplied to Members in connection with an item to any
person on payment of a reasonable charge for postage and any other
costs.
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7.
ACCESS TO MINUTES ETC AFTER THE MEETING
The Council will make available copies of the following for six years after a
meeting:
(a)
the minutes of the meeting or records of decisions taken, together with
reasons, for all meetings of the Executive, excluding any part of the
minutes of proceedings which disclose exempt or confidential
information; (see rules 10.3 and 10.4 below).
(b) a summary of any proceedings not open to the public where the
minutes open to inspection would not provide a reasonably fair and
coherent record;
(c)
the agenda for the meeting; and
(d)
reports relating to items when the meeting was open to the public.
8.
BACKGROUND PAPERS
8.1
List of background papers
The author of any report will set out in the report a list of those documents
(called background papers) relating to the subject matter of the report which in
his/her opinion:
(a)
disclose any facts or matters on which the report or an important part of
the report is based; and
(b)
which have been relied on to a material extent in preparing the report
but does not include published works or those which disclose exempt or
confidential information (as defined in Rule 10 below) and in respect of
executive reports, the advice of a political advisor.
8.2
Public inspection of background papers
The Council will make available for public inspection for four years after the
date of the meeting one copy of each of the documents on the list of
background papers.
9.
SUMMARY OF PUBLIC’S RIGHTS
A copy of these Rules containing a written summary of the public’s rights to
attend meetings and to inspect and copy documents must be kept at and
available to the public during normal office hours at Town Hall, Bath Road,
Slough SL1 3UQ.
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10.
EXCLUSION OF ACCESS BY THE PUBLIC TO MEETINGS
10.1
Confidential information – requirement to exclude public
The public must by law be excluded from meetings whenever it is likely in view
of the nature of the business to be transacted or the nature of the proceedings
that confidential information would be disclosed.
10.2
Exempt information – discretion to exclude public
The public may be excluded from meetings whenever it is likely in view of the
nature of the business to be transacted or the nature of the proceedings that
exempt information would be disclosed.
Where the meeting will determine any person’s civil rights or obligations, or
adversely affect their possessions, Article 6 of the Human Rights Act 1998
establishes a presumption that the meeting will be held in public unless a
private hearing is necessary for one of the reasons specified in Article 6.
10.3
Meaning of confidential information
Confidential information means information given to the Council by a
Government Department on terms which forbid its public disclosure or
information which cannot be publicly disclosed by Court Order.
10.4
Meaning of exempt information
Exempt information means information falling within the following categories
(subject to any condition):
Category
Condition
1. Information relating to any
individual
2. Information which is likely to reveal
the identity of an individual.
3. Information relating to the financial
Information falling within paragraph 3
or business affairs of any particular
above is not exempt information by
person (including the authority
virtue of that paragraph if it is required to
holding that information)
be registered under—
(a) the Companies Act 1985;
(b) the Friendly Societies Act 1974;
(c) the Friendly Societies Act 1992;
(d) the Industrial and Provident Societies
Acts 1965 to 1978;
(e) the Building Societies Act 1986; or
(f) the Charities Act 1993
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Category
Condition
4. Information relating to any
consultations or negotiations, or
contemplated consultations or
negotiations, in connection with
any labour relations matter arising
between the authority or a Minister
of the Crown and employees of, or
office holders under, the authority.
5. Information in respect of which a
claim to legal professional privilege
could be maintained in legal
proceedings.
6. Information which reveals that the
authority proposes -
(a) to give under any enactment a
notice under or by virtue of which
requirements are imposed on a
person; or
(b) to make an order or direction
under any enactment.
7. Information
relating to any action
taken or to be taken in connection
with the prevention, investigation or
prosecution of crime
Information is not exempt information if it relates to proposed development for
which the local planning authority may grant itself planning permission pursuant to
regulation 3 of the Town and Country Planning General Regulations 1992.
Information which
(a) falls within any of paragraphs 1 to 7 above; and
(b) is not prevented from being exempt by virtue of the qualification to paragraph 3 or
the above paragraph (proposed development for which the local planning authority
may grant itself planning permission) ,
is exempt information if and so long, as in all the circumstances of the case, the
public interest in maintaining the exemption outweighs the public interest in
disclosing the information.
11.
EXCLUSION OF ACCESS BY THE PUBLIC TO REPORTS
If the Assistant Director (Democratic Services) thinks fit, the Council may
exclude access by the public to reports which in his or her opinion relate to
items during which, in accordance with Rule 10, the meeting is likely not to be
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open to the public. Such reports will be marked “Not for publication” and the
Agenda shall indicate the category of information likely to be disclosed.
12.
APPLICATION OF RULES TO THE EXECUTIVE
Rules 13 – 24 apply to the Executive. If the Executive or its Committees meet
to take a key Decision then it must also comply with Rules 1 – 11 unless Rule
15 (General Exception) or Rule 16 (Special Urgency) apply. A key Decision is
as defined in Article 14 of this Constitution.
If the Executive or its Committees meet to discuss a Key Decision to be taken
collectively, with an officer other than a political assistant
present, within 28
days of the date according to the Forward Plan by which it is to be decided,
then it must also comply with Rules 1 – 11 unless Rule 15 (General Exception)
or Rule 16 (Special Urgency) apply. A Key Decision is as defined in Article 14
of this Constitution. This requirement does not include meetings whose sole
purpose is for officers to brief Members.
13.
PROCEDURE BEFORE TAKING KEY DECISIONS
Subject to Rule 15 (General Exception) and Rule 16 (Special Urgency), a Key
Decision may not be taken unless:
(a)
a notice (called here a Forward Plan) has been published in connection
with the matter in question;
(b)
at least 5 clear working days have elapsed since the publication of the
Forward Plan; and
(c)
where the decision is to be taken at a meeting of the Executive or its
Committees, notice of the meeting has been given in accordance with
Rule 4 (Notice of Meetings).
14.
THE FORWARD PLAN
14.1
Period of Forward Plan
Forward Plans will be prepared by the Leader to cover a period of four
months, beginning with the first day of any month. They will be prepared on a
monthly basis and subsequent plans will cover a period beginning with the first
day of the second month covered in the preceding plan.
14.2
Contents of Forward Plan
The Forward Plan will contain matters which the Leader has reason to believe
will be subject of a Key Decision to be taken by the Executive, a Committee of
the Executive, officers, or under joint arrangements in the course of the
discharge of an executive function during the period covered by the plan. It
will describe the following particulars in so far as the information is available or
might reasonably be obtained:
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(a)
the matter in respect of which a decision is to be made;
(b)
where the decision taker is an individual, his/her name and title, if any
and where the decision taker is a body, its name and details of
membership;
(c)
the date on which, or the period within which, the decision will be taken;
(d)
the identity of the principal groups whom the decision taker proposes to
consult before taking the decision;
(e)
the means by which any such consultation is proposed to be
undertaken;
(f)
the steps any person might take who wishes to make representations to
the executive or decision taker about the matter in respect of which the
decision is to be made, and the date by which those steps must be
taken; and
(g)
a list of the documents submitted to the decision taker for consideration
in relation to the matter.
The Forward Plan must be published at least 14 days before the start of the
period covered. The Assistant Director (Democratic Services) will publish
once a year a notice in at least one newspaper circulating in the area, stating:
(a)
that key decisions are to be taken on behalf of the Council;
(b)
that a forward plan containing particulars of the matters on which
decisions are to be taken will be prepared on a monthly basis;
(c)
that the plan will contain details of the key decisions to be made for the
four month period following its publication;
(d)
that each plan will be available for inspection during normal office hours
free of charge at the Council’s offices;
(e)
that each plan will contain a list of the documents submitted to the
decision takers for consideration in relation to the key decisions on the
plan;
(f)
the address from which, subject to any prohibition or restriction on their
disclosure, copies of, or extracts from, any document listed in the
forward plan is available;
(g)
that other documents may be submitted to decision takers;
(h)
the procedure for requesting details of documents (if any) as they
become available; and
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(i)
the dates on each month in the following year on which each Forward
Plan will be published and available to the public at the Council’s
offices.
Exempt information need not be included in a forward plan and confidential
information cannot be included.
15.
GENERAL EXCEPTION
If a matter which is likely to be a Key Decision has not been included in the
Forward Plan, then subject to Rule 16 (special urgency), the decision may still
be taken if:
(a)
the decision must be taken by such a date that it is impracticable to
defer the decision until it has been included in the next Forward Plan
and until the start of the first month to which the next Forward Plan
relates;
(b)
the Assistant Director (Democratic Services) has informed the Chair of
a relevant Overview and Scrutiny Committee/Panels, or if there is no
such person, each Member of that Committee in writing, by notice, of
the matter to which the decision is to be made;
(c)
the Assistant Director (Democratic Services) has made copies of that
notice available to the public at the offices of the Council; and
(d)
at least 5 clear working days have elapsed since the Assistant Director
(Democratic Services) complied with (a) and (b).
Where such a decision is taken collectively, it must be taken in public.
16.
SPECIAL URGENCY If by virtue of the date by which a decision must be taken Rule 15 (general
exception) cannot be followed, then the decision can only be taken if the
decision taker (if an individual) or the Chair of the body making the decision,
obtains the agreement of the Chair of a Overview and Scrutiny
Committee/Panels that the taking of the decision cannot be reasonably
deferred. If there is no Chair of a relevant Panel, or if the Chair of each
relevant Overview and Scrutiny Committee/Panel is unable to act, then the
agreement of the Mayor, or in his/her absence the Deputy Mayor will suffice.
17.
REPORT TO COUNCIL
17.1
When a Overview and Scrutiny Committee/Panels can require a report
If Overview and Scrutiny Committee/Panels think that a key decision has been
taken which was not:
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(a) included
in
the
forward plan; or
(b)
the subject of the general exception procedure; or
(c)
the subject of an agreement with a relevant Overview and Scrutiny
Committee/Panel Chair, or the Mayor/Deputy Mayor under Rule 16;
The Committee/Panel may require the Executive to submit a report to the
Council within such reasonable time as the Committee/ Panel specifies. The
power to require a report rests with the Committee/Panel, but is also delegated
to the Assistant Director (Democratic Services), who shall require such a
report on behalf of the Committee/Panel when so requested in writing by the
Chair or any 5 Members. Alternatively the requirement may be raised by
resolution passed at a meeting of the relevant Overview and Scrutiny
Committee/Panel.
17.2
Executive’s report to Council
The Executive will prepare a report for submission to the next available
meeting of the Council. However, if the next meeting of the Council is within 7
days of receipt of the written notice, or the resolution of the committee, then
the report may be submitted to the meeting after that. The report to Council
will set out particulars of the decision, the individual or body making the
decision, and if the Leader is of the opinion that it was not a key decision the
reasons for that opinion.
17.3
Quarterly reports on special urgency decisions
In any event the Leader will submit quarterly reports to the Council on the
Executive decisions taken in the circumstances set out in Rule 16 (special
urgency) in the preceding three months. The report will include the number of
decisions so taken and a summary of the matters in respect of which those
decisions were taken.
18.
RECORD OF EXECUTIVE DECISIONS
18.1 As soon as reasonably practicable after any:
(i)
decision of the executive;
(ii)
decision by a committee of the executive, whether held in public or in
private;
(iii)
key decision made by an officer
a written statement shall be prepared specifying:-
(a)
a record of the decision;
(b)
a record of the reasons for the decision;
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(c)
details of any alternative options considered and rejected by the
decision making body at the meeting at which the decision was made or
in the case of a decision made by an individual at the time when he/she
made the decision;
(d)
a record of any conflict of interest in relation to the matter decided
which is declared by a Member of the decision making body which
made the decision or in the case of an individual any conflict of interest
declared by any executive Member consulted; and
(e)
in respect of any declared conflict of interest a note of any dispensation
granted by the Council’s Standards Committee.
18.2 The statement required by 18.1 above shall be prepared by:-
(i)
in the case of decisions made by the Executive (or a Committee of the
Executive), the Assistant Director (Democratic Services) (or his/her
representative) present at the meeting;
(ii)
in the case of a key decision made by an officer, the officer making the
decision.
19.
EXECUTIVE MEETINGS RELATING TO MATTERS WHICH ARE NOT
KEY DECISIONS
The Cabinet may decide whether meetings relating to matters which are not
key decisions will be held in public.
20.
INSPECTION OF DOCUMENTS AFTER EXECUTIVE DECISIONS
20.1 A copy of any report or part report considered by the Executive, when making
a decision, or considered by an officer when making a key decision, will be
open to inspection by the public for 6 years from the date the decision was
made. Documents containing confidential or exempt information or the advice
of a political adviser need not be disclosed. If a document is not disclosed
because it contains exempt information, the Assistant Director (Democratic
Services) will prepare a statement. The statement will describe the category
of exempt information. The statement will be open to inspection for 6 years
from the date of the meeting.
21.
OVERVIEW AND SCRUTINY COMMITTEE/PANELS ACCESS TO
DOCUMENTS
21.1
Rights to Copies
Subject to Rule 21.2 below, a Overview and Scrutiny Committee (including its
Panels) will be entitled to copies of any document which is in the possession or
control of the Executive and which contains material relating to any business
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transacted at a public meeting of the executive; or any decision taken by an
individual member of the executive.
21.2
Limit on Rights
A Overview and Scrutiny Committee/Panel will not be entitled to:
(a)
any document that is in draft form;
(b)
any part of a document that contains exempt or confidential information,
unless that information is relevant to an action or decision they are
reviewing or scrutinising or intend to scrutinise; or
(c)
the advice of a political adviser.
22.
ADDITIONAL RIGHTS OF ACCESS FOR MEMBERS
22.1
Material relating to previous business
All Members will be entitled to inspect any document which is in the
possession or under the control of the Executive and contains material relating
to any business previously transacted at a private meeting unless either (a),
(b) or (c) below applies.
(a) it contains exempt information falling within paragraphs 1, 2, 4, 5, 7 of the
categories of exempt information; or
(b) in the case of information falling within paragraph 3 Members have a right
to inspect any document unless the information relates to any terms
proposed or to be proposed by or to the authority in the course of
negotiations for a contract.
(c) it contains the advice of a political adviser.
22.2
Material relating to key decisions
All Members of the Council will be entitled to inspect any document (except
those available only in draft form) in the possession or under the control of the
Executive which relates to any key decision unless paragraph 22.1 (a) or (b)
above applies.
22.3
Nature of rights
These rights of a Member are additional to any other right he/she may have.
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Part 4.3
Budget and Policy Framework
Procedure Rules
1.
The framework for Cabinet 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 Cabinet to implement it.
2.
Process for developing the framework
The process by which the Budget and Policy Framework shall be developed
is:
BUDGET AND POLICY FRAMEWORK PLANNING
(1)
By July the Cabinet will produce for consideration by the Overview and
Scrutiny Committee, and interested persons a document summarising:
(a)
The revenue budget strategy which will include a three year forecast;
and
(b)
Progress on implementation of objectives and targets within the
previous year’s Policy Framework.
(2)
Before the end of September the Cabinet shall report on the revenue and
capital budget outturn for the previous year and consider the impact of any
over/underspend.
(3)
By the end of October, Cabinet will consider and agree proposals for
achieving the Council’s revenue budget strategy.
(4)
By the end of November, Commissioners will submit to the Cabinet
recommendations in respect of:
(a)
Policy changes and objectives;
(b)
Service standards and priorities; and
(c) Prioritised
capital
projects.
(5)
In December each year the Cabinet shall:
(a)
Report on the impact of the provisional Local Government Finance
settlement announced by the Government on the Council’s agreed
revenue budget strategy; and
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(b)
Produce a draft Policy Framework incorporating the Community
Strategy Plan objectives, Performance Plan and other strategic plans
achievable within the proposed financial framework.
(6) By
15th January the Council’s Section 151 Officer shall agree the Collection
Fund position for the end of the financial year.
(7)
By the end of December the Cabinet shall recommend to the Council the
council tax base for the next financial year.
(8)
In January/February the Cabinet shall:
(a) Consider the resources available to finance capital projects for the next
five years together with the Prudential Indicators ;
(b) Consult on the capital expenditure programme for the next five years;
(c) Consult with the Business community on the Council’s budget proposals
for the following year; and
(d) Consult on the revenue budget for the next financial year.
(9) (a) By
11th March each year the Cabinet shall recommend to the Council:
(i)
A Policy Framework.
(ii)
The revenue Budget and the level of Council Tax to be set for the
following year.
(iii)
The cash limits for Departments.
(iv)
The capital programme, borrowing limits and the Prudential
Indicators for the following five years.
(b)
The Overview and Scrutiny Committee shall canvass the views of local
stakeholders if it considers it appropriate in accordance with the matter
under consideration, and having particular regard not to duplicate any
consultation carried out by the Cabinet. The Overview and Scrutiny
Committee shall report to the Cabinet on the outcome of its
deliberations.
(c)
Having considered the report of the Overview and Scrutiny Committee,
the Cabinet, if it considers it appropriate, may amend its proposals
before submitting them to the Council meeting for consideration. It will
also report to Council on how it has considered and where appropriate
taken into account any recommendations from the Overview and
Scrutiny Committee.
(d)
The Council will consider the proposals of the Cabinet and may adopt
them, amend them, refer them back to the Cabinet for further
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consideration, or substitute its own proposals in their place. In
considering the matter, the Council shall have before it the Cabinet’s
proposals and any report from any Overview and Scrutiny
Committee/Panel.
(e)
The Council’s decision will be publicised and a copy shall be given to
the Leader. The notice of decision shall be dated and shall state either
that the decision shall be effective immediately (if the Council accepts
the Cabinet’s proposals without amendment) or (if the Cabinet’s
proposals are not accepted without amendment), that the Council’s
decision will become effective on the expiry of 5 working days after the
publication of the notice of decision, unless the Leader objects to it in
that period.
(f)
If the Leader objects to the decision of the Council, he/she shall give
written notice to the Assistant Director (Democratic Services) 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 Assistant Director (Democratic
Services) shall convene a further meeting of the Council to reconsider
its decision and the decision shall not be effective pending that
meeting.
(g)
The Council meeting must take place within 7 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.
(h)
The Council shall at that meeting make its final decision on the matter
on the basis of a simple majority. The decision shall be made public
and shall be implemented immediately.
(i)
In approving the Budget and Policy Framework, the Council will also
specify the extent of virement within the budget and degree of in year
changes to the Policy Framework which may be undertaken by the
Cabinet, in accordance with paragraphs 5 and 6 of these Rules
(virement and in year adjustments). Any other changes to the Budget
and Policy Framework are reserved to the Council.
3.
Decisions outside the Budget or Policy Framework
(a)
Subject to the provisions of paragraph 5 (virement) the Cabinet, and
any officers, discharging executive functions may only take decisions
which are in line with the Budget and Policy Framework. If the Cabinet
or an officer 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 the full Council, then that decision may only be taken by
the Council, unless the decision is urgent, see paragraph 4 below.
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(b)
If the Cabinet, and any officers discharging executive functions want to
make such a decision, they shall take advice from the Monitoring
Officer and/or the Director of Finance and Property 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 to the Council for decision, unless the decision is a matter
of urgency, in which case the provisions in paragraph 4 (urgent
decisions outside the Budget and Policy Framework) shall apply.
4.
Urgent decisions outside the Budget or Policy Framework
(a)
The Cabinet or officers 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 practicable 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 urgent.
The reasons why it is considered impracticable to convene a quorate
meeting of full Council, and the Chair of the relevant Overview and
Scrutiny Committee/Panel’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 the Overview and Scrutiny Committee the
consent of the Mayor, and in the absence of both, the Deputy Mayor,
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.
5. Virement
(a) The Council shall have the following budget heads:
General Fund (with sub heads for departmental structure)
Housing Revenue Account
Collection Fund
(b) Steps taken by the Cabinet, a Cabinet Committee, a Commissioner or
officers, or joint arrangements discharging executive functions to
implement Council policy shall not exceed those budgets allocated to
each budget head. However, such bodies or individuals shall be entitled
to vire across budget heads as permitted under the Council’s Financial
Procedure Rules (Part 4.6) in this Constitution. Approval to any virement
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in excess of the limits specified across budget heads shall require the
approval of the full Council.
6.
In-year changes to Policy Framework The responsibility for agreeing the Budget and Policy Framework lies with the
Council, and decisions by the Cabinet, 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 or individuals except those changes:
(a)
which will result in the closure or discontinuance of a service or part of
service to meet a budgetary constraint;
(b)
necessary to ensure compliance with the law, ministerial direction or
government guidance.
(c)
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.
7.
Call-in of decisions outside the Budget or Policy Framework
(a)
Where a Overview and Scrutiny Committee/Panel 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,
Director of Finance and Property and other appropriate officers.
(b)
In respect of functions which are the responsibility of the Cabinet, the
Monitoring Officer’s report and/or Director of Finance and Property’s
report shall be to the Cabinet with a copy to every Member of the
Council. Regardless of whether the decision is delegated or not, the
Cabinet 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 Director of Finance and
Property conclude that the decision was a departure, and to the
Overview and Scrutiny Committee if the Monitoring Officer or the
Director of Finance and Property 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
Director of Finance and Property 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 not
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less than 8 and not more than 15 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 Director of Finance and Property. 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 Members, or:
(ii)
amend the Council’s Financial Procedure Rules 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 Members, or
(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 decision
maker to reconsider the matter in accordance with the advice of
the officers.
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Part 4.4
Executive Procedure Rules
1.
HOW THE EXECUTIVE OPERATES
1.1
Who may make Executive decisions?
The Executive will consist of the Leader elected by the Council, the Deputy
Leader between one and eight other Members appointed by the Council. The
Executive is responsible for the discharge of executive functions as set out in
this Constitution but, within the terms of the Constitution, the Leader may
further provide for executive functions to be discharged by:
(i)
the executive as a whole (meeting as the Cabinet)
(ii)
The name of the Member nominated by him/her as Deputy Leader for
appointment by the Council
(iii)
a committee of the executive
(iv) an
officer;
(v)
joint arrangements approved by the Council; or
(vi)
another local authority with the approval of the Council.
1.2
Delegation by the Leader
At the annual meeting of the Council, the Leader will present to the Council
the following information about executive functions in relation to the coming
year:
(i)
the names, addresses and wards of the Members nominated by
him/her for appointment to the executive by the Council;
(ii)
the terms of reference and Constitution of the Cabinet;
(iii)
the terms of reference and constitution of such cabinet committees as
the Leader appoints and the names of the Commissioners appointed to
them;
(iv)
the nature and extent of any delegation of executive functions to any
other authority or any joint arrangements and the names of those
executive Members appointed to any joint committee for the coming
year.
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1.3
Sub-delegation of executive functions
(i)
Where the Cabinet or a Committee of the Cabinet is responsible for an
executive function, it may delegate further to joint arrangements or an
officer.
(ii)
Even where executive functions have been delegated, that fact does
not prevent the discharge of delegated functions by the person or body
who delegated.
1.4
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.
1.5
Conflicts of Interest
(i)
Where the Leader has a conflict of interest this should be dealt with as
set out in the Council’s Code of Conduct for Members in Part 5 of this
Constitution.
(ii)
If every member of the Cabinet has a conflict of interest this should be
dealt with as set out in the Council’s Code of Conduct for Members in
Part 5 of this Constitution.
(iii)
If the exercise of an executive function has been delegated to 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 Code of
Conduct for Members in Part 5 of this Constitution.
1.6
Meetings of the executive
The Cabinet will meet at least 10 times per year at times to be agreed by the
Leader. The executive shall meet at the Council’s main offices or another
location to be agreed by the Leader.
1.7
Access to Meetings of the Executive
Meetings of the Cabinet will be open to the public for consideration of key
decisions, except where confidential or exempt information is being
discussed.
The Cabinet may decide whether meetings relating to matters which are not
key decisions will be held in public.
1.8
Quorum
The quorum for the Cabinet shall be three.
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1.9
How decisions are taken
(i)
Executive decisions which have been delegated to the Executive as a
whole will be taken at a meeting convened in accordance with the
Access to Information Rules in Part 4 of the Constitution.
(ii)
Where executive decisions are delegated to a committee of the
executive, the rules applying to executive decisions taken by them shall
be the same as those applying to those taken by the executive as a
whole.
2. HOW EXECUTIVE MEETINGS ARE CONDUCTED
2.1
Who presides?
If the Leader is present he/she will preside. In his/her absence, the Deputy
Leader or a person appointed to do so by those present shall preside.
2.2
Who may attend?
Any Member of the Council may attend any public meeting of the Cabinet and
may speak at the discretion of the Chair (previously notified). Members of the
public may attend any Cabinet meeting held in public except when
confidential or exempt information is being discussed.
2.3
Order of business
At each meeting of the Cabinet the following business will be conducted:
(i)
consideration of the minutes of the last meeting;
(ii)
declarations of interest, if any;
(iii)
matters referred to the Cabinet (whether by Overview and Scrutiny
Committee or one of its Panels 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;
(iv)
consideration of reports from Overview and Scrutiny Committee or one
of its Panels; and
(v)
matters set out in the agenda for the meeting, and which shall indicate
which are key decisions and which are not open to the public in
accordance with the Access to Information Procedure rules set out in
Part 4 of this Constitution.
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2.4
Consultation
All reports to the Cabinet on proposals relating to the budget and policy
framework must contain details of the nature and extent of consultation with
stakeholders and relevant Overview and Scrutiny Committee/Panel, and the
outcome of that consultation. 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.
2.5
Who can put items on the executive agenda?
(i)
The Leader will decide upon the schedule for the meetings of the
executive. He/she may put on the agenda of any executive meeting
any matter which he/she wishes, whether or not authority has been
delegated to the executive, a committee of it or any member or officer
in respect of that matter. The Assistant Director (Democratic Services)
will comply with the Leader’s requests in this respect.
(ii)
Any Commissioner may require the Assistant Director (Democratic
Services) to make sure that an item is placed on the agenda of the next
available meeting of the executive for consideration. If he/she receives
such a request the Assistant Director (Democratic Services) will
comply.
(iii)
The Assistant Director (Democratic Services) will make sure that an
item is placed on the agenda of the next available meeting of the
executive where the Overview and Scrutiny Committee or one of its
Panels or the full Council have resolved that an item be considered by
the executive.
(iv)
Any Member of the Council may ask the Leader to put an item on the
agenda of an executive meeting for consideration, and if the Leader
agrees the item will be considered at the next available meeting of the
executive. The notice of the meeting will give the name of the Member
who asked for the item to be considered. This individual will be invited
to attend the meeting for the consideration of that item, and to speak
but not vote on that item.
(iv)
The Monitoring Officer and/or the Director of Finance and Property may
include an item for consideration on the agenda of an executive
meeting and may require the Assistant Director (Democratic Services)
to call such a meeting in pursuance of their statutory duties. In other
circumstances, where any two of the Head of Paid Service, Director of
Finance and Property and Monitoring Officer are of the opinion that a
meeting of the executive needs to be called to consider a matter that
requires a decision, they may jointly include an item on the agenda of
an executive meeting. If there is no meeting of the executive soon
enough to deal with the issue in question, then the person(s) entitled to
include an item on the agenda may also require that a meeting be
convened at which the matter will be considered.
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Part 4.5
Overview and Scrutiny Procedure
Rules
1. General
Arrangements
The Council will appoint an Overview and Scrutiny Committee as set out in
Article 6. The Overview and Scrutiny Committee will appoint the following four
Panels but shall not appoint any other Panel, or Working Party other than ‘Task
and Finish Groups’ as set out below:
• Health
Panel
• Adult and Community Services Panel
• Green and Built Environment Panel
• Education and Children’s Services Panel
The Committee may also at any one time establish up to four time-limited ‘Task
and Finish Groups’ to investigate and report back on specific issues .
The Constitution, terms of reference (scope) and duration of any such ‘Task and
Finish Group’ shall be specified by the Committee/Scrutiny Panel when the
Group is established and may not be amended except by reference to the
appointing body.
2. Terms
of
Reference
The Overview and Scrutiny Committee’s terms of reference are:
1. To be responsible for all Overview and Scrutiny functions on behalf of the
Council.
2. To make recommendations and reports to the Council or the Cabinet on any
plans, policies or decisions of the Cabinet.
3. Without prejudice to these functions, in particular to:
(a) Consider the budget plans, proposed policy and performance plan
framework and other plans of the Cabinet and make reports and
recommendations including suggested amendments to these proposed
plans to the Cabinet or Council as appropriate in accordance with the
procedure for Policy and Best Value Reviews (See protocol attached).
(b) Scrutinise implementation of the Community Strategy and Corporate
Plan.
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(c) Within agreed programmes, to consider and investigate broad policy
issues and submit reports and/or recommendations to the Cabinet or
Council as appropriate.
(d) Provide advice to the Cabinet or Council (as appropriate) on major
issues before final decisions are made.
(e) Review decisions taken by the Cabinet or Officers and how they are
implementing Council policy, and make reports and recommendations
to the Cabinet or Council as appropriate.
(f)
To initiate reviews of other executive functions subject to the Cabinet
being informed and to identify matters for recommendation to the
Cabinet for more comprehensive review. (Subject to protocols on Call-
in and Best Value Reviews).
(g) Consider and monitor the action proposed by the Cabinet on statutory
inspection reports (e.g. OFSTED, Social Services Inspectorate, Audit
Commission).
(h) To propose debate at full Council on matters of importance to the
Borough or on particular matters before a decision is taken by the
Cabinet.
4. To scrutinise or review and make recommendations or reports to the Council
in respect of the discharge of any functions which are not the responsibility of
the Cabinet.
5. To submit reports and recommendations to the Council or Cabinet as
appropriate on matters affecting the Authority’s area or inhabitants.
6. In accordance with the agreed protocol, to consider and decide upon or refer
to any of its Standing Panels, Member call-ins.
7. To co-ordinate the overview and scrutiny work programme and tasks.
3. Membership
The Overview and Scrutiny Committee will consist of 9 Members of the Council
plus any Co-opted Members. No Executive Member or the Mayor or Deputy
Mayor will be appointed. No Member may be involved in scrutinising a decision
which he/she has been directly involved.
Membership is subject to the proportionality requirements of the Local
Government and Housing Act 1989 unless the Council resolves to waive those
requirements with no Member voting against.
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4.
Panels/Task and Finish Groups
(a) The Overview and Scrutiny Committee will appoint the following Standing
Panels; each consisting of 9 Members of the Council:-
• Health
Panel
• Education and Children’s Services Panel
• Green and Built Environment Panel
• Adult and Community Services Panel
(b) The Overview and Scrutiny Committee may appoint time limited ‘Task and
Finish’ Groups in accordance with paragraph 8 below.
5.
Terms of Reference of Scrutiny Panels
Each Scrutiny Panel shall be responsible for:
• Scrutiny of functions falling within the scope of the Cabinet portfolios allocated
to them and any non-executive functions or matters associated with those
portfolio functions.
• Matters within its area of responsibility which have been :
• Referred to it by the Council or Overview and Scrutiny Committee
• Referred to it as a result of a Member call-in
• Agreed by the Panel for inclusion in its agenda plan or work programme.
Whilst the Committee may delegate items to a Panel for investigation, it retains
the rights to review and, where considered appropriate, amend the
recommendations of its Panel. In such instances, all relevant information
(including presentations) that was considered by the Panel shall also be provided
for the Committee.
The Health Scrutiny Panel shall exercise the functions of the authority to review
and report on matters relating to local health services as set out in the Local
Authority (Overview and Scrutiny Committees Health Scrutiny Functions)
Regulations 2002.
Each Panel may make recommendations or reports to the Overview and Scrutiny
Committee, Cabinet, other Committee or Council as appropriate.
Terms of reference set by the Council and the Overview and Scrutiny Committee
are binding on the Panels. They can be altered only by resolution of the
Overview and Scrutiny Committee.
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6. Co-optees
The Overview and Scrutiny Committee may recommend to Council the
appointment of Members or other persons as non-voting co-optees.
Each Overview and Scrutiny Panel may recommend to the Overview and
Scrutiny Committee the appointment of Members or other persons as non-voting
co-optees.
7. Education
representatives
The Scrutiny Panel dealing with education matters shall include in its
Membership the following additional voting representatives:
(a) 1 Church of England representative
(b) 1 Roman Catholic diocese representative
(c) 2 Parent Governor representatives
These representatives shall not vote on other matters which do not relate wholly
or in part to any education function issue.
In addition, the Panel shall also include in its membership the following non-
voting teacher representatives:-
(d) One Head Teacher representative
(e) One representative of the primary sector
(f)
One representative of the secondary sector.
8.
Task and Finish Groups
Tasks and Finish Groups are time limited project groups. Their role in the
Overview and Scrutiny function is
To undertake
i)
more detailed policy development and review at the request of the
Cabinet
ii)
carry out detailed scrutiny of areas of work arising from the
Overview and Scrutiny work programme
No more than four Task and Finish groups will be operating at anytime.
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The terms of reference and scope of the groups will be agreed by the Overview
and Scrutiny committee which is responsible for the establishment of the groups
and review progress.
To avoid unnecessary delay in establishing a Task and Finish Group, in the
absence of an ordinary meeting of the Overview and Scrutiny Committee, the
Chair and Vice Chair of the Overview and Scrutiny Committee and the Chair and
Vice-Chair of the sponsoring Scrutiny Panel may authorise the establishment of
such a Group in writing / email to the Scrutiny Support Officer and Committee
Team Manager.
The membership of the Task and Finish group will be drawn from all Overview
and Scrutiny Councillors and wherever possible reflect the composition of the
Council. On occasion Councillors with specialist knowledge or training will be
invited onto the Task and Finish Group.
The Task and Finish Groups will be expected to follow the Council’s project
methodology.
The group will initially report to the sponsoring Scrutiny Panel and present the
final report of its findings to the Overview and Scrutiny committee prior to
submission to the Cabinet/Council.
In the unlikely event of the Overview and Scrutiny Committee (Scrutiny Panel)
being unable to agree on one single final report to the Council or Executive , then
a minority report will be written and submitted for consideration by the Council or
Cabinet with the majority report.
9.
Training
Appropriate training is arranged under the Member Training Programme which
newly-appointed Scrutiny Members are required to attend before taking up their
seat on the Scrutiny Panels. In addition, update/refresher scrutiny development
is organised on an annual basis which all Members of the Council are expected
to attend.
10.
Meetings of the Overview and Scrutiny Committee (Scrutiny Panels)
There shall be at least 6 ordinary meetings of the Overview and Scrutiny
Committee in each year. In addition, extraordinary meetings may be called from
time to time as and when appropriate. An Overview and Scrutiny Committee or
Panel may be called by the Chair of the relevant Committee/Panel, by 2
Members of the Committee/Panel or by the Chief Executive if he/she considers it
necessary or appropriate.
The Overview and Scrutiny Committee (Scrutiny Panel) will meet in public and be
subject to the statutory access to information provisions. The press and public
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may be excluded and papers withheld from access only if they meet statutory
definitions of exempt or confidential information.
The Chair and Vice Chair of Overview and Scrutiny Committee and the Chairs
and Vice Chairs of the Scrutiny Panels shall meet at least twice a year to:
(i)
Review the issues arising from the Member development programme and
make recommendations as appropriate to the Committee, Panels and
Cabinet.
(ii)
Agree work programmes for the Committee and Panels to facilitate more
proactive policy development work, more relevant and appropriate
involvement in Best Value Reviews and to timetable consideration of plans
and strategies forming the Policy Framework and Budget process.
(iii)
Review Overview and Scrutiny arrangements with a view to making
recommendations on changes to the Constitution.
11. Quorum
The quorum for the Committee shall be 3 voting, elected Members.
The quorum for a Scrutiny Panel shall be 3 voting, elected Members.
The quorum for a Task and Finish Group shall be 2 voting, elected Members.
12.
Who chairs Overview and Scrutiny Committee (Scrutiny Panel) meetings?
The position of the Chair of the Committee will be offered to an opposition group
member and the position of the vice chair offered to a member of the Joint
Administration. The Committee may appoint as chair any of its voting members if
that offer is not accepted.
Each Panel will consider electing a Chair and Vice-Chair at its first meeting. As
far as practicable, Chairs and Vice-Chairs will in total number, reflect the political
balance of the Council. The Adult and Community Services Panel may appoint a
voting, co-opted Member to act as a Chair or Vice Chair. However any co-opted
Members so appointed may only vote (or exercise a casting vote, if Chair) on
matters relating to education.
13. Work
programme
Subject to its terms of reference, the Overview and Scrutiny Committee (Scrutiny
Panel) will be responsible for setting its own work programme and in doing so
shall take into account the wishes of every Member on that Committee.
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14. Agenda
items
Any member of the Overview and Scrutiny Committee (Scrutiny Panel) shall be
entitled to give notice to the Assistant Director (Democratic Services) that he/she
wishes an item relevant to the functions of the Committee (Scrutiny Panel) to be
included on the agenda for the next available meeting of the Committee (Scrutiny
Panel). On receipt of such a request the Assistant Director (Democratic
Services) will ensure that it is included on the next available agenda. (See call-in
rules)
The Overview and Scrutiny Committee (Scrutiny Panel) shall also respond, as
soon as its work programme permits, to requests from the Council and, if it
considers it appropriate, the executive, to review particular areas of Council
activity. Where they do so, the Overview and Scrutiny Committee (Scrutiny
Panel) shall report its findings and any recommendations back to the Cabinet
and/or Council. The Council and/or the Cabinet shall consider the report of the
Overview and Scrutiny Panel by no later than the end of the following cycle of
meetings.
Members of the Cabinet or any Officer exercising a delegated authority shall
have the right to submit a report on any matter for which they are responsible
and which is being considered by the Overview and Scrutiny Committee and the
Committee must take the report into consideration when reaching any conclusion
on the matter.
Officers should ensure that all relevant information is provided to the
Committee/Panel in a timely manner so that full and proper consideration can be
given to the matter(s) before it.
Where additional, relevant information (including the results of a consultation
exercise, etc.) becomes available in respect of a matter currently or recently
under scrutiny, the Chair and Vice-Chair shall be so advised at the earliest
opportunity and the same information passed to the Committee Panel as soon as
practicable.
15.
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.
(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 (Scrutiny Panel) may make proposals to the Cabinet for
developments in so far as they relate to matters within their terms of
reference.
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(c) The Overview and Scrutiny Committee (Scrutiny Panel) 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
for doing so.
16. Reports from the Overview and Scrutiny Committee (Scrutiny Sub-
Committee)
(a) Once it has formed recommendations on proposals for development, the
Overview and Scrutiny Committee (Scrutiny Panel) will prepare a formal
report and submit it to the Proper Officer for consideration by the Cabinet (if
the proposals are consistent with the existing budgetary and policy
framework), or to the Council as appropriate (e.g. if the recommendation
would require a departure from or a change to the agreed budget and policy
framework).
(b) If the Overview and Scrutiny Committee (Scrutiny Panel) cannot agree on
one single final report to the Council or executive as appropriate, then a
minority report may be prepared and submitted for consideration by the
Council or Cabinet with the majority report.
(c) The Council or Cabinet shall consider a report of the Overview and Scrutiny
Committee (Scrutiny Panel) by no later than the end of the following cycle of
meetings.
17.
Consideration of the Overview and Scrutiny Committee (Scrutiny Panel)
reports by the executive
(a) Once a Overview and Scrutiny Committee (Scrutiny Panel) report on any
matter which is the responsibility of the Executive has been completed, it
shall be included on the agenda of the next available meeting of the
executive, unless the matter which is the subject of the report is scheduled
to be considered by the executive within a period of 6 weeks from the date
the report was adopted by the Overview and Scrutiny Committee (Scrutiny
Panel). In such cases, the report of the Overview and Scrutiny Committee
(Scrutiny Panel) shall be considered by the Cabinet when it considers that
matter. If for any reason the Cabinet does not consider the report within 6
weeks then the matter will be referred to Council for review, and the Proper
Officer will call a Council meeting to consider the report and make a
recommendation to the Cabinet.
(b) The Overview and Scrutiny Committee (Scrutiny Panel) will in any event
have access to the Cabinet’s forward plan and timetable for decisions and
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intentions for consultation. Even where an item is not the subject of
detailed proposals from a Overview and Scrutiny Committee (Scrutiny
Panel) following a consideration of possible policy/service developments,
the Committee (Scrutiny Panel) will be able to respond in the course of the
Cabinet’s consultation process in relation to any key decision.
18.
Rights of the Overview and Scrutiny Committee (Scrutiny Panels) Members
to documents
(a) In addition to their rights as Members, Members of the Overview and
Scrutiny Committee (Scrutiny Panel) 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) On occasions there will be more detailed liaison between Cabinet and
Overview and Scrutiny Committee.
19.
Members and Officers giving account
(a) The Overview and Scrutiny Committee (Scrutiny Panel) may scrutinise and
review decisions made or actions taken in connection with the discharge of
any Council function which falls within its remit. 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/postholder
named in the scheme of delegation exercising delegated authority 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) their
performance.
and it is the duty of those persons to attend if so required. Subject to the
rules in respect of confidential or exempt information, all questions will be
put and answered in public.
(b) Where any Member or Officer is required to attend an Overview and
Scrutiny Committee (Scrutiny Panel) under this provision, the chair of the
Committee (Scrutiny Panel) will inform the Assistant Director (Democratic
Services). The decision to require such attendance will be taken by the
body itself or, where awaiting the next meeting of the body would lead to
delay, by the Chair.
(c) The Assistant Director (Democratic Services) shall inform the member or
officer in writing of the meeting at which he/she is required to attend. The
Executive Member or Officer shall be given at least 5 clear working days
notice of the requirement to attend and answer questions. The notice will
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state the nature of the item on which he/she is required to attend to give
account and whether any papers are required to be produced for the
Committee (Scrutiny Panel). Where the account to be given to the
Committee (Scrutiny Panel) will require the production of a report, then the
member or officer concerned will be given sufficient notice to allow for
preparation of that documentation. The direction given to the Executive
Member/Officer shall clearly state the precise decision, subject matter or
issue on which questions will be asked and, if known, the nature of the
queries.
(d) A Member or Officer must attend unless they have reasonable grounds for
refusal, such grounds may include but are not limited to:.
• Ill
Health
• Holiday
• Prior personal or business commitments which are inescapable or
which it would be contrary to Council procedure or practice to cancel
or re-arrange.
• The receipt of legal advice recommending that the Member or
Officer does not attend.
• A repeat request to attend to give account on an item in respect of
which the Member/Officer has previously attended.
Where, in exceptional circumstances, the member or officer is unable to
attend on the required date, then the Overview and Scrutiny Committee
(Scrutiny Panel) shall in consultation with the member or officer arrange an
alternative date for attendance.
(e) Questioning must be conducted in an atmosphere of mutual respect and
trust consistent with the codes of conduct and in a manner that avoids
negative or undermining interrogation or open or implied criticism.
(f) Questions may be put by any Member or Co-opted Member of the
Committee (Scrutiny Panel) and must be directly relevant to the subject
matter of the agenda item for the meeting and the notice given to the
Executive Member of Officer.
(g) The questioning process is an opportunity for the Overview and Scrutiny
Members to obtain information or explanation about executive decisions or
proposals and not to criticise or comment on judgement exercised or the
conduct of the Member of Officer. Wording of any query must be confined
to a question and not include unnecessary or extraneous comment.
(h) The Executive Member or Officer is expected to co-operate with the
Scrutiny process and answer all questions as fully as possible. They may
decline to answer only where they feel that a reply would be inappropriate or
injurious for legal or confidentiality reasons. The Member or Officer should
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give a reason if they do decline to reply. If a Member or Officer has
concerns or information about a matter under scrutiny that he or she feels
unable to express at a meeting, he or she should normally raise it
beforehand (where possible) with the Chair or Vice-Chair. Where an Officer
has concerns about an issue raised by someone else at a scrutiny meeting,
they should normally advise the meeting of their reservations and ask to be
heard at the discretion of the Chair under Part II of the meeting, where the
matter is of an appropriate nature.
(i)
The Executive Member/Officer must be allowed to reply without interruption
and to submit any information they consider necessary, whether oral or
written, in order to adequately respond to any questions.
(j)
Supplementary questions may be asked but a question shall not be pursued
once the Executive Member/Officer has indicated that they consider they
have given a full and final reply and the Chair is satisfied they have done so.
(k) Questions and replies shall be recorded by the Administrator servicing the
meeting. The Chair, a Questioner or the Executive Member/Officer may ask
for confirmation of the note taken of any question or reply at the time the
question is asked or the answer given or immediately afterwards.
Questions and replies need not be included within the formal minute or
record of the meeting unless directly relevant to any decision reached.
(l)
Where a Scrutiny Committee/Panel finds that some procedure or process
(or similar matter) has not been properly undertaken by the Council (e.g. a
letter or petition not properly responded to) this should be recorded in the
minutes together with the observations of the Officers (if any) so that the
matter can be investigated and reported back as may be agreed by the
Committee/Panel.
(m) The Chair of the meeting will decide at which point the asking of questions
has been completed and will advise the Executive Member/Officer that they
are free to leave should they wish to do so. No debate will take place on
any question or reply until all questions have been put and answered.
(n) Nothing in these arrangements will prevent the normal attendance at the
Overview and Scrutiny Committee or its Panel of Members or Officers to
give advice, information or views as they would usually do, or prevent the
Committee or Panels from inviting such attendance
20.
Attendance by others
The Overview and Scrutiny Committee (Scrutiny Panel) may invite people other
than those people referred to in paragraph 15 above to address it, discuss issues
of local concern, answer questions give advice or information to assist in its
deliberations. It may for example wish to hear from residents, stakeholders and
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Members and officers in other parts of the public sector and shall invite such
people to attend.
Where any such persons are invited, advance notice of their attendance shall be
given to relevant Officers so that, if necessary, an Officer briefing may be
arranged for the Panel to ensure that it is fully informed of all relevant
information.
Where any such persons attend a meeting, they shall be informed that any
written evidence they wish to present to the panel must be provided to the
Secretariat in advance so that it can be circulated to Members prior to the
meeting. Any written evidence not so provided will normally be disregarded by
the Committee/Panel.
Members who are not Members of the Committee (Scrutiny Panel) may attend
meetings of the Overview and Scrutiny Committee (Scrutiny Panel) and of its
Panels as observers and may speak at the discretion of the Chair.
21. Call-in
Any Member of the Council or any Co-opted Member of the Overview and
Scrutiny Committee or Panel may request that the Overview and Scrutiny
Committee consider
(i)
Any decision/proposed decision of the Cabinet.
(ii)
Officer decisions (as specified by the Council) taken under delegated
authority.
(iii)
Initiating a review of other executive functions of the authority or matters
connected with those functions.
(iv)
Initiating a review in respect of the discharge of functions which are not the
responsibility of the Cabinet or of matters affecting the Authority’s area or
inhabitants.
The call-in procedure does not apply to matters which have been considered and
determined by Overview and Scrutiny Committee or Council within the preceding
six months.
Procedure
(1)
Any such request must be signed by a Member of the Council and submitted in
writing to the Assistant Director (Democratic Services) and must state the
reasons why the request to have the matter considered has been made.
(2)
In respect of a call-in of a Cabinet or Officer decision, the call in must be received
within five working days of delivery of the publication of the decision (by 5.00
p.m.).
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(3)
In respect of any other review call in, the call in must be received no later than 10
working days before the date of the Overview and Scrutiny Committee or
Scrutiny Panel to which it is to be submitted (other than in cases of urgency
agreed by the Chair).
(4)
A call-in request, once submitted may not be withdrawn except by a letter signed
by the original signatory delivered to the Assistant Director (Democratic
Services).
(5)
The Director of Legal, Democratic and Development Services in consultation with
the Chair of the Overview and Scrutiny Committee will determine the
appropriateness of a call in under these procedures. If a call in is rejected as
inappropriate the signatory will be advised of the decision and the reasons for it.
The Overview and Scrutiny Committee will also be informed at its next meeting.
(6)
Once received a call-in request will be submitted to the Overview and Scrutiny
Committee or to the appropriate Panel together with Officer comment on legal,
resource and other relevant matters (subject to 5 above). The Overview and
Scrutiny Committee will be advised of any call-ins passed direct to its Panels.
(7)
The signatory to any request shall be given notice of the meeting at which the
matter will be considered and will have an opportunity to speak in support of the
request. The Committee/Panels shall defer consideration of a call-in on one
occasion if the signatory to the call-in does not attend the meeting to which it is
submitted.
Cabinet Decisions – Call-in
Before the Cabinet decision is taken
(8)
A summary of the agenda for the Cabinet will be circulated to all Members of the
Council at the same time as the agenda is despatched.
(9)
Any Member call-in received on these proposed decisions, before the meeting,
will be reported to the Cabinet and it can, if it wishes, agree to defer
implementation of the decision in question pending consideration of the call-in by
the Overview and Scrutiny Committee in which case the call in will be reported to
the Overview and Scrutiny Committee and its views will be reported to the
Cabinet prior to the decision being implemented (time permitting). If the Cabinet
decides not to defer implementation of the decision the call-in will be reported to
the Overview and Scrutiny Committee for post decision scrutiny in the normal
way.
After the Cabinet decision is taken
(10) Following
the
Cabinet
meeting a summary of the decisions taken will be
circulated to all Members of the Council. The summary will indicate which of the
decisions have been resolved under delegated authority and which form a
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208
recommendation to the Council. All decisions that are within the delegated
authority of the Cabinet (resolved items) will be subject to a five working day
delay before implementation from delivery of the summary (other than those
items which need to be implemented urgently).
(a)
Resolved decisions
(11) It is for the Cabinet to determine with advice from the relevant
Commissioner/Chief Officer, whether or not the implementation of a decision
should and can be delayed. In making this decision, the Cabinet will have regard
to:
• Whether the decision needs to be implemented by a particular date.
• Whether any particular deadlines have been imposed by or to the Council in
terms of implementation, and whether
not meeting those deadlines would
cause embarrassment and/or detriment to the Council or a third party in any
way and the extent/risk of this.
• The timescale for submission of the call-in to the Overview and Scrutiny
Committee/Panel and for those views to be reported to the Cabinet and
whether this falls within a realistic timetable for deferring implementation of a
decision.
(12) If a decision is taken not to defer the implementation of a decision, the reasons
for this decision will be clearly set out in the minutes of the Cabinet and reported
to the Overview and Scrutiny Committee. The call-in will also be reported to the
Overview and Scrutiny Committee for post-decision scrutiny in the normal way.
(b)
Recommended decisions (Decisions outside the Policy and Financial
Framework or reserved to Council under the Constitution)
(13) On receipt of a Member call-in on a matter not within the Policy and Financial
Framework or on a matter reserved to Council will be submitted to the next
Overview and Scrutiny Committee for consideration. (A special meeting will be
convened if necessary). The views of the Overview and Scrutiny Committee will
be reported to the Cabinet (if time permits) prior to the issue being considered by
the Council.
Officer Decisions – Call-in
(14) A Schedule of significant decisions taken by Officers will be circulated to all
Members on a monthly basis.
(15) Member call-ins will be submitted to the next Overview and Scrutiny Committee
for consideration and dealt with in the same way as other post decision call-ins.
Part 4 – 4.5 Overview and Scrutiny Procedure Rules
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209
Request for Review/Scrutiny of other Functions or Matters
(16) Any Member call-in request on any function of the Authority or matter relating to
the Borough or its inhabitants must be justified on the basis of best value or raise
questions of significance appropriate to the terms of reference of the Overview
and Scrutiny Committee/Scrutiny Panel.
(17)
The Committee/Scrutiny Panel, in agreeing to initiate the review, will stipulate the
timetable for completion and report back and will also advise the appropriate
Committee or Officer of the review and investigations it has, or proposes to
initiate.
(18)
Recommendations and findings of any Scrutiny Panel asked to consider a review
will be submitted to the Overview and Scrutiny Committee in writing together with
any comments the Cabinet, other Committee or Officer may have made when
advised that the review was to take place if these have not already been
reported. The Overview and Scrutiny Committee’s recommendations as a result
of the review will be submitted to the appropriate Committee and may also be
submitted to the Council.
Action the Overview and Scrutiny (Sub-)Committee/ Scrutiny Panels can
take on a Call-in
(19) The Overview and Scrutiny Committee/Panel will consider and determine any
call-in request having regard to
(i)
the adequacy and completeness of information available at the meeting
(ii)
the appropriateness and relevance of the subject matter of any request
(iii)
the possible implications on other services and available budgets
(iv)
any other reviews which currently may be undertaken or proposed to be
undertaken to avoid any duplication of responsive action
(v)
the respective priority within the Committee’s/Panels overall work
programme to be afforded to any approved request for review.
(20) The Committee/Scrutiny Panel may defer consideration of a call-in on one
occasion only if the signatory to the call-in is unable to attend the meeting to
which it is submitted.
(21) The Overview and Scrutiny Committee/Scrutiny Panel may:
(i)
Agree to take no further action on the request (reason for that decision to
be recorded in the minutes and Members are advised).
(ii)
Make alternative recommendations to the Cabinet (if time permits) or
Council on those Cabinet matters that are recommended to the Council.
Part 4 – 4.5 Overview and Scrutiny Procedure Rules
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210
(iii)
Make alternative recommendations/views to the Cabinet on those matters
that have been resolved by the Cabinet and implementation has been
delayed due to the receipt of a call-in.
(iv)
Make representations/views known to the Cabinet or Council in respect of
decisions taken and implemented within Cabinet or Officer delegated
powers.
(v)
Agree the request for a review of any function of the authority or matter
affecting the Borough or its inhabitants and determine the matter at the
meeting.
(vi)
Agree the request for a review of a function or other relevant matter and
delegate conduct of the review to a Scrutiny Panel and determine the
priority that should be allocated to it.
Response/Action that can be taken by Cabinet or other appropriate
Committee on receipt of views of the Overview and Scrutiny Committee
Panel
(22)
The Cabinet can:
(i)
Agree with and implement the Overview and Scrutiny Committee’s Panels
alternative recommendations (if implementation of a decision has been
delayed).
(ii) Endorse
its
original
decision in its entirety or partially amend it and
implement it forthwith (If the matter is within the Policy and Financial
Framework).
(iii)
Refer the matter to Council for determination (
If not a solely executive
matter).
(iv)
Forward comments on the views received to the Council where the matter
is one outside the Policy and Financial Framework or reserved to the
Council under the Constitution.
(v) Agree/amend/take no action on the Overview and Scrutiny
Committee’s/Panels recommendations on a review initiated by that
Committee/Panel.
(vi)
Agree action to be taken with regard to an officer delegated decision.
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211
SCHEDULE OF ‘SIGNIFICANT’ OFFICER DECISIONS – To be circulated monthly to
all Members
1. Tenders/Contracts over £50,000 or ‘sensitive’ excluding individual social services
care packages and school placements.
2. Exemptions to Competitive Tendering.
3. Redundancies/Early
Retirements
above 5 in Service area or a 2nd/3rd Tier Officer.
4. Decision to commence formal organisational restructuring/consultation.
5. Consultation responses other than technical responses where officers asked for
Member views.
6. Write-off of individual debts between £5,000 and £10,000.
7. Decisions arising from external report on significant Health and Safety at Work Act
risk.
8. Compulsory Purchase Orders.
9. Action with regard to Petitions.
10. Grants.
11. Consultancies over £5,000 (excluding cover for established posts) or any
consultancy offered to former Senior Officers of the Council of 3rd tier and above.
12. Other decisions such as those with political, media or industrial relations
implications that Chief Officers consider Members should be aware of.
Part 4 – 4.5 Overview and Scrutiny Procedure Rules
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212
PO LICY/SERVICE REVIEWS - REQUESTED UNDER THE CALL-IN
PROCEDURE OR INITIATED BY THE OVERVIEW AND SCRUTINY
COMMITTEE OR SCRUTINY PANELS
Request for call-in
10 working days
OSC agrees no
Overview & Scrutiny Committee (O&S) meets,
accedes/deadlines to request, determines
action on review.
matter at the meeting or initiates a review
Notifies Member
within 2 wkg days
O&S or Scrutiny Panel allocated matter
conducts review within timescale set
O&S considers Review findings and any
submission from the Cabinet
Cabinet agrees
and implements.
Cabinet considers O&S recommendations
Notifies O&S
within 2 wkg days
Cabinet disagrees.
Notifies O&S
within 2 wkg days
At its discretion only, Cabinet can refer
the matter to Council
Cabinet decision will
be subject to normal
post decision
scrutiny
Part 4 – 4.5 Overview and Scrutiny Procedure Rules
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213
Part 4 – 4.5
CALL-IN OF CABINET DECISIONS
DECISIONS WITHIN THE POLICY
DECISIONS CONTRARY TO OR NOT
AND FINANCIAL FRAMEWORK
SUMMAR
Y OF CABINET
WHOLLY IN ACCORDANCE WITH
Overvie
DECISIONS
MADE CIRCULATED
POLICY AND FINANCIAL FRAMEWORK
TO ALL MEMBERS
WITHIN 5 WORKING DAYS
WITHIN 5 WORKING DAYS
w an
If urgent
Call in received
If urgent
No Call-in received
d Scrutiny P
No Call-in received
Call in received
If urgent
If non urgent
Chair of O&S Committee/Relevant
Panel consulted
DECISION
DECISION
DECISION IMPLEMENTED
O&S MEETS
O&S DECIDE
IMPLEMENTED
DECIDES
ALTERNATIVE
FORTHWITH
COUNCIL
NO ACTION
RECS
CONSIDERS
ON CALL-IN
REPORT TO O&S
O&S MEETS TO CONSIDER
IF AGREES
IF NO AGREEMENT
rocedu
WIT
CABINET
H REASONS
DECISION
TO URGENCY
If sufficient time
WHY COULDN’T
PROPOSAL
URGENT IN
BE DELAYED
O&S DECIDE
O&S TAKES VIEW THAT
CIRCUMSTANCES
re Ru
DECISION CONTRARY
If
insufficient
ALTERNATIVE
OR
COUNCIL
TO POLICY AND
COUNCIL
time
RECS
FINANCIAL F/WORK
MEETS
les
O&S DECIDE
MEETS
NO ACTION
214
CABINET
ON CALL-IN
MEETS TO
CABINET
COUNCIL
CONSIDERS
CONSIDER
MEETS
O&S RECS
O&S RECS
DECISION
DECISION
IMPLEMENTED
IMPLEMENTED
DECISION
DECISION
DECISION
FORTHWITH
MADE BY
MADE BY
MADE BY
DECIDES DECISION
COUNCIL
COUNCIL
DECIDES DECISION
COUNCIL
IS CONTRARY TO
NOT CONTRARY TO
P&F F/WORK
P&F F/WORK
REQUEST CABINET
COUNCIL
COUNCIL
RECONSIDER IF COUNCIL
DECISION
REPORT TO COUNCIL
BELIEVES DIFFERENT
MEETS
MEETS
IMPLEMENTED
EXPLAINING
DECISION
DECISION
(AMENDED IF
DECISION, REASONS
MORE APPROPRIATE
CABINET WISHES)
MADE BY
FOR IT & REASON
COUNCIL
FOR URGENCY
Cou
CABINET
MEETS
DECISION
ncil – Ma
DECISION
MADE BY
MADE BY
COUNCIL
COUNCIL
DECISION
IMPLEMENTED
y 200
(AMENDED IF CABINET
WISHES)
6
22. The
Party
Whip
Members of the Overview and Scrutiny Committee and its Panels are not
subject to a party whip.
23. Procedure at Overview and Scrutiny Committee (Scrutiny Panel)
meetings
(a) The Overview and Scrutiny Committee (Scrutiny Panel) shall consider
the following business:
(i)
minutes of the last meeting;
(ii) declarations of interest;
(iii) consideration of any matter referred to the Committee (Panel) for
a decision in relation to call in of a decision;
(iv) responses of the Cabinet to reports of the Overview and Scrutiny
Committee (Scrutiny Panel); and
(v) the business otherwise set out on the agenda for the meeting.
(b) Where the Overview and Scrutiny Committee (or Panel) conducts
investigations (e.g. with a view to policy development), the Committee
(Panel) may also ask people to attend to give evidence at Committee
(Panel) meetings which are to be conducted in accordance with the
following principles:
(i) that the investigation be conducted fairly and all Members of the
Committee (Scrutiny Panel) be given the opportunity to ask
questions of attendees, and to contribute and speak;
(ii) that those assisting the Committee (Scrutiny Panel) by giving
evidence be treated with respect and courtesy; and
(iii) that the investigation be conducted so as to maximise the
efficiency of the investigation or analysis.
(c) Following any investigation or review, the Committee (Scrutiny Panel)
shall prepare a report, for submission to the Executive and/or Council
as appropriate, and shall make its report and findings public.
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215
PROTOCOL FOR POLICY AND BEST VALUE REVIEWS
Development of reviews on the Policy Framework, etc are clearly identified
as executive functions. The Constitution should provide for Members in
their representational role to play a significant part in consultations on:
∗ Development of Best Value Performance Plans.
∗ Best
Value
Reviews.
∗ Other local initiatives.
∗ The community planning process more generally.
1.
The Cabinet will recommend to the Council an annual policy and
financial framework including:
(a)
The Best Value Performance Plan comprising Best Value
reviews.
(b) Policy
reviews
(c)
How those reviews will be led and implemented, their terms
of reference and the broad timetable for doing so.
2.
The Cabinet will consult the Overview and Scrutiny Committee
which may:
(a)
comment on the overall framework, any specific proposals
for policy reviews and the overall Performance Plan including
the reviews to be undertaken, their terms of reference,
timetabling and suggested means of implementation; and
(b)
identify any Policy or Best Value reviews in which it would
wish Scrutiny and Frontline Members to be involved and how
this would be done.
(c)
Comment on budget proposals and put forward alternative
funding solutions.
(d) Delegate
consideration
to a Scrutiny Panel.
3.
The recommendations of the Cabinet and of the Overview and
Scrutiny Committee (or Panel(s)) together with any views of the
Part 4 – 4.5 Overview and Scrutiny Procedure Rules
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216
Cabinet on the Overview and Scrutiny Committee
recommendations, will be submitted to Council which will approve
the policy and financial framework, including the Performance Plan
and its means of implementation.
4.
Each Policy and Best Value review will be the responsibility of a
particular Cabinet Commissioner but project leadership may be
delegated.
5.
Subject to there being no conflict of interest, Scrutiny and Frontline
Members may be involved in Policy and Best Value reviews as
determined by the Overview and Scrutiny Committee (Scrutiny
Panels). Depending on the nature of involvement in a review
Members of the Overview and Scrutiny Committee or Scrutiny
Panel involved in any review will be required to declare an interest
when the matter comes before the Overview and Scrutiny
Committee or Panel and take no part in the voting.
6.
If the Overview and Scrutiny Committee or one of its Panels
indicates that it wishes to be consulted on an ongoing Best Value or
Policy review, the Review will submit progress reports as required
to the Committee/Panel.
7.
The draft outcomes and recommendations of a Best Value or Policy
review will be informally cleared by the appropriate Cabinet
Commissioner prior to submission to the Overview and Scrutiny
Committee for comment.
8.
The outcomes and recommendations arising from reviews will be
submitted to the Cabinet. The views of the Overview and Scrutiny
Committee will also be submitted to the Cabinet. Minority reports
will be submitted at the same time as the views of the Overview and
Scrutiny Committee (Panel) and will accompany the final report of
the Committee (Panel).
9.
The Cabinet may take a decision when it has delegated authority to
do so. However, as the reviews generally cover matters of policy,
the Cabinet will normally make recommendations to the full Council.
10.
The Overview and Scrutiny Committee or a Scrutiny Panel may
scrutinise a decision of the Cabinet, the review process followed
and overall progress on Performance or Policy Plan implementation
but not to the effect of initiating an alternative concurrent or
immediately subsequent review on the matter in question, unless
authorised by full Council.
Part 4 – 4.5 Overview and Scrutiny Procedure Rules
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217
11.
The Overview and Scrutiny Committee or a Scrutiny Panel shall not
initiate a further Best Value or Policy review on any matter within
twelve months from the date of any decision on the outcome of a
Policy or Best Value review within the approved framework and
determined by the Cabinet or Council.
12.
Any significant amendment to the framework or Performance Plan
will be approved by the Council.
13.
The relevant Chief Officer will ensure that a progress report is
submitted to the Cabinet/Overview and Scrutiny Committee six
months after the approval of Best Value Review recommendations
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218
PLANNED POLICY/BEST VALUE REVIEWS
Cabinet recommends the Council's Annual Policy and Financial Framework
Overview and Scrutiny Committee comments on the Framework consulting
Scrutiny Panels as necessary
Cabinet will consider the Overview and Scrutiny Committee's comments/
recommendations
Cabinet recommendations plus any recommendations from the Overview
and Scrutiny Committee and the Cabinet views thereon will be considered
by Council
O&S/Panels monitor
Cabinet implements the Reviews agreed by Council
implementation
Draft outcomes/recommendations cleared by Cabinet Commissioner
O&S considers the draft outcomes/recommendations
Cabinet considers outcomes and
Cabinet makes
Subject to
recommendations arising from the Reviews
non policy
scrutiny call-in
including views of O&S
decisions
procedure
delegated to it
Cabinet makes new policy recommendations
Subject to scrutiny
to Council
call-in procedure
O&S decides
no action
O&S makes
recommendations
to Council
Council considers Cabinet recommendations,
Cabinet considers Overview &
Overview and Scrutiny Committee's views and
Scrutiny Committee's comments, etc
the Cabinet comments thereon
Part 4 – 4.5 Overview and Scrutiny Procedure Rules
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219
Part 4.6
Financial Procedure Rules
1.
INTRODUCTION
1.1
These Rules outline in broad terms the system of financial administration to operate within
the Council at Directorate level. They are complementary to the relevant sections of the
Constitution, which seek to prescribe a framework for the effective management of the
Council’s financial business and to ensure that public accountability and high standards of
financial integrity are exercised in the use of public funds. These
Financial Procedure
Rules are controlled by the Cabinet and are subject to any overriding or general direction
by the Council.
1.2
These Rules shall apply to any service carried out by or on behalf of the Council, except
where expressly approved by Council, in any delegation or agency scheme, agreement or
other document made with any other authority, body or person.
1.3
The Strategic Director of Finance & Property shall make recommendations to Cabinet to
keep these Rules up to date and ensure that:
(a) all Members and Officers are aware of their existence and understand that failure to
comply with their requirements or with instructions issued under them will constitute
misconduct;
(b) all details of amendments and instructions issued under these Rules are circulated
promptly;
1.4
It shall be the duty of each Strategic Director to ensure that these Rules together with any
other instructions issued by the Strategic Director of Finance & Property are brought to the
attention of and followed by their Directorate employees.
2.
GENERAL
2.1
Subject to any directions and authorisations given by the Council, the Cabinet shall:
(a)
oversee, co-ordinate and control the Council's finances and accounts;
(b)
as soon as practicable after the end of each financial year, but in any event prior to
the statutory date, currently 31st July but from 2005/06 onwards 30 June, approve
for submission to the External Auditor the statutory Statement of Accounts for the
preceding financial year;
(c)
as soon as practicable after receipt, present to the Council the External Auditor's
Annual Management Letter and any Letter in the Public Interest together with such
comment and recommendations thereon considered appropriate;
(d)
maintain the Council's Treasury Management Policy Statement having regard to the
requirements of the Local Government Act 2003, CIPFA’s Prudential Code for
Capital Finance and best practice as set out in the CIPFA Code of Practice for
Treasury Management in Local Authorities with a view to ensuring that the
authority’s finances continue to be managed on a sound basis;
(e)
make, keep under review and revise as necessary these Financial Procedure Rules
to provide for the proper supervision and control of the finances, accounts, income,
expenditure and assets of the Council in conformity with the Constitution and all
relevant statutes and best practice.
Part 4 – 4.6 Financial Procedure Rules
Council - May 2006
220
(f)
after consultation with the Scrutiny and Overview Committee make any other
recommendations to the Council it considers necessary.
2.2
The Strategic Director of Finance & Property fulfils the statutory responsibilities of the
“Chief Finance Officer” and shall, for the purposes of Section 151 of the Local
Government Act 1972, under the general direction of the Cabinet, be responsible for the
proper administration of the Council's financial affairs. This will also include duties under
Section 73 of The Local Government Act 1985 and Section 112/114 of The Local
Government Finance Act 1988 and Sections 25, 27 and 30 of the Local Government Act
2003.
2.3
The Cabinet, Commissioners, other Committees and Strategic Directors shall be
responsible for the observance of the Council's Financial Procedure Rules throughout all
functions and financial areas under its control.
2.4
Strategic Directors shall be responsible for the overall accountability and control of
employees and the security, custody and control of all other resources including vehicles,
plant, buildings, materials, furnishings, cash and stores appertaining to their respective
Directorates.
3.
DEFINITION OF TERMS & RESPONSIBILITIES
3.1
Authorised Officer / Service Manager
Designated by the Council or nominated by a Strategic Director as being charged with
managing a particular service, project or activity. Service Managers are responsible through
the Directorate line management structure for the financial management of their area.
However, such delegation shall not divest the Strategic Director of the responsibility for the
effective, efficient and proper delivery of such matters.
3.2
Budget Head
The budget held on a unique code combination. In this context, “budget” must be taken to
be the permission to spend given by Council.
4.
AUDIT & CONTROL ISSUES
General
4.1
The Strategic Director of Finance & Property, the Council’s Internal Audit Team and the
Council’s External Auditors shall have the authority to:
(a) enter any Council premises or land;
(b) have access to all assets, records, documents, correspondence and control systems
relating to any financial and other transactions of the Council;
(c) access records belonging to third parties, such as contractors, when required.
(d) require and receive such explanations as are necessary concerning any matter under
examination;
(e) require any employee or agent of the Council to produce cash, stores or any other
Council property under their control.
Part 4 – 4.6 Financial Procedure Rules
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221
(f) report to the Head of Paid Service, the Audit Advisory Panel or any other officers or
members of the Council as are appropriate..
Internal Audit
4.2
The Strategic Director of Finance & Property shall ensure that an effective Internal Audit
Team is maintained by the Council. The Chief Internal Auditor shall provide assurances on
the adequacy of the internal control system and audit work will be conducted to professional
standards in accordance with the Auditing Practices Board, CIPFA and other relevant
guidance. The Chief Internal Auditor will report on internal control no less frequently than
six monthly.
4.3
The Strategic Director of Finance & Property shall:
(a) approve the strategic and annual audit plans prepared by internal audit,
which take account of the characteristics and relative risks of the activities
involved.
(b) maintain a permanent record of internal audit reports which are available
for inspection by Members of the Council.
(c) regularly inform the Audit Advisory Panel of audit reports and corrective
action, where appropriate.
4.4
All elected Members, members of staff and contractors must give access at all reasonable
times to premises, personnel, documents and assets that the auditors consider necessary
for the purposes of their work and that auditors are provided with any information and
explanations that they seek in the course of their work.
4.5
Strategic Directors should consider and respond promptly to recommendations in audit
reports and ensure that any agreed actions arising from audit recommendations are carried
out in a timely and efficient fashion.
4.6
Whenever any matter arises out of any audit activity or otherwise comes to the attention of
Internal Audit which reveals or suggests the possibility of any irregularity, the Chief Internal
Auditor shall consult immediately with the Strategic Director of the Directorate concerned,
the Strategic Director of Finance & Property and the Strategic Director of Law & Corporate
Governance, to determine the nature of any action to be taken and to effect compliance
with these Rules.
External Audit
4.7
External Auditors will be appointed by the Council and their role is to provide:
• a report on the financial aspects of the Council’s corporate governance arrangements
• an opinion on the Council’s financial statements
• a conclusion on the Council’s use of resources
• a scored judgement on the use of resources to feed into the Comprehensive
Performance Assessment process; and
• a report on arrangements to manage the Council’s performance, including the
preparation and publication of specified performance information and compliance in
respect of the preparation and publication of the Council’s best value performance
plan (BVPP)
4.8
The Strategic Director of Finance & Property shall be responsible for the submission of the
Council’s accounts to the External Auditor in accordance with the Accounts and Audit
Regulations 2003 and in consultation with the Chief Executive and such other Officers as
appropriate shall submit these to the Council, with such comments and recommendations
as considered appropriate.
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4.9
The Strategic Director of Finance & Property shall be responsible for preparing and
publishing the audited accounts of the Council for each financial year, in accordance with
the statutory timetable and with the requirement for the Council to approve the statement of
accounts within a timescale determined by legislation.
4.10 The Strategic Director of Finance & Property shall ensure that there is effective liaison
between external and internal audit.
4.11
The Strategic Director of Finance & Property shall work with the external auditor and advise
Council, Overview and Scrutiny Committee, Audit Advisory Panel and Strategic Directors
on their responsibilities in relation to external audit.
Internal Control
4.12 Strategic Directors shall be responsible for ensuring that the whole system of controls,
financial and otherwise, set up within the organisation provide reasonable assurance that:
(a) the Council’s policies are put into practice;
(b) the Council’s values are met;
(c) laws, rules and regulations both external and internal, are complied with;
(d) the Constitution, including all Articles, Rules and Codes and Protocols are adhered to;
(e) financial statements and other published information are accurate and reliable.
4.13 Strategic Directors must obtain prior written agreement from the Director of Finance &
Property for any new systems or changes to existing financial systems.
Financial Irregularities
4.14 Any employee who becomes aware of any breach of the requirements set out in the
Constitution, and more particularly these Rules or of any matter that involves or is thought
to involve, any potential financial irregularity shall notify immediately their Strategic Director.
The Strategic Director shall consult with the Chief Internal Auditor to determine the most
appropriate action to be taken. No investigation of potential financial irregularity should take
place prior to seeking advice from Internal Audit. Where there is evidence to suggest that a
criminal offence may have been committed, it shall be the duty of the Strategic Director of
Finance & Property to refer the matter to the police having taken advice from the Strategic
Director of Law & Corporate Governance and the Chief Internal Auditor and to inform the
relevant Lead Commissioners and Leader of the Council.
4.15 It shall be the duty of a Strategic Director to report to the Chief Executive, the Strategic
Director of Finance & Property
and the Strategic Director of Law & Corporate Governance
when, after proper investigation, it is determined that the financial sections the Constitution
have not been complied with, or any financial irregularity has occurred. The report shall
include details of actions taken and/or proposed. The Chief Executive and the Strategic
Director of Law & Corporate Governance as Monitoring Officer will consider whether to
report the matter to the Cabinet or to any other Committee such as the Standards
Committees.
4.16
The Strategic Director of Finance & Property is responsible for developing and maintaining
Anti-Fraud and Corruption and Whistleblowing Policies.
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5.
ACCOUNTING PROCEDURES
5.1
Subject to statutory requirements and to any directions given by the Cabinet, the Strategic
Director of Finance & Property shall determine all the accounting procedures and records of
the Council and its officers and be responsible for making judgements and estimates that
are reasonable and prudent.
5.2
The Strategic Director of Finance & Property shall be responsible for keeping the principal
accounts and financial records of the Council. Directorate financial procedures and records
shall be compiled and maintained in accordance with such directions given by the Strategic
Director of Finance & Property
in consultation with the Directorate Strategic Director and
Service Managers. All the Council’s transactions, material commitments and contracts and
other essential accounting information should be recorded completely, accurately and on a
timely basis and reconciliation procedures carried out to ensure transactions are correctly
recorded.
5.3
There must be effective protocols for reconstituting accounting records in the event of a
system failure.
5.4
A Strategic Director and/or Service Manager shall consult with and must obtain written
permission
from the Strategic Director of Finance & Property before introducing, amending
or discontinuing any Directorate system, record or procedure that relates to any area
covered in these Financial Procedure Rules.
5.5
Strategic Directors in determining the allocation of accounting duties within their
Directorates shall observe the following principles:
(a) the duties of providing information regarding sums due to the Council and the
calculating, checking and recording of these sums shall be separated as completely as
possible from the duty of collecting or disbursing them;
(b) employees charged with the duty of examining or checking the accounts of cash
transactions shall not themselves be engaged in any of those transactions.
5.6 All relevant Members, finance staff and service managers are required to operate within the
accounting standards and timetables.
5.7 The Strategic Director of Finance & Property will ensure that all claims for funds, including
grants, are made by the due date.
6.
BUDGETING
6.1
The Strategic Director of Finance & Property will develop and maintain a Financial Strategy
for the Council. The procedure leading to the approval by Council of the Capital Programme
and Annual Revenue Budget will be determined each year by the Strategic Director of
Finance & Property. This procedure will be consistent with any direction given by the
Cabinet which shall fulfil all statutory requirements.
6.2
The Strategic Director of Finance & Property will advise Council on prudent levels of
reserves.
6.3
Capital and Revenue Budgets shall be prepared by Strategic Directors in conjunction with
the relevant Finance Manager in accordance with directions and targets given by the
Strategic Director of Finance & Property. Managers are expected to maximise resources by
identifying and successfully bidding for external grants and funding wherever possible.
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6.4
Strategic Directors must review the level of all discretionary and non-discretionary charges
within their control annually in line with the preparation of the Revenue Budget.
6.5
Revenue and capital budget growth bids and savings targets will be subject to the scrutiny
and review of a Member/Strategic Director Group that will consider their priority.
6.6
The Directorate Capital and Revenue Budgets will be presented to the Corporate
Management Team and subsequently the Cabinet by the Strategic Director of Finance &
Property for approval prior to being submitted to the Council for consideration.
6.7
No new revenue or capital scheme(s) may be committed without the specific approval of
the Cabinet and unless a report including full scheme appraisal has been undertaken. The
report on the scheme must include a financial and technical appraisal in the format
prescribed by the Strategic Director of Finance & Property, identifying amongst others,
alternative/s to the proposed bid, resources required for delivery, delivery mechanism and
timetable.
6.8
Before the report is presented to Members, the Strategic Director of Finance & Property
and the Strategic Director of Law & Corporate Governance must be satisfied that all
financial and contractual arrangements are in order and that all Financial Procedure Rules
and Contract Procedure Rules have been complied with.
6.9
Refer to the Budget and Policy Framework Procedure Rules, also within the Constitution,
for additional guidance.
7.
BUDGETARY CONTROL AND VARIATIONS
Corporate Budgetary Control
7.1.
The Strategic Director of Finance & Property shall report to the Cabinet on the Council’s
overall financial performance and ensure that the Cabinet and other Committees are kept
adequately informed of the financial implications of their activities
.
7.2
Strategic Directors, with the assistance of their Finance Manager, shall return the
monitoring information to Corporate Finance each month in accordance with the agreed
format and timetable.
7.3
Service Managers shall be responsible for ensuring they supply timely information on
monthly expenditure, income and commitments to their Finance Managers.
7.4
All officers producing reports for elected Members must seek support and advice from their
Finance Manager in assessing the financial implications of any actions recommended.
The financial implications of reports must then be cleared with the Strategic Director of
Finance & Property prior to the report being presented to elected Members.
Cost Centre Budgetary Control
7.5
The Strategic Director of Finance & Property shall ensure that an effective system of
budgetary control is operated throughout all Directorates.
7.6
Strategic Directors must nominate a named budget holder for each cost centre within their
Directorate.
7.7
Strategic Directors are responsible for the economic, efficient and effective use of
resources allocated to their Directorate, including identifying opportunities to minimise
resource requirements without having a detrimental effect on service delivery.
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7.8
Service Managers are responsible for the economic, efficient and effective use of resources
allocated to them.
7.9
Service Managers are responsible for the day to day monitoring of their agreed income and
expenditure budgets. Service Managers will be assisted in this duty by financial
management information, support and advice provided by their Directorate finance section.
7.10
Service Managers must not spend more than their annual budget and are expected to take
corrective action if necessary during the course of the year in order to stay within budget.
7.11 Finance managers shall co-ordinate the information from service managers and submit a
regular monitoring report to the Directorate Management Team. Where a monitoring report
highlights a projected overspend, the Strategic Director and Service Managers must
produce an action plan to contain that overspend.
7.12 The Strategic Director of Finance and Property will determine the rules for considering
either carry forward requests or penalties. Any approved revenue budget that is unspent at
year-end can only be carried forward if approved, initially by the Strategic Director of
Finance and Property, Cabinet and/or the Council will be asked to approve the
recommended carry forwards as part of the approval of the financial accounts.
Capital Projects Control
7.13
The Strategic Director of Finance & Property is responsible for issuing guidance concerning
capital schemes and controls, and determining the definition of “capital”, having regard to
government regulations and accounting requirements.
7.14 The Asset Management Group is responsible for coordinating the preparation, review and
implementation of the Council’s Capital Strategy and Asset Management Plan. The Group
is also responsible for evaluating bids for capital funding and the monitoring of the capital
programme including Post Project Evaluations.
7.15 The Asset Management Group has created sub groups to monitor the various aspects of
the capital programme in more detail and thus allowing the main Group consisting of senior
officer representatives across the Council Departments to concentrate on the overall capital
strategy. The sub Groups report to the main Group and are:
(i)
Capital Monitoring Group with responsibility for detailed monitoring of the high
profile/spending schemes.
(ii)
Major Applications Group, which monitors and reviews the progress on resources
such as S106 grant funding.
7.16
To support the management and delivery of the capital programme:
(a) Service Departments as the owners and sponsors of individual capital projects hold the
ultimate responsibility and accountability for the delivery of individual capital projects
must sit with the service departments who are the owners and sponsors of the project.
Both Finance and Property Services will help and support the delivery of the overall
capital programme. To achieve this, one officer/post must be identified from each
service department who will lead on behalf of that department for the overall
management and delivery of the department’s capital programme. That officer will also
report on a regular basis (at least monthly) to the Department Management Team on
the progress of the capital programme and identify and implement corrective measures
that may be required.
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(b) The Service Department lead officer on the capital programme will provide the
progress information necessary to enable the Strategic Director of Finance and
Property Services to present regular overall capital financing monitoring report to the
Members, which will include level of committed budget, where this is defined as
situations where, “the contract has been let and the payment either for value of work
and goods or grant payment will be accounted for by 31st March of the year in
question”.
(c) Individual service departments will have the opportunity to present their capital
programme during the course of the year to quarterly meetings of Overview and
Scrutiny Committee to discuss progress on individual schemes in further detail
Revenue Budget Virement
7.17
Budget provision may be transferred from one budget head to another (known as virement)
during the course of the year subject to the following rules:
(a)
the total cost of the proposal is capable of being met from an identified part of that
Service Manager’s/Managers’ approved budget(s);
(b)
the item is not creating new policy or initiatives not identified in approved budgets or
service plans;
and with the authorisation of the following Responsible Officers and Members:
Virement of up to £100,000 within the same Directorate
The individual Service Manager or relevant Service Managers in consultation with the
Directorate Finance Manager.
Virement of over £100,000 to £250,000 within the same Directorate The individual Service Manager or relevant Service Managers in consultation with the
Directorate Finance Manager and with the agreement of the Directorates Strategic Director
and Strategic Director of Finance & Property. The relevant Cabinet Commissioner should
be informed of these adjustments.
Virements of more than £250,000 and less than £500,000 within the same Directorate
The Directorates Strategic Director in consultation with the Strategic Director of Finance &
Property and the relevant Cabinet Commissioner.
Virement of up to £250,000 between Directorates
The relevant Service Managers within the relevant Directorates their respective Finance
Managers and with the agreement of the relevant Directorates Strategic Directors and
Strategic Director of Finance & Property. The relevant Cabinet Commissioner should be
informed of these adjustments.
Virements between directorates of between £250,000 and £500,000
The Strategic Director in consultation with the Strategic Director of Finance & Property and
the Cabinet.
All single and cumulative virements whether within or across Directorates above
£500,000
The Cabinet and the Council:
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7.18
Each virement decision at whatever level needs the written approval of the relevant officers
listed. A Budget register for each directorate must be maintained which records all budget
transfers. A corporate budget register must be kept by Corporate Finance recording budget
transfers between. All budget transfers (virements) must be recorded within the Council’s
prime Financial System within 3 working days of approval being received.
7.19
Strategic Directors must report the cumulative value of virements, by service, as part of the
regular cost centre budgetary control, as referred to above.
Capital Budget Variations
7.20
The spending Strategic Director may authorise a variation(s) to the contract
subject to:
(a) the variation itself, or when added to previous variations not incurring additional
expenditure of more than 10% of the total cost of the scheme or £50,000 whichever is
the lower;
(b) the estimated annual capital payments for the scheme exceeding the annual amounts
included within the Capital Programme by more than 10% or £25,000 whichever is the
lower;
and
(c) a copy of the authority in the prescribed form being sent to the Strategic Director of
Finance & Property;
(d) a
variation(s) which results in the total or annual cost of the scheme exceeding the
above financial limits shall be reported to the Cabinet;
7.21 Where completion of a contract is likely to be delayed by more than one-eighth of the
contract period, the appropriate Strategic Director shall inform the Strategic Director of Law
& Corporate Governance and Strategic Director of Finance & Property and
a joint decision.
as to whether, and for what reason an extension of time is to be granted or a claim for
liquidated damages is to be actioned.
7.22
If a scheme underspends its annual budget by either 5% or £10K (whichever is the higher),
then the service department must submit a project management case to the Asset
Management Group (AMG), including reasons for not delivering the project as originally
anticipated and how it proposes to deliver it in the next financial year, including key dates.
AMG will consider the project management case and make recommendations on the carry
forward of any slippage.
7.23 This process is not intended to abort funding for the approved and already started capital
schemes, as that may not be in the Council’s best interest. The process is designed to
ensure that the responsibility and accountability for individual schemes is embraced by
service departments and thus resulting in improved levels of the overall delivery of the
capital programme.
8.
EXPENDITURE
Authorisation and Certification
8.1.
Strategic Directors shall, having had regard to any guidance issued by the Strategic
Director of Finance & Property, determine which
officers in their respective Directorates,
shall be duly authorised to certify the following:
(a) Official Orders and Contracts;
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(b) Invoices, Contract Certificates for Payment and Requests for Cheques;
(c) Contract Variation Orders / Architect Instructions;
(d) Documents relating to the remuneration and other conditions of employment of
employees;
(e) Petty Cash and Travelling and Expenses reimbursement claims;
(f) Stock
Sheets;
(g) Any other purpose as defined or authorised by the Council or Strategic Director that
may arise in relation to financial matters.
8.2 Strategic Directors shall ensure that the Strategic Director of Finance & Property is provided
with an up to date composite list of the names and specimen signatures of all the officers so
authorised. Approval at Assistant Director level or above is required where agency staff are
included on the authorised signatory list. The list shall be held in the format determined by
the Strategic Director of Finance & Property.
8.3 Before entering into a contract and/or placing an order, the Responsible Officer must ensure
that there is an approved budget (capital or revenue) sufficient to meet the cost of the
contract as specified by a written estimate of the cost of the goods, services or works and
any associated annual expenditure.
Approved List
8.4 The Approved List is a list of suppliers/contractors who have been pre-approved to provide
goods and services to the Council. All applications to join this list shall be scrutinised by a
group of suitably qualified officers to evaluate technical competence, financial standing, oral
and written references, compliance with the Council’s Key Policy Priorities, Health and Safety
and Equal Opportunities legislation and any other pre-determined relevant criteria.
8.5 The Strategic Director shall approve the Directorate Approved List which shall contain:
(a)
the names and addresses of no fewer than four contractors/suppliers in each category.
Less will be acceptable in cases where the nature of work restricts the number of
relevant contractors wishing to appear on the list
(b)
the type and value of goods, services or works for which they are approved.
8.6 The Approved List shall be kept under continuous review with annual financial checks and at
least once every three years an advertisement shall be placed inviting contractors/suppliers
to apply/reapply to be included in the approved list. Any applicant later wishing to join the
Approved List must be subject to scrutiny in accordance with 8.5 above.
8.7 Contractor/suppliers who fail to submit tenders on three occasions without adequate reasons
shall be removed from the list.
8.8 A contractor/supplier can be suspended or deleted from an Approved List only when they fail
to meet one or more of the criteria in the approved evaluation process or fail to tender as in
8.7 above. There must be substantive evidence for the suspension or deletion and it must be
recorded as a key decision.
8.9 Where there is an approved list Strategic Directors must ensure that all contractor/suppliers
on the list are invited to tender or quote on a regular basis.
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Orders for Work, Goods and Services
8.10
Official orders shall be in a form approved by the Strategic Director of Finance & Property in
consultation with the Assistant Director (Legal & Valuation Services) and shall be signed by
a Directorate Service Manager or such other person authorised by the Strategic Director as
having authority to approve official orders issued from that Directorate.
8.11
Official orders must be issued for all work, goods or services to be supplied to the Council
except for,
(a) the continuous supply of utility services,
(b) supplies subject to periodical payments,
(c) petty cash purchases,
(d) where a formal contract required by these Rules
provides for an alternative procedure
and
(e) such other exceptions as the Strategic Director of Finance & Property may approve.
8.12 Where in exceptional circumstances an oral order is given it shall be confirmed by an
official order clearly endorsed “confirmation order”
within 2 working days and a letter of
agreement of contract terms. No other order shall be recognised by the Council.
8.13 Purchasing cards can be used as an alternative to placing an order and any such
purchases must comply with the detailed guidelines set out in Slough BC’s, “Purchasing
Card Procedures Guide for Cardholders”.
8.14
Orders shall be placed only where there is
adequate financial provision within the approved
revenue budget or capital. Budget holders must maintain a record of expenditure
throughout the year and must ensure that orders and/or contracts are not placed which
would cause the any budget head to be exceeded.
8.15 Orders should only be used for goods and services provided to the Council. Individuals
must not use official orders to obtain goods or services for their private use.
8.15
Each order shall conform with any directions of the Council relating to central purchasing or
the standardisation of supplies and materials, and shall indicate clearly the nature and
quantity of the work, goods or services required and any contract or agreed prices.
Computer hardware and software and other such IT related goods must only be ordered
through the Head of Information & Technology.
8.16
A copy of each order shall be supplied to the Strategic Director of Finance & Property, if so
required.
8.17
Where the cost of the work, goods or services to be ordered is likely to be
£50,000 or less
at least 3 written quotations shall be obtained by the Authorised Officer in accordance
with Contract Procedure Rules in order to secure value for money. Service Managers shall
ensure that competitive quotes are obtained, recorded (and retained) prior to placing orders
for goods, services or works.
Telephone quotes can be obtained and must be recorded
on a pro-forma document where the
estimated cost is unlikely to exceed £2,500. Formal
written quotes must be obtained where the estimated cost exceeds £2,500 and does not
exceed £50,000. Written quotes shall be sent to the Directorate representative designated
by the Strategic Director who shall record and date the quotes and pass them to the
ordering officer after the closing date. Line managers will be responsible for ensuring that
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quotes in accordance with these procedures are obtained as part of their regular one-to-one
meetings with their staff members.
8.18 Where the cost of the work, goods or services is likely to be in excess of £50,000 the
tendering procedure set out in Contract Procedure Rules shall be followed and a written
contract shall be prepared unless the Strategic Director of Law & Corporate Governance
and Strategic Director of Finance & Property both otherwise determine.
8.19 Where on examination a tender or quotation reveals mathematical errors which affect the
tendered
or quoted figure in an otherwise successful submission, the sender shall be
supplied with the detail of such errors and given the opportunity of confirming or
withdrawing the tender or quotation in writing within 7 working days unless otherwise
agreed by the Strategic Director of Law & Corporate Governance. If withdrawn the next
submission in competitive order shall be considered and as necessary
dealt with in a similar
manner.
Contracts
8.20
All contracts entered into shall comply with the Council’s Contract Procedure Rules relating
to contracts, these Financial Procedure Rules and the Council’s Contracts Manual.
8.21
Any person who is not an employee of the Council or a firm who is appointed to supervise
or manage a contract on behalf of the Council shall be supplied with a copy of the Council’s
Contract Procedure Rules and Financial Procedure Rules and their conditions of
appointment shall provide that:
(a) the Contract Procedure Rules and Financial Procedure Rules are complied with.
(b) at any time during the course of the contract, all records maintained relating thereto
shall be produced to the appropriate Strategic Director or the Strategic Director of
Finance & Property or such other person authorised by them on request.
(c) on completion of the contract, all such records shall be handed over to the appropriate
Strategic Director who shall provide for their safe and secure retention for such period
as required by statute or, in the absence of any such requirement, as the Strategic
Director of Finance & Property from time to time shall determine.
8.22
All contracts shall be evidenced in writing. Contracts of £50,000
or more in value or amount
shall be sealed with the common seal unless the Strategic Director of Law & Corporate
Governance having regard to the circumstances in any particular case otherwise
determines. Service Managers shall consult with the Strategic Director of Law & Corporate
Governance as to the preparation of a contract under seal where the value or amount
involved is less than £50,000 if the circumstances suggest that such action may be in the
best interest of the authority.
8.23 Every contract shall contain such standard clauses as approved by the Assistant Director
(Legal and Valuation Services) and Strategic Director of Finance & Property.
8.24
In relation to goods and services ordered to below the value of £5,000 a letter must be sent
with the order outlining the terms and conditions.
8.25 In relation to goods and services ordered to the value of between £5,000 and £50,000 a
formal agreement must be signed by the Strategic Director. who shall consult with the
Strategic Director of Finance & Property about the contractor’s financial capability and with
the Strategic Director of Law & Corporate Governance on the contract terms and
conditions.
8.26 The Contract Procedure Rules refer to security and performance of contracts but the
following must be observed. The Strategic Director of Law & Corporate Governance in
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consultation with the responsible Service Manager
shall arrange where necessary for
suitable and adequate bond and/or liquidated damages and/or parent company guarantee
for the due performance of every contract the value of which exceeds £50,000. The Service
Manager shall ensure that all necessary insurance have been effected and remain in force
throughout the period of each contract.
8.27 Service Managers shall ensure that the Strategic Director of Finance & Property is provided
with such details as may be required of all contracts, agreements or instruments which
provide for payment or receipt of money by the Council by instalments. The Strategic
Director of Finance & Property shall ensure a register of all such items is maintained so as to
show the state of the account in each case between the Council and the other contracting
firm, person or party to the contract.
8.28 Strategic Directors shall maintain a register of all contracts in a form approved by the
Assistant Director (Legal and Valuation Services). Copies of contracts over £50,000 shall be
supplied to the Strategic Director of Law & Corporate Governance by the Service Managers
8.29 Payments to contracting firms or persons
by instalments shall be authorised only on an
official certificate signed by the appropriate Strategic Director or other duly authorised officer
in a form approved by the Strategic Director of Finance & Property. Certificates shall be dealt
with promptly and processed so that payment may be made within the time prescribed in the
contract.
8.30 The Director of Strategic Director of Finance & Property in consultation with the Strategic
Director of Law & Corporate Governance and the appropriate Service Manager/Contract
Administrator may, until the terms of the contract have been complied with, withhold payment
of any sums purporting to be due to a contractor.
8.31 Claims from contractors and third parties in respect of matters not clearly within the terms of
the contract shall be referred to the Strategic Director of Law & Corporate Governance and
the Strategic Director of Finance & Property
for consideration of the Council’s
legal and
financial liability before any settlement is reached.
8.32 In relation to Building Contracts over £50,000, a Strategic Director or authorised officer shall
upon receipt of a request from a contractor to issue a final certificate of payment under a
contract, inform the Strategic Director of Finance & Property who
shall determine whether a
pre-payment audit shall be conducted. In which case the contractors final account and such
other documents and records relating thereto as are considered necessary shall be
forwarded to Internal Audit for examination. Service Managers shall notify the Strategic
Director of Finance & Property
in writing following satisfactory completion of the maintenance
period under a contract for which they are responsible so that any retention money may be
released.
8.33 On completion of each Building/Capital Works contract the responsible Service Manager in
consultation with the Strategic Director of Finance & Property
shall report to the Cabinet
details of the final costs compared with the accepted tender sum/quotation if there are
significant differences.
Consultants and Staff Employed through Employment Agencies
8.34 With regard to consultants’ contracts, there must be three alternative quotes to ensure best
value and a consultancy agreement in the form provided by Strategic Director of Law &
Corporate Governance or
otherwise agreed by Legal Services shall be signed, setting out
clearly Audit requirements regarding the project brief, milestones and measurement as well
as price. See the Guidance on appointment of consultants in the Managers’ Handbook.
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8.35 Contracts with consultants shall not be completed until the Strategic Director of Finance &
Property has agreed that satisfactory tax and VAT registration documents have been
supplied.
8.36 Payments shall not be made to consultants until a contract has been completed.
8.37 Strategic Directors shall maintain a register of consultants’ contracts and shall provide a copy
of all contracts to the Strategic Director of Law & Corporate Governance.
8.38 Strategic Directors shall maintain a register, in a form approved by the Assistant Director
(Legal and Valuation Services) and Strategic Director of Finance & Property, of staff
employed through employment agencies and shall provide a copy of all contracts to the
Director of Human Resources.
Payment of Accounts
8.39 Apart from petty cash payments from imprest accounts the method of payment of money due
from the Council shall be by cheque, bank transfer or other instrument drawn on the
Council’s bank account.
8.40 Accounts for payment by the Council shall be on the suppliers official printed invoice,
photocopies and faxes are not acceptable under any circumstances, and shall not be made
out by officers of the Council except in any case or class agreed by the Strategic Director of
Finance & Property.
Where accounts are made out by officers they shall accord with the
requirements of these Rules and shall bear the signature of at least two duly authorised
officers prior to certification for payment.
8.41 No officer shall amend or add any item or items to an invoice rendered by a supplier without
approval of the Strategic Director of Finance & Property.
8.42 The Directorate issuing an order shall be responsible for the examination, verification and
certification of the invoice. Certification of invoices for payment can only be undertaken by
officers authorised to do so under the Council’s Scheme of Delegation, or the Strategic
Director’s delegated powers as per 8.1 above. The certification for payment shall mean that
the certifying officer is satisfied that:
(a) the goods have been received, examined and approved as to quality and quantity, or
the work has been done or the service provided satisfactorily and that price is
reasonable and in accordance with the contract or order;
(b) the expenditure is within the approved budget
or covered by special financial provision
and is in accordance with the Constitution;
(c) the proper entries have been made on the copy order and in the inventory, asset
register or stores record as appropriate;
(d) the account has not previously been certified for payment. Payment must not be made
against a faxed or photocopied invoice.
(e) a duplicate invoice is appropriate since the original has not previously been certified for
payment and can no longer be found;
(f) any available trade or cash discount, adjustment, credit note, returns or packaging,
have been claimed and taken into account;
(g) in the case of charges for utilities services including gas, electricity, telephone, water or
rates any standing charges are correct and that consumption is charged on the most
advantageous tariff and is reasonable;
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(h) any VAT included on the invoice has been appropriately included and charged at the
correct rate;
(i) if VAT is charged, that the invoice complies with the requirements of HM Customs &
Excise as per Section 5 of the Council’s VAT Manual.
(j) the account is arithmetically accurate;
(k) the coding to the appropriate revenue budget or capital scheme, including the VAT
amount, shown on the invoice is correct. The invoice shall contain the official order
number.
8.43 Strategic Directors shall arrange a suitable division of staff duties within their Directorates
so that the officer who certifies an invoice for payment shall not, save in exceptional
circumstances as agreed with the Strategic Director of Finance & Property, be the person
who either placed the order, certified the receipt of the goods, the supply of service or
completion of the work concerned.
8.44
Accounts for payment shall be submitted to and in the manner and frequency prescribed by
the Strategic Director of Finance & Property, and shall be certified in accordance with these
Rules.
8.45 The Strategic Director of Finance & Property shall arrange for the prompt payment of all
accounts on being satisfied
by means of a suitable level of selective
checks and enquiries
and receiving such information and explanations as may be considered necessary
that they
have been duly examined and certified and are properly payable by the Council.
8.46 Strategic Directors and Service Managers shall, notify the relevant Directorate Finance
Manager of all due but outstanding revenue and capital payments and receipts relating to
the previous financial year in accordance with the closure of accounts guidance notes
issued by the Strategic Director of Finance & Property.
8.47
The Responsible Officers shall ensure the safe retention of all paid invoices and certificates
or media record thereof for as long as may be statutorily required, currently 7 years for
prime records such as invoices and 3 years for budget records.
Payment of Salaries and Wages
8.48
The Strategic Director of Finance & Property shall make all necessary arrangements for the
preparation and control of all payrolls, and for the payment of all salaries, wages, pensions,
compensation or other emoluments to employees, former employees or other persons
approved by the Council.
8.49 The Strategic Director of Finance & Property shall record and make arrangements for the
accurate and timely payment of tax, superannuation and other deductions.
8.50 The Strategic Director of Finance & Property shall ensure that there are adequate
arrangements for administering superannuation matters on a day-to-day basis.
8.51 Each Service Manager or other authorised officer shall notify promptly to and within the
time limits and in the form prescribed by the Strategic Director of Finance & Property, all
matters affecting the payment of salaries, wages or other emoluments of Directorate
personnel and in particular:
(a) appointments, resignations, dismissals, suspensions, secondments/ transfers;
(b) absences from duty for sickness or other reason (including relevant dates) apart from
approved leave or training;
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(c) changes in remuneration, other than normal increments and pay awards and
agreements of general application;
(d) information necessary to maintain records of service for superannuation, income tax
and national insurance liability;
8.52 Strategic Directors will ensure that ensure that adequate and effective systems and
procedures are operated, so that:
a)
payments are only authorised to bona fide employees;
b)
payments are only made where there is a valid entitlement;
c)
conditions and contracts of employment are correctly applied;
d)
employees’ names listed on the payroll are checked at regular intervals;
e)
accuracy and completeness is verified.
8.53 Strategic Directors should give careful consideration to the employment status of individuals
employed on a self-employed consultant or sub-contract basis. The Inland Revenue
applies a tight definition for employee status and, in cases of doubt, advice should be
sought from the Strategic Director of Finance & Property..
8.54
Appointments of all employees shall be made in accordance with the Rules of the Council
and approved budgets, grades and rates of pay.
8.55
Time sheets, bonus sheets and overtime claims for weekly wages or monthly salaries shall
be signed by the claiming employee as being a true record of hours worked for the Council.
The relevant Service Managers or other authorised officers shall certify, on being satisfied
all Procedure Rules have been complied with, such documents and process them in such a
manner as determined by the Strategic Director of Finance & Property within such period
before the respective pay day.
8.56 The Strategic Director of Finance & Property shall arrange for such checks and enquiries
and seek such information and explanations as deemed necessary, so as to be satisfied
that these documents have been appropriately examined and certified and are otherwise
properly payable by the Council.
8.57 Payment of salaries or wages shall not be made in advance of the normal payment date
except in exceptional cases at the discretion of the Strategic Director of Finance & Property
and with the support of the relevant Strategic Director or Service Manager.
8.58 Strategic Directors shall refer to the Strategic Director of Human Resources and to the
Strategic Director of Finance & Property matters relating to the application of salary and
wage scales and other conditions of service including any payments in relation to
redundancy, early retirement or any other payments associated with an employee’s
termination of employment, and no commitment in these matters shall be entered into
without their joint agreement. The Strategic Director of Finance & Property and Strategic
Director of Human Resources shall be jointly empowered to automatically apply non-
discretionary salary and wage awards, expenses and other allowances approved by the
various joint negotiating councils’.
8.59 No payments may be made to members of staff other than through the payroll unless
specifically agreed by the Strategic Director of Finance & Property.
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Payment to Members for Travel, Subsistence and Allowances
8.60 Claims by Slough Borough Council’s Members for payment of travelling, subsistence and
other allowances shall be submitted to the Strategic Director of Law & Corporate
Governance in the form prescribed by the Strategic Director of Finance & Property duly
completed and signed as being a true record by the Member. The Strategic Director of Law
& Corporate Governance, on being satisfied that such claims are properly payable by the
Council, shall certify such claims and pass them to the Strategic Director of Finance &
Property for payment.
8.61 Claims submitted more than two months after the expenses were incurred shall be paid
only with the express approval of the Strategic Director of Law & Corporate Governance.
8.62 The Strategic Director of Law & Corporate Governance shall provide to the Strategic
Director of Finance & Property details of any approved allowances due to Members.
8.63
The Strategic Director of Finance & Property and the Strategic Director of Law & Corporate
Governance will consider and determine requests by Members for advance payments of
their allowances as provided for in the current Members’ Allowances scheme.
Payment to Staff for Travel and Subsistence
8.64 Claims by employees’ for payment of car allowances, subsistence allowances, travelling
and incidental expenses only shall be submitted to, and in the time-scale approved by, the
Strategic Director of Finance & Property, in the appropriate form and supported by receipts
where appropriate. Travel and subsistence claims must not be paid from imprest, petty
cash etc
8.65 The claimant must sign to confirm that journeys were carried out on official business that
the mileages are correct, the form of transport used was reasonable and that any expenses
were relevant and properly incurred.
8.66 Claims must be counter signed by a Responsible Officer authorised to approve such
records. The Responsible Officer shall be satisfied that the journeys made and form of
transport used were authorised and that the expenses claimed are reasonable and were
necessarily incurred and are properly payable by the Council.
8.67 The Strategic Director of Finance & Property shall arrange for such checks and enquiries
and seek such information and explanations as deemed necessary so as to be satisfied
that allowance and expense claims have been appropriately examined and certified and are
otherwise properly payable by the Council. The Strategic Director of Finance & Property
shall process them for payment in such a way as to ensure they are treated correctly for
tax, national insurance and VAT purposes.
9.
COLLECTION OF INCOME AND WRITING OFF BAD DEBTS
9.1
The collection of all money due to the Council shall be under the supervision of the
Strategic Director of Finance & Property who shall ensure that adequate arrangements are
maintained for:
(a) the financial organisation and accounting necessary to ensure the proper recording of
all sums due to the Council, and
(b) the collection, custody, control, disposal and prompt accounting of all cash in all
Directorates and establishments of the Council and any bodies acting on the Council’s
behalf;
(c) securing the safety of any employee whom has a responsibility for receiving and
looking after money on behalf of the Council.
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9.2
Service Managers shall arrange for accounts to be raised promptly in respect of charges for
work done or goods or services supplied and for rendering such accounts to the debtors
concerned. Where appropriate, these accounts shall conform to current VAT Rules and
instructions issued by the Strategic Director of Finance & Property
.
9.3
The Strategic Director of Finance & Property shall provide for the setting up and continued
maintenance of a periodical income register of all sums regularly due to the Council.
Service Managers shall promptly notify the Strategic Director of Finance & Property of
contracts, leases and other agreements and other arrangements entered into which
involves the receipt of money by the Council. The Strategic Director of Finance & Property
shall inspect any documents or other evidence in this connection as considered necessary
to verify the accuracy of the register.
9.4
The format of all receipt forms, books, tickets and any other documents or vouchers
or
tokens acknowledging on the Council’s behalf the receipt of money or money’s worth
shall
be agreed between
Service Managers concerned and the Strategic Director of Finance &
Property. Service Managers shall arrange for the ordering, custody and internal issue of
such items in a manner approved by the Strategic Director of Finance & Property.
9.5
All moneys received on behalf of the Council shall be banked daily unless otherwise agreed
by the Strategic Director of Finance & Property. All payments shall be made intact.
Refunds of overpayments shall be made through the Creditor payments system or, if so
authorised by the Strategic Director of Finance & Property, an imprest account.
9.6
In the transport of cash for banking or other purpose the Service Manager, in consultation
with the Occupational Health Safety and Welfare Manager and the Chief Internal Auditor,
shall make arrangements for the safety of Council employees and for the proper security of
the cash.
9.7
Any officer or other person authorised to receive money on behalf of the Council shall and
keep such records as may be prescribed by the Strategic Director of Finance & Property
including an accurate and chronological account of all receipts and deposits. Monies
received shall not be used in any circumstances to cash personal or third party cheques
and must be banked without deductions of any kind.
9.8
Every transfer of official money from one employee to another shall be evidenced in the
records of the Directorates/sections involved by the signature of the receiving employee
and retained for such period as may be determined by the Strategic Director of Finance &
Property.
9.9
The Service Manager in consultation with the Strategic Director of Finance & Property shall
ensure that proper and secure arrangements are in place for the receipt, opening and
discharge of post containing remittances at offices and establishments of the Council. The
opening of post shall be in the presence of at least 2 officers. A record shall be kept in such
form as may be determined by the Strategic Director of Finance & Property in which details
of the remittances shall be entered. A discharge shall be given when remittances are
handed over to a cashier for receipting and banking.
9.10
Each officer or other person who deposits money to the credit of any Council account shall
enter on the paying in slip and on the counterfoil or duplicate such particulars as are
required by the Strategic Director of Finance & Property.
9.11 Where a sum shown as due on the Council’s accounts is found to be overstated an
allowance may be recorded in respect to the amount overstated where the Strategic
Director of Finance & Property is satisfied that such an allowance is in order.
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9.12 No debts shall be recommended for write off until all cost effective measures have been
taken to try to recover the debt.
9.13
Expenditure which is reliant upon the satisfactory recovery of income should not generally
be incurred until the income has been received and banked unless the Strategic Director of
Finance & Property has given prior approval.
9.14
A debt of up to £1,000 may be recommended for write off by the relevant Service Manager
and approved by relevant Finance Manager
9.15 A debt of up to £15,000 may be recommended for write off by the relevant Director or a
Section Head within the Financial Services Directorate and approved by the Strategic
Director of Finance & Property
9.16
Any debt in excess of £15,000 may be recommended for write off by the Strategic Director
of Finance & Property and approved by the Cabinet
9.17
In any one financial year
(a) a Finance Manager may not approve write offs of debt totalling more than £10,000
(b) the Strategic Director of Finance & Property may not approve write offs of debt totalling
more than £250,000
9.18
All debt write offs must be regularly reported to the Strategic Director of Finance & Property
who will report regularly to Cabinet
9.19
All write off of losses arising from theft must be agreed by the relevant Strategic Director
and Strategic Director of Finance & Property unless the cumulative value involved is in
excess of £15,000 then this can only be written off with the approval of the Cabinet.
9.20 The Strategic Director of Finance & Property will ensure that appropriate accounting
adjustments (to charge the cost centre which originally received the credit for the relevant
sales invoice) are made following write-off action.
10.
TAXATION
10.1
The Strategic Director of Finance & Property is responsible for ensuring that the Council is
fully compliant with all relevant guidance and statutory responsibilities in relation to all
taxation matters.
10.2
Strategic Directors are responsible for complying with all guidance and instructions issued
by the Strategic Director of Finance & Property to ensure that correct accounting records
are maintained in relation to:
• VAT
• Construction Industry Tax
• Income Tax
• National Insurance
10.3 The Strategic Director of Finance & Property is responsible for making tax payments,
receiving tax credits and submitting tax returns by their due date as appropriate.
10.4 Strategic Directors are responsible for ensuring that all persons employed by the Council
are added to the Council’s payroll and tax deducted from any payments, except where the
individuals have demonstrated that they are bona fide self-employed or are employed via a
recognised staff agency.
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11.
BANKING
Banking Arrangements
11.1 All arrangements with the Council’s bankers shall be made by or under arrangements
approved by the Strategic Director of Finance & Property, who shall be authorised to
operate such banking accounts as may be considered necessary.
11.2 All banking accounts shall stand in the name of Slough Borough Council and not in the
name or designation of any officer. No payment including direct credit/debit or standing
order shall be made from the Council’s banking accounts unless agreed by the Strategic
Director of Finance & Property.
11.3 All cheque and cheque forms but excluding cheques drawn on authorised imprest
accounts, shall be ordered only on the authority of the Strategic Director of Finance &
Property who shall be responsible for the safe custody and issue of such forms.
11.4 Except in those cases determined by the Strategic Director of Finance & Property all
payments by the Council shall be by crossed cheque endorsed
“a/c payee only.” Blank
cheques should not be signed under any circumstances.
11.5 Cheques in excess of £100,000 shall be signed in manuscript by the Strategic Director of
Finance & Property and such other officer duly authorised by the Strategic Director of
Finance & Property. Cheques signed previously by a duly authorised officer or bearing the
facsimile signature of the Strategic Director of Finance & Property which require a second
signature must be signed by one of the other duly authorised signatories.
11.6 The Strategic Director of Finance & Property shall ensure that the Council’s banking
accounts are reconciled regularly with the Council’s accounts.
11.7 The Strategic Director of Finance & Property may arrange overdraft facilities from time to
time on behalf of the Council within the limit authorised annually by the Cabinet.
11.8 Strategic Directors are responsible for following the instructions on banking issued by the
Strategic Director of Finance & Property.
Imprest Accounts
11.9
The Strategic Director of Finance & Property shall arrange for the maintenance of a central
imprest account(s) for the meeting of urgent minor cash payments.
11.10 The Strategic Director of Finance & Property after consultation with respective Strategic
Director s may make such advances of cash or postage stamps as considered appropriate
to such officers of the Council as may need them for petty cash imprests, change floats,
postage imprests, etc.
11.11 Petty Cash accounts shall be on an imprest system supported by records in a form agreed
by the Strategic Director of Finance & Property and operated as follows:
(a) an account with such supporting documents as may be required shall be submitted to
the Strategic Director of Finance & Property on a monthly basis for examination and
reimbursement of expenditure; all reimbursement claims shall be certified in manuscript
by the officer responsible for the imprest account control and the appropriate
authorised officer;
(b) payments shall be limited to items of expenditure not exceeding such sums as may be
decided from time to time by the Strategic Director of Finance & Property;
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(c) cash receipts, other than imprest reimbursements, shall not be paid into any such
account but must be paid over to or as directed by the Strategic Director of Finance &
Property in accordance with these Rules.
(d) Requests to increase imprests must be made to the Strategic Director of Finance &
Property.
(e) All imprest accounts must be accounted for on 31st March each year.
11.12 Where an imprest is operated through a bank account the Strategic Director of Finance &
Property shall ensure that suitable arrangements are made with the bank which shall
include the requirement that all imprest cheques shall bear the signature of two authorised
employees. A record of the names and specimen signatures of such employees shall be
deposited with the Strategic Director of Finance & Property and updated promptly as
changes become necessary.
11.13 No personal cheques shall be cashed through nor shall money be borrowed from any
imprest account.
11.14 Service Managers’ shall ensure that any officer within their area of responsibility holding
petty cash, change or other cash or postage floats shall, on leaving the Council’s
employment or ceasing to be entitled to hold the imprest or float, repay the unexpended
balance to, and submit any accounts and vouchers required by the Strategic Director of
Finance & Property.
Treasury Management
11.15 The Council has adopted the key recommendations of CIPFA’s Treasury Management in
the Public Services: Code of Practice (the Code), as described in Section 4 of that Code
and accordingly, the Council will create and maintain, as the cornerstones for effective
treasury management:
-
a treasury management policy statement, stating the policies and objectives of its
treasury management activities
-
suitable treasury management practices (TMPs), setting out the manner in which the
Council will seek to achieve those policies and objectives, and prescribing how it will
manage and control those activities.
11.16 The Cabinet will receive reports on the treasury management policies, practices and
activities, including, as a minimum, an annual strategy and plan in advance of the year, and
an annual report after its close, in the form prescribed in the TMPs.
11.17 The Council delegates responsibility for the implementation and monitoring of the treasury
management policies and practices to the Cabinet, and for the execution and administration
of treasury management decisions to the Strategic Director of Finance & Property, who will
act in accordance with the Council’s policy statement and TMPs and CIPFA’s Standard of
Professional Practice on Treasury Management.
11.18 The Strategic Director of Finance & Property shall, subject to statutory requirements and to
the general direction of the Cabinet arrange for the deposit
, investment, realisation or
utilisation of all surplus funds of the Council in accordance with the CIPFA’s Code of
Practice on Treasury Management and in the Council’s interest
. All deposits and
investments of such money, shall be made in the name of the Council.
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11.19 The Strategic Director of Finance & Property shall, subject to the general direction of the
Cabinet and in the case of the issue of stock to the general direction of the Council, raise
and manage all loans for the purposes and amount for which the Council is authorised to
borrow money in accordance with CIPFA’s Prudential Code for Capital Finance, approved
Prudential Indicators and CIPFA’s Code of Practice on Treasury Management.
11.20 Strategic Directors will ensure that loans are not made to third parties and that interests are
not acquired in companies, joint ventures or other enterprises without the approval of the
Council, following consultation with the Strategic Director of Finance & Property.
11.21 The Strategic Director of Finance & Property shall be the Council’s registrar of stocks,
bonds and mortgages and shall maintain records of all borrowing of money by the Council.
11.22 The Chief Executive or other duly authorised officer shall sign, seal, issue, transfer or
reassign as appropriate any mortgage for money advanced to or by the Council. The
Strategic Director of Finance & Property shall produce to the Chief Executive such
documentary evidence as may be required of the receipt of value for securities given or
secured.
11.23 Finance and operating lease arrangements shall only be negotiated on behalf of the
Council by the Strategic Director of Finance & Property or such other authorised officer. All
such leasing agreements must be signed by the Strategic Director of Finance & Property or
such other officer mandated by these Rules.
11.24 Any Strategic Director considering lease finance as a means of funding the acquisition of an
item shall consult with the Strategic Director of Finance & Property before undertaking any
discussions with any lease finance supplier. Arrangements for the supply of items that may
be acquired by way of lease finance shall comply with the Constitution and Prudential
Indicators.
11.25 The Strategic Director of Finance & Property shall keep all lease documentation in safe
custody and maintain records of all leases entered into by the Council and retain them for
such time as may be required to satisfy statutory requirements.
11.26 Strategic Directors will arrange for all trust funds to be held, wherever possible, in the name
of the Council. All officers acting as trustees by virtue of their official position shall deposit
securities, etc., relating to the trust with the Strategic Director of Finance & Property, unless
the deed otherwise provides.
12. ASSETS
Security and Safety of Personnel, Assets and Inventories
12.1
Strategic Directors shall be responsible for the accountability, control and health and safety
of employees and for ensuring that proper arrangements exist for the security and care at
all times of buildings, stocks, stores, furniture, equipment, cash, documents and data under
their control. A Strategic Director shall consult promptly with the Strategic Director of
Finance & Property where security of cash or assets is thought to be defective or where it is
considered that special security and/or safety arrangements may be needed.
12.2
Any monies held shall be properly safeguarded normally kept in a safe or locked container
the specification of which shall be approved by the Strategic Director of Finance & Property
and Strategic Directors must ensure that all safes or locked containers are suitable to
safeguard the maximum amount of money to be kept in them at anytime, in line with the
manufacturers and Strategic Director of Finance & Property’s guidance
. For safes, one key
must be held in a secure place offsite. If a code/pin number is involved in securing monies,
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the Strategic Director shall consult with the Chief Internal Auditor to determine the
frequency that these numbers are changed.
12.3
Identity cards, entry cards to Council establishments, keys to safes and similar containers
are to be carried on the Responsible Officer of those responsible at all times, except as the
Strategic Director of Finance & Property may otherwise approve. Identity cards should be
displayed in a visible manner. If the loss of any such items, an access code or “pin
number” may have become known to an unauthorised person, this must be reported
immediately to the relevant Strategic Director and Head of Facilities. The Strategic Director
and the Head of Facilities will decide whether any special action needs to be taken to
safeguard the Council’s interests as a consequence.
12.4 Strategic Directors shall maintain a register of all key and cardholders within their
respective Directorates and of those employees to whom any other Council property has
been issued on a personal basis and shall ensure that those persons on leaving the
employment of the Council or otherwise ceasing to be entitled to hold such property, those
persons shall surrender those items and that code/pin numbers for safes and locked
containers are changed immediately.
12.5
The Council’s Data Protection Officer shall be responsible for ensuring proper security and
privacy with regard to information held in all of the Council’s computer installations and/or
for its use and shall register protected data.
12.6
Strategic Directors will ensure that controls are in place to ensure that staff do not carry out
private work in Council time and that staff are aware of an employer’s rights with regard to
intellectual property.
12.7 The instrument for affixing the common seal of the Council shall be in the custody of the
Strategic Director of Law & Corporate Governance or a duly authorised officer.
12.8 In any premises of the Council to which the public has access, satisfactory arrangements,
including a register of items shall be maintained in respect of lost property handed in or
reported lost. Items of money and valuables such as jewellery, watches etc., shall be
deposited with the Strategic Director of Finance & Property. Goods so held and not claimed
after a period of 3 months may be returned to the finder.
12.9 The Strategic Directors shall arrange for the maintenance of asset registers in such form
and detail required to comply with the statutory rules in force and any directions given by
the Strategic Director of Finance & Property and the Strategic Director of Law & Corporate
Governance. Any register relating to property, including land, owned by the Council shall
record the purpose for which it was originally acquired, its location, area, plan reference,
purchase details, current value, subsequent appropriations, particulars or nature of interest,
tenancies granted and rents payable.
12.10 The Strategic Director of Finance & Property will ensure that assets are valued in
accordance with the “Code of Practice on Local Authority Accounting in the United
Kingdom: A Statement of Recommended Practice”
12.11 Strategic Directors will ensure that no Council asset is subject to personal use by an
employee without proper authority.
.
12.12 Strategic Directors will assist the Corporate Property Officer to provide a report on property
performance and asset management to relevant Member and officer groups.
12.13 The Strategic Director of Law & Corporate Governance shall have custody of all title deeds
of property belonging or mortgaged to the Council.
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12.14 Service Managers shall ensure that Directorate inventories are maintained in a form and to
such an extent as may be prescribed by the Strategic Director of Finance & Property of
furniture, fittings, equipment, plant and machinery, relating to their area of responsibility.
12.15 Service Managers shall arrange for a complete check of their Directorate inventories at
least once a year. A certified copy of each such inventory shall be supplied to the Strategic
Director of Finance & Property at the end of each financial year. Written explanations of
deficiencies or surpluses shall be supplied. Items identified as being in excess of
requirements or obsolete shall be dealt with in the manner described in these Rules.
12.16 The Council’s property including vehicles, plant, equipment, etc. shall not be removed
otherwise than in accordance with the ordinary course of the Council’s business or used
otherwise than for the Council’s purpose.
12.17 Any loss of any asset of any kind must be reported to the Chief Internal Auditor and Risk
and Insurance Manager.
12.18 The management and security of assets, financial or otherwise, of third parties must adhere
to these Financial Procedure Rules, all statutory and best practice guidance and any other
relevant policies and procedures in operation within the Council for example, the Money
Management procedures within the Social Services Financial Procedures.
Stocks and Stores
12.19 Strategic Directors shall be responsible for ensuring that adequate arrangements exist to
provide for the custody and physical control of stocks and stores in their respective
Directorates. Except in special circumstances approved by the Strategic Director of Finance
& Property in consultation with the appropriate Service Manager stocks and stores shall not
be carried by any Directorate in excess of reasonable requirements as ascertained by
experience.
12.20 Stocks and stores records shall be kept in such form as may be determined by the Service
Manager in consultation with the Strategic Director of Finance & Property which as a
minimum shall show in chronological order receipts, issues and remaining balances of each
item. The Strategic Director of Finance & Property shall maintain financial stores control
accounts where appropriate and may prescribe general principles governing issue pricing
and levels of stock.
12.21 A delivery note shall be obtained in respect of every receipt of goods into stores and must
be signed by the person taking delivery at the time. All goods shall be checked as regards
quantity and quality in compliance with the order and entered on a goods received note.
12.22 Issues of goods from or return of goods to a store shall be supported by a receipt on a
stores issued or returned note as appropriate.
12.23 Service Managers must ensure that stocktaking of all stores appropriate to their Directorate
is undertaken on a programme determined in consultation with the Strategic Director of
Finance & Property such that all items of stores shall be checked at least once in a period
of 12 months.
12.24 Stock sheets shall be signed by the officers making the stock check and by the Service
Manager or Responsible Officer certifying that the particulars shown therein are correct. A
copy of the certified stock sheet must be forwarded to the Strategic Director of Finance &
Property.
12.25 Adjustments to stores records to write off deficiencies or to bring surpluses into account
shall be made only with the approval of the Strategic Director of Finance & Property or duly
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authorised officer. The Strategic Director of Finance & Property in consultation with the
Service Manager concerned shall arrange for an investigation into the cause or causes in
all cases of significant stock deficiencies/surpluses and take appropriate action.
Disposals
12.26 The Strategic Director of Finance & Property, in conjunction with the Corporate Property
Officer, shall issue guidelines representing best practice for disposal of assets..
12.27 Where stocks, stores, furniture and fittings, vehicles, plant and equipment or other assets
are certified by a Strategic Director to be excess to requirements or obsolete the Strategic
Director may arrange for the disposal in the following way unless directed otherwise by the
Council:
(a) where the estimated realisable value exceeds £5,000 by competitive tender or
(b) where the estimated realisable value is less than £5,000 in the best possible market
and at the best price reasonably obtainable subject to advice and consent of the
Strategic Director of Finance & Property and/or any other relevant officers.
12.28 Strategic Directors will ensure that income received for the disposal of an asset is properly
banked and coded.
13.
INSURANCES
13.1 The Strategic Director of Finance & Property shall under the general direction of the
Cabinet and in consultation with other Strategic Directors and such Service Managers as
necessary, ensure that adequate arrangements are maintained to effect and keep under
review all necessary insurance cover of the Council and its Officers and for the negotiation
of all claims.
13.2 Service Managers shall keep suitable records to ensure that the inspection of engineering
plant under their respective control, which is normally inspected by an insurance company,
is carried out by the company within the statutorily prescribed periods. In the event of any
failure of the company to carry out an inspection within the period the Strategic Director of
Finance & Property shall be notified immediately in writing.
13.3 Each Service Manager shall give prompt notification in writing to the Strategic Director of
Finance & Property of:
(a) all new risks, properties, vehicles, plant and machinery which require to be insured and
of any alteration affecting existing insurance cover and
(b) any fire, loss, liability or damage or any other event likely to lead to a claim upon the
Council.
13.4 Service Managers shall consult with the Strategic Director of Finance & Property and as
considered appropriate the Strategic Director of Law & Corporate Governance respecting
the terms of any indemnity which the Council is requested to give.
13.5
Strategic Directors ensure that employees, or anyone covered by the Council’s insurances,
do not admit liability or make any offer to pay compensation that may prejudice the
assessment of liability in respect of any insurance claim.
13.6
All appropriate employees of the Council shall be included in appropriate fidelity guarantee
insurance whilst carrying out duties directly connected with their employment as a Council
officer.
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13.7
The Strategic Director of Finance & Property
shall at least once a year make arrangements
to provide Service Managers’ with details of all insurances in force affecting their
Directorates and any consequent variations to these arrangements shall be notified
promptly to the Strategic Director of Finance & Property.
14.
GIFTS AND HOSPITALITY
41.1 Staff and elected Members must comply with the Rules contained in Slough Borough
Council’s Constitution and in particular the relevant Codes of Conduct.
15.
THIRD PARTY ARRANGEMENTS AND PARTNERSHIPS
15.1
The Director of Finance shall ensure that all External Arrangements, Partnerships,
External Funding and Work for Third Parties, shall be undertaken in accordance with all
relevant Financial Procedure Rules, appropriate accounting & financial management
policies & procedures, effective internal controls and risk assessments.
Partnerships
15.2
Strategic Directors, in consultation with the Strategic Director of Finance & Property, will
ensure that:
1. Risk management processes are in place to identify and assess all known risks;
2. Project appraisal processes are in place to assess the viability of the project in
terms of resources, staffing and expertise;
3. Agree, before the partnership commences, with the partner(s) the formal roles and
responsibilities within the partnership in relation to financial management and
accounting requirements;
4. Effective internal control policies and procedures are put in place to ensure value
for money and the effective stewardship of public monies;
5. The proper treatment of all taxation matters is secured;
6. Audit, security and insurance arrangements meet acceptable standards in line with
the Council’s Financial Procedure Rules;
7. Procedures are in place to direct how surpluses and deficits will be managed and
dealt with;
8. Arbitration procedures are in place to resolve any disagreement between partners.
15.3
Strategic Directors will maintain a register of all contracts entered into with external bodies
in accordance with procedures specified by the Strategic Director of Finance & Property.
15.4
The Strategic Director of Finance & Property will ensure that all funding notified by external
bodies is received and properly recorded in the Council’s accounts.
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16. TRADING
ACCOUNTS
16.1
The Strategic Director of Finance & Property will advise on the establishment and operation
of trading accounts.
16.2 Strategic Directors will observe all statutory requirements in relation to services that
maintain trading accounts, including the maintenance of a separate revenue account to
which all relevant income is credited and all relevant expenditure, including overhead costs,
is charged, and to produce suitable information for the statutory disclosure in the final
accounts.
16.3 Strategic Directors will ensure that the same accounting principles are applied in
relation to trading accounts as for other services.
17. RISK
MANAGEMENT
17.1
The Strategic Director of Finance & Property will prepare and promote the Council’s risk
management policy.
17.2 The Strategic Director of Finance & Property will develop appropriate risk management
controls, in conjunction with Strategic Directors.
17.3 Strategic Directors will take responsibility for risk management, having regard to advice
from the Strategic Director of Finance & Property and other specialist officers as necessary.
17.4 Strategic Directors will ensure that regular risk assessments are carried out within their
Directorates.
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Part 4.7 Officer Employment Procedure Rules
1.
Recruitment and Appointment
(a) Declarations
(i)
the Council will draw up a statement requiring any candidate for
appointment as an officer to state in writing whether they are the
parent, grandparent, partner, child, stepchild, adopted child,
grandchild, brother, sister, uncle, aunt, nephew or niece of an
existing Members or officer of the Council; or of the partner of
such persons, or are otherwise known to them in any capacity.
Anyone who fails to do this may be disqualified or, if appointed,
liable to instant dismissal on the grounds of gross misconduct.
All candidates will be made aware of these rules by the Strategic
Director of Human Resources.
(ii)
no candidate so related to a Member or an officer will be
appointed without the authority of the relevant chief officer or an
officer nominated by him/her.
(b)
Seeking Support for Appointment
(i)
The Council will disqualify any applicant who directly or indirectly
seeks the support of any Members for any appointment with the
Council. The content of this paragraph will be included in any
recruitment information.
(ii)
No Members will seek support for any person for any
appointment with the Council. Members should not provide
references in support of applications for employment by the
Council.
(c)
Selection and Appointment Process
(i)
Any Member or Officer who may be involved in the Selection or
Appointment process shall immediately declare any relationship
to a candidate as soon as it becomes known to them and shall
not take part in the selection/appointment process of any
candidates for the post to which the candidate to whom they are
related has applied.
(ii)
Where relationship to a Member or Officer or to an applicant is
disclosed the provisions of the Constitution on ‘interests in
contract and other matters’ shall apply.
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2.
Recruitment of Head of Paid Service and Designated Posts
1.
Where the Council proposes to make an appointment to the designated
posts listed in table 1 and it is not proposed that the appointment be
made exclusively from among their existing Officers, the Chief
Executive and/or the Strategic Director of Human Resources will:
(a)
Draw up a statement specifying:
(i)
the duties of the officer concerned; and
(ii) any
qualifications or qualities to be sought in the person
to be appointed.
(iii)
The terms and conditions within which any appointment
may be made.
(b)
Make arrangements for the post to be advertised in the
appropriate media in order to bring it to the attention of persons
who are likely to meet the experience, qualifications, knowledge
and competency requirements of the post.
(c)
Make arrangements for a copy of the statement mentioned in
paragraph (a) to be sent to any person on request.
2.
Where a post has been advertised as provided in 1(b) above, the
Appointments Sub-Committee shall select a shortlist of such qualified
applicants and interview those included on the shortlist.
[Applicants with a disability who meet the essential requirements of the
Person Specification will be interviewed].
3.
Where no suitable person has applied, the Chief Executive and/or the
Strategic Director of Human Resources shall make further
arrangements for advertisement in accordance with 1 (b) above.
4.
In the case of any appointment to the Chief Executive (Head of Paid
Service) position the statement referred to in paragraph 1 above shall
be approved by the Council.
5.
Terms and conditions of employment for posts shown in Table 1 shall
be determined by the Employment and Appeals Committee (or
Appointments Sub Committee) before or on any appointment being
made.
6.
The Chief Executive (Head of Paid Service) is authorised t make
interim arrangements for posts listed in Table 1 pending permanent
recruitment.
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3.
Appointment of Chief Executive (Head of Paid Service)/Director and
Deputies
See attached procedure for appointment of Directors and Deputies.
4. Other
Appointments
(a)
Officers other than designated posts. Appointment of officers other
than designated posts (other than assistants to political groups) is the
responsibility of the Head of Paid Service or his/her nominee, and may
not be made by Members.
(b)
Assistants to political groups. Appointment of an assistant to a
political group shall be made in accordance with the Council’s
recruitment procedures.
(c)
The authority has determined that appointments be made to the posts
of political assistant in accordance with the following:-
(i)
no appointment to any post allocated to a political group will be
made until the authority has allocated a post to each of the
political groups which qualify for one;
(ii)
no post will be allocated to a political group which does not
qualify for one; and
(iii)
not more than one post will be allocated to any one political
group.
5 Disciplinary
Action
5.1 There is a disciplinary policy and procedure for the Chief Executive (Head of
Paid Service), the Strategic Director of Finance and Property Services
(Section 151 Officer) and the strategic Director of Law and Corporate
Governance (Monitoring Officer). There is a separate disciplinary policy for
Directors and other posts employed under JNC Chief Officer Conditions. Both
policies and procedures specify the arrangements for disciplinary action and
dismissal in accordance with the Local Authorities (Standing Orders)
(England) Regulation 2001 (“the Regulations”).
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5.2
Table 1
The following posts are designated for the purpose of the Officer Employment
Procedure Rules.
Chief
Executive
Strategic Director of Education and Children’s Services
Strategic Director of Community and Cultural Services
Strategic Director of Law and Corporate Governance
Strategic Director Green and Built Environment
Assistant Chief Executive (Policy and Performance)
Strategic Director of Human Resources
Strategic Director of Finance and Property
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APPOINTMENT OF DIRECTORS & DEPUTIES
This process has been established to comply with the Local Authorities (Standing
Orders)(England) Regulations 2001.
1.
Definitions
2.
The following definitions (save for Proper Officer) are statutory
definitions:-
“Member of Staff” means a person appointed to or holding a paid office or
employment under the authority except for the appointment of a Statutory
Chief Officer, Non-Statutory Chief Officer or Deputy Chief Officer
“Proper Officer” means the Strategic Director of Human Resources or such
other person appointed by the authority for the purposes of the following
provisions.
“Statutory Chief Officer” means the Chief Education Officer or the Director
of Education appointed under Section 532 of the Education Act 1996; the
Director of Social Services appointed under Section 6 of the Local Authority
Social Services Act 1970; an Officer having responsibility under Section 151
of the Local Government Act 1972, Section 73 of the Local Government Act
1985, Section 112 of the Local Government Finance Act 1988.
“Non-Statutory Chief Officer” means:-
( a )
A person for whom the Head of Paid Service is directly responsible;
( b) A person who reports in respect of all or most duties to the Head of
Paid Service except for the Head of Paid Service’s personal assistant
and administrative officers;
( c )
Any person who as respects all or most duties of their employment with
the Council is required to report directly, or is directly accountable to
the Council or to any Committee or Sub-Committee of the Council.
“Deputy Chief Officer” means a person (save for administrative personnel)
who as respects all or most of the duties of the post is required to report
directly or is directly accountable to one or more Statutory or Non-Statutory
Chief Officers (this includes Assistant Directors or Heads of Service who
report directly to Directors).
3.
The function of the appointment of a Member of Staff of the Council must be
discharged on behalf of the Council by the Chief Executive as the Head of
Paid Services or by an Officer nominated by her. The Chief Executive has
delegated the appointments of staff generally to the Directors and Assistant
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Chief Executive in their Directorate or sections. All such appointments will be
carried out in accordance with the Council’s Human Resources policies and
procedures.
4.
Paragraph 2 shall not apply to the appointment of:-
(a)
The Head of Paid Service
(b)
A Statutory Chief Officer
(c)
A Non-Statutory Chief Officer
(d)
A Deputy Chief Officer, or
(e)
An Assistant for Political Groups.
5. The Employment and Appeals Committee shall discharge, on behalf of the
authority, the function of the appointment of the posts listed in Table 1 of the
Officers Employment Procedure Rules:-
The Council must approve the appointment of the Chief Executive (Head of
Paid Service) before an offer of appointment is made.
The Council’s Appointments Sub-Committee which shall include a member of
the Executive and the Director of Human Resources and the Chief Executive
as observer shall carry out the interview process having regard to the
Council’s recruitment guidance. The Sub Committee may co-opt the relevant
lead Commissioner onto the Sub Committee as a non voting Member for the
appointment of a Director responsible for delivery of his/her portfolio. The
Appointments Sub-Committee shall be the “Appointer” (see paragraph 6) a
member of the Executive must be on the Appointments Sub Committee for
the purpose of making the appointment of the Statutory Chief Officer, Non
Statutory Chief Officer and Deputy. No appointment can be made until the
Appointments Sub Committee has carried out the notification process set out
in paragraph 6 below.
5.
The interview process for the appointments of all Deputy Chief Officers shall
be carried out by the Head of Paid Service (or her nominated deputy for that
purpose) together with Chief Officer or a Deputy Chief Officer for the relevant
service and the Strategic Director of Human Resources or his/her nominee.
One or more members of the Executive may be invited onto the interview
panel as an observers in the case of these appointments. The appointment
shall be recommended to the Appointments Sub Committee who shall be the
“Appointer” for the purpose of this procedure. A Member of the Executive
must be present at the Appointments Sub Committee for the purpose of
making the appointment. No appointment can be confirmed until the
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Appointments Sub Committee has carried out the notification process set out
in Paragraph 6 below.
6.
In this paragraph “Appointer” means the Employment and Appeals Committee
or the Appointments Sub Committee who shall discharge the function of the
appointment of Chief Officers and their Deputies on behalf of the Council.
An offer of appointment as Head of Paid Service, Statutory Chief Officer, Non-
Statutory Chief Officer or Deputy Chief Officer must not be made by the
Appointer until:-
(a)
The Appointer has notified the Proper Officer of the name of the person
to whom the Appointer wishes to make the offer of appointment and
any other particulars which the Appointer 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 Appointer wishes to make
the offer;
(ii)
any other particulars relevant to the appointment which the
Appointer has notified to the Proper Officer; and
(iii)
the period of 5 days 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 Appointer 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 Appointer that no objection
was received by him within the period from the Executive
Leader; or
(iii)
the Appointer is satisfied in consultation with either the Proper
Officer or the Chief Legal Officer that any objection received
from the Executive Leader within the period is not material or is
not well-founded.
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Part 5
ETHICAL
FRAMEWORK
Part 5 – 5.1 – Local Code of Conduct for Members
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254
Part 5.1
Local Code of Conduct for Members
INTRODUCTION
This Code has been prepared and adopted by the Council in accordance with Section 51
of the Local Government Act 2000. The parts of the text printed in bold comprises the
mandatory provisions prescribed by the Secretary of State under Section 50 of the Local
Government Act 2000. The rest of the text printed in italics comprises additional text
approved by the Council.
Every Member including any Co-opted Member, must sign an undertaking to observe the
Authority’s Code. Any person may then make a written complaint to the Standards Board
that a Member has acted in breach of the Authority’s Code, which will secure the
investigation of the complaint, which may lead to sanctions being applied to the Member
by a Case Tribunal or, where the Secretary of State provides by regulations, by the
Council’s Standards Committee.
The Code defines the standards against which the public, their fellow Councillors, the
Standards Board for England and the Authority’s Standards Committee will judge
Members’ conduct. The Local Government Ombudsman may also regard a breach of the
code as incompatible with good administration, and may make a finding of
maladministration by the Authority in these circumstances.
Each Member should make sure that he is familiar with the requirements for personal
conduct set by the law and by the Authority’s rules (standing orders) and the guidance
contained in this Code. It is his responsibility to make sure that what he does complies
with these Requirements and this Code. He should regularly review his personal
circumstances with this in mind, particularly when those circumstances change. If in any
doubt, he should seek advice from the Authority’s Monitoring Officer, the Assistant Director
(Legal Services) or from his/her own legal adviser. In the end, however, the decision and
the responsibility are those of the individual Member.
PART 1
GENERAL PROVISIONS
Scope
1.1
Every Member has an overriding duty as a Councillor to the whole of the local
community and to act in the public interest. Members also have a special duty to
residents of their Ward, including those who did not vote for them.
1.2
A Member should never do anything as a Member which could not be justified to
the public. The Member’s conduct, and what the public believes about his conduct
will affect the reputation of the Authority and of any party to which the Member
belongs. It is not enough to avoid actual impropriety. A Member should at all times
seek to avoid any occasion for suspicion and any appearance of improper conduct.
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1.3
A Member must observe the Authority’s Code of Conduct wherever he:-
(a)
conducts the business of the Authority;
(b)
conducts the business of the office to which he has been elected or
appointed, or
(c)
acts as a representative of the Authority
and references to a Member’s official capacity shall be construed
accordingly.
1.4
This Code of Conduct shall not, apart from Paragraphs 4.1 and 5.1 (a) below,
have effect in relation to the activities of a Member undertaken other than in
an official capacity.
1.5
Where a Member acts as a representative of the Authority:-
(a)
on another relevant authority, he must, when acting for that other
authority, comply with that other authority’s code of conduct; or
(b)
on any other body, he must, when acting for that other body, comply
with the Authority’s code of conduct, except and insofar as it conflicts
with any other lawful obligations to which that other body may be
subject.
1.6
In this code, “Member” includes a Co-opted Member of an authority.
1.7 “Co-opted Member” in relation to a relevant authority, means a person who is not a
Member of the Authority but who:-
(a)
is a Member of any Committee or Sub-Committee of the Authority, or
(b)
is a Member of, and represents the Authority on, any joint Committee or joint
Sub-Committee of the Authority.
GENERAL OBLIGATIONS
2.1 A
Member
must:-
(a)
promote equality by not discriminating unlawfully against any person,
(b)
treat others with respect and consideration, regardless of their gender,
race, sexual orientation, age or religion and
(c)
not do anything which compromises or which is likely to compromise
the impartiality of those who work for, or on behalf of, the Authority.
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2.2
Members and employees are servants of the public and they are indispensable to
one another. However, their responsibilities are distinct. Members are responsible
to the electorate and serve only so long as their term of office lasts. Employees are
responsible to the Council and their job is to give advice to Members and the
Council and to carry out the Authority’s work under the direction and control of the
Council, its Committees, Sub-Committees and the Executive (Cabinet).
2.3
Members must not do or threaten to do anything which compromises or which is
likely to compromise the impartiality of an employee of the Authority.
2.4
The law and Council rules (standing orders) lay down rules for the appointment,
discipline and dismissal of employees. Members must ensure that they observe
these scrupulously at all times. Special rules apply to the appointment of assistants
to political groups. In all other circumstances, if a Member is called upon to take
part in appointing an officer, the only question which he should consider is which
candidate would best serve the whole Council. Members should not let their
political or personal preferences influence their judgement. They should not
canvass the support of colleagues for any candidate and should resist any attempt
by others to canvass theirs. In consequence, Members should not provide
references in support of applications for employment by the Council.
3.1
As a Councillor or a Committee or Sub-Committee Member, Members necessarily
acquire much information that is confidential to the Authority or to individuals, is
commercially confidential or has not yet been made public. It is a betrayal of trust
to breach such confidences.
3.2
A Member must not:-
(a)
disclose information given to him in confidence by anyone, or
information acquired which he believes is of a confidential nature,
without the consent of a person authorised to give it, or unless he is
required by law to do so, nor
(b)
prevent another person from gaining access to information to which
that person is entitled by law.
4.1
A Member must not in his official capacity, or any other circumstance:-
(a)
conduct himself in a manner which could reasonably be regarded as
bringing his office or Authority into disrepute.
(b)
make any vexatious or malicious complaints against any persons.
5.1 A
Member
:-
(a)
must not, in his official capacity, or any other circumstance, use or
threaten to use his position as a Member improperly to confer on or
secure for himself or any other person, an advantage or disadvantage;
and
Part 5 – 5.1 – Local Code of Conduct for Members
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257
(b)
must, when using or authorising the use by others of the resources of
the Authority:-
(i) act
prudently and in accordance with the authority’s
requirements; and
(ii)
ensure that such resources are not used for political purposes
unless that use could reasonably be regarded as likely to
facilitate, or be conducive to, the discharge of the functions of
the Authority or of the office to which the Member has been
elected or appointed.
5.2
A Member should always make sure that any facilities (such as transport, stationery
or secretarial services) provided by the Authority for use in his official capacity are
used strictly for those purposes and for no other unless the Council has authorised
in writing limited private use in circumstances which do not cause significant
additional cost to the Authority.
6.1
A Member must when reaching decisions:-
(a)
have regard to any relevant advice provided to him by:-
(i)
the Authority’s Chief Finance Officer acting in pursuance of his
duties under Section 114 of the Local Government Finance Act
1988, and
(ii)
the Authority’s Monitoring Officer acting in pursuance of his
duties under Section 5(2) of the Local Government & Housing
Act 1989, and
(iii)
any other suitably qualified employee giving professional or technical
advice.
(b)
have regard to the Authority’s obligations under the Human Rights Act 1998.
(c)
give the reasons for those decisions in accordance with the Authority’s
and any statutory requirements in relation to the taking of an executive
decision.
(d)
reach decisions on the basis of the individual merits of the particular case
and in the public interest.
6.2 In sub-paragraph 6.1(c) above and in paragraph 9.2 below, “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 2000.
7.1
A Member must, if he becomes aware of any conduct by another Member
which he reasonably believes involves a failure to comply with the Authority’s
Code of Conduct, make a written allegation to that effect to the Standards
Board for England as soon as it is practicable for him to do so.
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PART 2
INTERESTS
Personal Interests
8.1
A Member must, in all matters, consider whether he has a personal interest, and
whether this Code of Conduct requires him to disclose that interest.
8.2
A Member must exercise personal responsibility in deciding whether he has a
personal interest such that he should disclose it. He may seek advice from the
Authority’s Monitoring Officer and must have regard to any advice from the
Standards Committee in doing so.
8.3
A Member must regard himself as having a personal interest in any matter if
the matter relates to an interest in respect of which notification must be given
under Paragraphs 14.1 and 14.2 below, or if a decision upon it might
reasonably be regarded as affecting to a greater extent than other Council tax
payers, ratepayers or inhabitants of the Authority’s area, the well being or
financial position of himself, a relative or a friend, or:
(a)
any employment or business carried on by such persons;
(b)
any person 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 corporate body in which such persons have a beneficial interest in
a class of securities exceeding the nominal value of £5,000, or
(d)
any body listed in sub-paragraphs (a) to (e) or Paragraph 14.2 below in
which such persons hold a position of general control or management.
8.4
In this paragraph:-
(a) “relative” means a spouse, partner, parent, parent-in-law, son,
daughter, step-son, step-daughter, child of a partner, brother, sister,
grandparent, grandchild, uncle, aunt nephew, niece, or the spouse or
parent of any of the preceding persons; and
(b)
“partner” in sub-paragraph 8.3 (b) above means a member of a couple
who live together.
Disclosure of Personal Interests
9.1
A Member with a personal interest in a matter who attends a meeting of the
Authority at which the matter is considered must disclose to that meeting the
existence and nature of that interest at the commencement of that
consideration, or when the interest becomes apparent.
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9.2
Subject to Paragraph 12.1(b) below, a Member with a personal interest in any
matter who has made an executive decision in relation to that matter must
ensure that any written statement of that decision records the existence and
nature of that interest.
Prejudicial Interests
10.1 Subject to paragraph 10.2 below, a Member with a personal interest in a
matter has a prejudicial interest in that matter if 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 the Member’s judgement
of the public interest.
10.2 A Member may regard himself as not having a prejudicial interest in a matter
if that matter relates to:-
(a)
another relevant authority of which he is a member;
(b)
another public authority in which he holds a position of general control
or management;
(c)
a body to which he has been appointed or nominated by the authority
as its representative;
(d)
the housing functions of the Authority where the Member holds a
tenancy or lease with a relevant authority, provided that he does not
have arrears of rent with that relevant authority of more than two
months, and provided that those functions do not relate particularly to
the Member’s tenancy or lease;
(e)
the functions of the Authority in respect of school meals, transport and
travelling expenses, where the Member is a guardian or parent of a
child in full time education, unless it relates particularly to the school
which the child attends;
(f)
the functions of the Authority in respect of statutory sick pay under
Part XI of the Social Security Contributions and Benefits Act 1992,
where the Member is in receipt of, or is entitled to the receipt of such
pay from a relevant authority; and
(g)
the functions of the Authority in respect of an allowance or payment
made under Sections 173 to 176 of the Local Government Act 1972, or
Section 18 of the Local Government & Housing Act 1989.
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260
Overview & Scrutiny Committees
11.1 For the purposes of this Part, a Member must if he is involved in the
consideration of a matter at a meeting of an Overview and Scrutiny
Committee of the Authority or a Sub-Committee of such a Committee, regard
himself as having a personal and a prejudicial interest if that consideration
relates to a decision made, or action taken, by another of the Authority’s:-
(a)
committees or sub-committees; or
(b)
joint committees or joint sub-committees
of which he may also be a Member or in whose consideration of that matter he
otherwise participated.
11.2 But paragraph 11.1 above shall not apply if that Member attends that meeting
for the purpose of answering questions or otherwise giving evidence relating
to that decision or action.
Participation in Relation to Disclosed Interests
12.1 Subject to paragraph 12.2 below, a Member with a prejudicial interest in any
matter must:-
(a) withdraw from the room or chamber where a meeting is being held
wherever it becomes apparent that the matter is being considered at that
meeting, unless he has obtained a dispensation from the authority’s
Standards Committee;
(b) not exercise executive functions in relation to that matter; and
(c) not seek improperly to influence a decision about that matter.
12.2 A Member with a prejudicial interest may, unless that interest is of a financial
nature, and unless it is an interest of the type described in Paragraph 11
above, participate in a meeting of the authority’s:-
(a)
Overview and Scrutiny Committees, and
(b)
Joint or Area Committees.
to the extent that such Committees are not exercising functions of the
Authority or its Executive.
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12.3 Members, or some firm or body with which they are personally connected, may
have professional, business or other personal interests within the area for which the
Authority are responsible. Such interests may be substantial and closely related to
the work of one or more of the Council’s Committees or Sub-Committees. For
example, the firm or body may be concerned with planning, developing land,
Council housing, personnel matters or the letting of contracts for goods/services or
works. A Member should not seek, or accept, membership of any such Committee
or Sub-Committee if that would involve him in disclosing an interest so often that he
could be of little value to the Committee or Sub-Committee, or if it would be likely to
weaken public confidence in the ability of the Committee or Sub-Committee to work
solely in the general public interest.
12.4 A Member should not seek, or accept, a position of leadership within the Authority,
such as the position of Leader, Membership of the Executive (Cabinet) or the Chair
of one of its Committee or Sub-Committees, if he, or any body with which he is
associated has a substantial financial interest in, or is closely related to, the
business or affairs of the Authority.
13.1 For the purposes of this Part, “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.
PART 3
THE REGISTER OF MEMBERS’ INTERESTS
Registration of Financial & Other Interests
14.1 Within 28 days of the provisions of an Authority’s Code of Conduct being
adopted or applied to the Authority or within 28 days of his election or
appointment to office (if that is later) a Member must register his financial
interests in the Authority’s register maintained under Section 81(1) of the
Local Government Act 2000 by providing written notification to the
Authority’s Monitoring Officer of:-
(a) any employment or business carried on by him;
(b) the name of the person who employs or has appointed him, the name of
any firm in which he is a partner, and the name of any company for
which he is a remunerated director;
(c) the name of any person, other than a relevant authority, who has made a
payment to him in respect of his election or any expenses incurred by
him in carrying out his duties;
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(d) the name of any corporate body which has a place of business or land in
the Authority’s area, and in which the Member has a beneficial interest in
a class of securities of that body that exceeds the nominal value of
£25,000 or one hundredth of the total issued share capital of that body;
(e) a description of any contract for goods, services or works made between
the authority and himself or a firm in which he is a partner, a company of
which he is a remunerated director, or a body of the description
specified in sub-paragraph (d) above.
(f) the address or other description (sufficient to identify the location) of
any land in which he has a beneficial interest and which is in the area of
the Authority.
(g) the address or other description (sufficient to identify the location) of
any land where the landlord is the Authority and the tenant is a firm in
which he is a partner, a company of which he is a remunerated director,
or a body of the description specified in sub-paragraph (d) above, and
(h) the address or other description (sufficient to identify the location) of
any land in the Authority’s area in which he has a licence (alone or jointly
with others) to occupy for 28 days or longer.
14.2 Within 28 days of the provisions of this code of conduct being adopted or
applied to the Authority or within 28 days of his election or appointment to
office (if that is later), a Member must register his other interests in the
Authority'’ register maintained under Section 81(1) of the Local Government
Act 2000 by providing written notification to the Authority’s Monitoring Officer
of his membership of or position of general control or management in any:-
(a) body to which he has been appointed or nominated by the Authority as
its representative;
(b) public authority or body exercising functions of a public nature;
(c) company, industrial and provident society, charity, or body directed to
charitable purposes;
(d) body whose principal purposes include the influence of public opinion or
policy;
(e) trade union or professional association; and
14.3 A Member must within 28 days of becoming aware of any change to the
interests specified under Paragraphs 14.1 and 14.2 above, provide written
notification to the Authority’s Monitoring Officer of that change.
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Registration of Gifts & Hospitality
15.1 Gift or hospitality includes any material benefit or advantage.
15.2 Each Member should treat with extreme caution any offer or gift or hospitality that is
made to them personally. The person or organisation making the offer may be
doing, or seeking to do, business with the Council, or may be applying to the
Council for planning permission or some other kind of decision.
15.3 There are no hard or fast rules about the acceptance or refusal of hospitality or
tokens of goodwill. For example, working lunches may be a proper way of doing
business, provided that they are approved by the Authority and that no
extravagance is involved. Likewise, it may be reasonable for a Member to
represent the Authority at a social function or event organised by outside persons or
bodies.
15.4 Each Member is personally responsible for all decisions connected with the
acceptance or offer of gifts or hospitality and for avoiding the risk of damage to the
public confidence in local government.
15.5 A Member must within 28 days of receiving any gift or hospitality, over the
value of £25 relating to or arising out of their position as a Member, provide
written notification to the Authority’s Monitoring Officer of the existence and
nature of that gift or hospitality.
15.6 A Member must also notify the Authority’s Monitoring Officer of any offer of any gift
or hospitality, whether or not the Member accepts that offer, which a member of the
public with knowledge of the relevant facts might reasonably regard as intended to
influence his discharge of his responsibilities as a Member within 28 days of such
offer being made.
PART 4
MISCELLANEOUS
Expenses & Allowances
16.1 A Member shall scrupulously observe the rules enabling him to claim expenses and
allowances in connection with the carrying out of his duties as a Councillor or a
Committee or Sub-Committee Member.
Protocols
16.2 A Member must also observe the relevant provisions contained in the following:-
(a)
Planning Code of Conduct for Members & Officers.
(b)
Local Code of Conduct Governing Relations between Elected Members and
Council Employees.
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Part 5.2 Planning Code of Conduct for Members
and Officers
CONTENTS
1. INTRODUCTION
2. GENERAL
PRINCIPLES
3.
GENERAL ROLES OF MEMBERS AND OFFICERS
4. DECLARATION
OF
INTERESTS
5. PRE-APPLICATION
DISCUSSIONS
6.
ATTENDANCE AT PUBLIC MEETINGS
7.
RESPONSE TO LOBBYING OF MEMBERS
8.
THE PARTY WHIP
9. PUBLIC
PARTICIPATION SCHEME
10.
REPORTS BY OFFICERS
11.
THE DECISION MAKING PROCESS
12. SITE
VISITS
13.
DEVELOPMENT PROPOSALS OF MEMBERS,
OFFICERS & THE COUNCIL
14. PLANNING
AGREEMENTS
15. TRAINING
16. COMPLAINTS
APPENDIX “A”:
COUNCIL GUIDELINES FOR
DETERMINING PLANNING APPLICATIONS
APPENDIX
“B”
PUBLIC
PARTICIPATION SCHEME
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1.
INTRODUCTION
1.1
This Code has been written to advise all those concerned with planning matters of
Slough Borough Council’s standards in its operation of the town and country
planning system within the Borough. The Code applies to all Members and Officers
involved in operating the planning system.
1.2
Planning is not an exact science. Rather, it relies on informed judgement within a
firm policy context. It is also highly contentious because its decisions affect the
daily lives of everyone and the private interest of individuals, landowners, and
developers. This is heightened by the openness of the system (it actively invites
public opinion before taking decisions) and the legal nature of development plans
and decision notices. It is important, therefore, that the process is characterised by
open and transparent decision-making.
1.3
One of the key purposes of the planning system is to control development in the
public interest. In performing this role, planning necessarily affects land and
property interests, particularly the financial value of land holdings and the quality of
their settings. It is important, therefore, that the Council should make planning
decisions affecting these interests openly, impartially, with sound judgement, and
for justifiable reasons. The process should leave no grounds for suggesting with
any justification, that a decision has been partial, biased, or not well-founded.
1.4
Thus the successful operation of the planning system in Slough depends upon the
Council always acting in a way which is clearly seen to be fair and impartial. This
requires a shared understanding of the respective roles of Members and Officers
and trust between these parties. The following quotation from the Local
Government Association serves to illustrate the point:-
“The role of an elected member on a planning committee involves a
balance between representing the needs and interests of individual
constituents and the community with the need to maintain an ethic of
impartial decision-making on what can be highly controversial
proposals. It is this dual role which, as the Nolan Committee in its
recent report acknowledges, can give rise to great tensions”.
(Source: Probity in Planning 1997).
1.5
The aim of this Code of Practice is to ensure that the Council operates an open and
fair system. Failure to follow this Code of Practice, without good reason, could be
taken into account during investigations by the Standards Board for England or the
Council’s Standards Committee and/or the Local Government Ombudsman.
1.6
Members and Officers are requested to read this Code thoroughly and put it into
practice consistently. It is intended to review the Code regularly so that it remains
useful and relevant. If any points are unclear or need review, please contact the
Director of Law and Corporate Governance or the Head of Planning and Strategic
Policy. They will be pleased to help you.
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2.
GENERAL PRINCIPLES
2.1 Members are reminded that they are required to comply with the statutory
provisions on the disclosure of interests (personal and financial), the Local Code of
Conduct for Members, this Council’s Rules (formerly known as Standing Orders)
and its Scheme of Delegation.
2.2
Officers involved in the processing and determination of planning matters must also
act in accordance with the Council’s Rules, Scheme of Delegation and with the
relevant sections of the Royal Town Planning Institute’s Code of Professional
Conduct or any other relevant professional or adopted Council Employee Code of
Conduct.
2.3
Whilst this Planning Code deals primarily with planning applications, its principles
apply with equal vigour to consideration of Structure Plans, Local Plans,
Development Briefs, enforcement cases and all other planning matters. An
overriding principle is that when local authorities are dealing with planning matters,
they should only take into account material planning considerations and ignore
irrelevant matters (Appendix “A”). This is considered further in paragraph 10 below.
2.4
This Local Code is supplemental to the provisions referred to above and provides
further specific advice and guidance for Members and Officers involved in planning
matters. A key principle is that Members should represent their constituents as a
body and vote in the interests of the Borough as a whole. Members should take
account of all views expressed, they should not be biased or appear to be partial
towards any person, company, group or locality.
3.
GENERAL ROLES OF MEMBERS AND OFFICERS
3.1
Members and Officers have different, but complementary roles. Both serve the
public but Members are responsible to the electorate, whilst Officers are
responsible to the Council as a whole. A successful relationship between Members
and Officers can only be based upon mutual trust and understanding of each
other’s position. This relationship, and the trust which underpins it, must never be
abused or compromised.
3.2
Members set the Council’s planning policy and determine planning applications,
enforcement issues and other planning matters within the context of that planning
policy. When Members come to make a decision on a planning matter, they must:-
(a)
Act fairly and openly
(b)
Approach each application with an open mind.
(c)
Carefully weigh up all relevant issues.
(d)
Determine each application on its own merits.
(e)
Avoid contacts with interested parties which might be taken to indicate that
they were unduly influenced by one party or another.
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(f)
Ensure that there are clear and substantial reasons for their decisions, and
that those reasons are clearly stated.
3.3
The Officers’ function is to advise and assist Members in matters of planning policy
and in their determination of planning applications, enforcement issues and any
other planning matters by:-
(a)
Providing impartial and professional advice.
(b)
Making sure that all the information necessary for the decision to be made is
given.
(c)
Providing a clear and accurate analysis of the issues.
(d)
Setting planning applications, enforcement issues and other planning matters
against the broader Development Plan policies and all other material
considerations.
(e)
Giving a clear recommendation.
(f)
Carrying out the decisions of Members in Committee.
3.4
Members who also serve on Parish Councils may need to clarify their separate
roles in each Council regarding Slough Borough Council planning policies. The
public and other interested parties should be clear at all times when the Members
are acting as a Parish Councillor and when they are acting in their role as a
Borough Councillor.
4.
DECLARATIONS OF INTEREST
4.1
Members should observe strictly the guidance on the disclosure of personal and
other interests as set out in the Local Code of Conduct for Members adopted by the
Council in April, 2002. A Member with a personal interest in a matter also has a
prejudicial interest in that matter if 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 the Member’s judgement of the public interest.
4.2
Members who have substantial property interests, or other interests which would
prevent them from voting on a regular basis should avoid serving on the Planning
Committee.
4.3
Gifts and hospitality give rise to particular problems in respect of the credibility of
the planning process and the acceptance of gifts or hospitality by Members or
Officers can be a very serious criminal offence. Members should have particular
regard to the provisions of the Council’s Local Code of Conduct for Members. In
particular, they must immediately report to the Monitoring Officer any offer of gifts or
hospitality and they should avoid any behaviour which might be taken as indicating
that they are open to such offers. Officers should strictly comply with the Council’s
adopted Employee Code of Conduct.
4.4
Officers must seek permission from the appropriate senior officer for any private
work or interest which they wish to take up as required by the Council’s Rules.
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5.
PRE-APPLICATION DISCUSSIONS
5.1
Discussions between a potential applicant and the Council prior to the submission
of an application can be of considerable benefit to both parties, and is encouraged
by the Audit Commission and the National Planning Forum. Discussions can take
place for a variety of reasons, for example: to establish whether an application can
be improved in design, to overcome planning objections, or to meet relevant
neighbour concerns.
5.2
It should always be made clear at the outset that pre-application discussions will not
bind the Council to making a particular decision and that any views expressed are
provisional, until all relevant information is submitted and consultations on it have
taken place.
5.3
Planning Officers will ensure that their advice is not partial, nor seen to be. This is
because a consequent report could be seen as advocacy for a particular point of
view. A written attendance note should be made of pre-application discussions,
and important telephone conversations and placed on the relevant planning file.
5.4
To ensure professional advice and maintain impartiality it is highly desirable that
Members do not take part in pre-application discussions other than in cases of
minor development. If there are other occasions when Members are involved they
must be accompanied and advised by professional officers of the Council including
a Senior Planning Officer. The involvement of Members in such discussions will be
noted by Officers in a written attendance note which must be placed on the relevant
planning file.
5.5
For the avoidance of doubt, Members are prohibited from negotiating with the
applicant.
6.
ATTENDANCE AT PUBLIC MEETINGS
6.1
Officers who are wholly or partly involved in the processing or determination of
planning matters should not attend public meetings in connection with pre-
application development proposals or submitted planning applications, unless their
attendance has been agreed by the Head of Development Control. To do so could
lead to allegations of prejudice or bias to a particular point of view. If such
attendance has been authorised, Officers should only provide information and give
no view on the merits or otherwise of the proposal.
6.2
When attending public meetings, Members must be accompanied by a Senior
Planning Officer and they should take great care to maintain their impartial role as a
Councillor, listen to all the points of view expressed by the speakers and the public
and not state a conclusive decision on any pre-application proposals and submitted
planning applications.
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7.
RESPONSE TO LOBBYING OF MEMBERS
7.1
It is a fact of life that when Members undertake their ward roles they will be
approached by prospective and actual applicants (and agents) or members of the
public with a view to them lending support to the proposal, or indeed opposing it.
When Members are lobbied they need to exercise great care to maintain the
Council’s reputation and the Member’s own integrity and the public perception of the
planning process.
7.2
If they are approached, Members should use all reasonable endeavours to refer the
person to another Member who is not a Member of the Planning Committee. If,
however, the lobbying persists then Members should expressly state that whilst they
can listen to what is said, they cannot give any commitment (for or against) in
respect of the application/proposal for to do so without all relevant information,
evidence and views would be unfair, prejudicial and may amount to
maladministration.
7.3
If a Member considers that an ordinary member of the public believes that s/he held
a conclusive view in respect of an application or other planning matter before the
relevant meeting then s/he should advise the Monitoring Officer in writing prior to the
meeting, and not take part in the debate or vote on the issue.
7.4
If approached by a constituent, who is not professionally represented, a Member
should only give advice on planning procedure, rules and policy. If approached by a
constituent who is represented, or a non-constituent, or a professional agent, a
Member should refer the person making the approach to either the Head of
Development Control or the Planning Case Officer.
7.5
Other than for formal site visits, Members should not enter premises or sites which
are, or are likely to be, the subject of a planning application or forms part of a Local
Plan proposal.
7.6
Members should not organise support, opposition or put undue pressure on other
Councillors or Officers for a particular decision/recommendation.
7.7
A decision in respect of any planning matter or application can only be taken at the
Planning Committee when all relevant information is to hand and has been carefully
considered. Individual Members should reach their own conclusions at the meeting
rather than be influenced by others. In this regard, any political group meetings prior
to Committee meetings should not be used to decide how Members should vote.
8.
THE PARTY WHIP
8.1
Members cannot accept an instruction from anyone to determine an application in a
particular manner, but must determine the issue on its merits. Accordingly, whilst
they may accord appropriate weight to the views of other Members, whether
expressed in the Committee meeting or in prior discussions, they must determine
the application on its merits and should not take into account any factor which they
are not prepared to state in open Committee. Therefore, it is inappropriate for any
Party Group to instruct its Members to vote in a particular manner on an application
Part 5 – 5.2 Planning Code of Conduct for Members and Officers
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or to apply or threaten to apply any sanction to any Member who votes contrary to
the Group’s collective views.
8.2
Where such a “Whip” has been applied, Members should declare it in exactly the
same manner as they would declare any other attempt at lobbying.
9.
PUBLIC PARTICIPATION SCHEME
9.1
Applications for planning permission are determined by either Officers acting under
the Council’s Scheme of Delegation or by Members who form the Planning
Committee. Each application is subject to a public consultation/notification exercise
which includes local residents and other bodies inviting comment in writing on the
application before it is determined.
9.2
However the Council is committed to extending public involvement in the planning
and development process by giving the following an opportunity to address in
certain circumstances Members of the Planning Committee at the meeting before
Members take their decision:-
(a)
Objectors
(b)
Parish Council representatives
(c)
The applicant (or his agent) and supporters
(d) Ward
Councillors
9.3
The Public Participation Scheme will only apply to applications which are to be
determined by the Planning Committee. They do not apply to any matter where the
Planning Committee is considering enforcement of any kind. Applications to be
determined under Officer Delegated Authority are not subject to the requirements of
this code.
9.4
The Public Participation Scheme will operate in accordance with the explanatory
leaflet attached as
Appendix B to this Code of Conduct.
10.
REPORTS BY OFFICERS
10.1 Reports to the Planning Committee on applications and other planning matters must
be clear and accurate and comprise:-
(a)
a full description of the site.
(b)
any related planning history
(c)
full details of any relevant policies of the Development Plan and other
material considerations.
(d)
a technical appraisal of which clearly justifies the written recommendation.
(e)
a written recommendation setting out clear and unambiguous reasons for:
(i)
granting planning permission (with conditions to be attached); or
(ii)
refusal.
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10.2 The Chair, at the request of any Member of the Committee, shall adjourn the
meeting for a reasonable period of time to enable the Members to have an
opportunity of reading any information which has been tabled by the officers at the
meeting.
10.3 As a general rule the Members of the Committee will not take into account any
written information at the meeting which has not been submitted by the
developer/applicant or any consultees (including local residents) as part of the
application process. However in exceptional circumstances the chair, in
consultation with the officers present, may exercise his/her discretion to consider
new information if it is appropriate to do so.
10.4 The Head of Development Control and/or the relevant Planning Case Officer having
conduct of the case, must be available at the Planning Committee to answer any
questions or clarify any queries raised by Members.
11.
THE DECISION MAKING PROCESS
11.1 In determining applications submitted pursuant to the Town and Country Planning
Act 1990, and other planning or planning related legislation, the Council will follow
the Guidelines adopted as part of this Planning Code. These adopted Guidelines
will be subject to changes from time to time to reflect the latest government
guidance and case law (Appendix “A”).
11.2 In discussing and determining a planning application enforcement issue or other
planning matter, Members should confine themselves to the planning merits of the
case. The reasons for making a final decision should be clear, convincing and
supported by material considerations and the planning merits. The Planning
Committee’s decisions should be properly minuted.
11.3 From time to time Members of the Planning Committee will disagree with the
professional advice given by the Head of Planning and Strategic Policy or his
representative. As indicated in paragraph 1.2 above planning is not an exact
science and there can be genuine disagreement about the implications of a
particular proposal. A senior legal officer will be present at Committee and will be
able to advise if the facts simply cannot support the conclusion which the Members
have drawn and the Committee is in danger of acting unreasonably.
11.4 Where Councillors wish to add or amend conditions or reasons for refusal, the
general content will be agreed at the meeting before the vote is taken and the final
wording will generally be delegated to the Head of Planning and Strategic Policy.
Where an appeal arises against such a decision, Officers will give support to the
relevant Committee Members in preparing evidence for the appeal, but it will be for
Members of the Planning Committee to appear at any appeal inquiry/hearing and
give evidence to justify the reasons for the Committee’s decision.
11.5 If the report of the Planning Case Officer recommends approval of a departure from
the Development Plan, the full justification for this recommended departure should
be included in the report.
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12.
SITE VISITS
12.1 A site visit is private and its purpose is for Members to gain knowledge of the
development proposal and to observe the characteristics of the site and its
relationship to its surroundings. A site visit may be called by
• Any two Members of the Planning Committee;
• A Ward member, if the application has been referred to Committee by the
Head of Planning and Strategic Policy on the request of the Ward Member.
Requests for site visits will be made directly to Committee and Members Services,
with an outline of the main reasons as to why a site visit should take place and must
be submitted ten working days before the meeting at which the application is to be
considered.
All Members of the Planning Committee will be invited to the site visit and all ward
members will also be advised of the visit and invited to attend.
Site visits are:-
(a)
fact
finding
exercises
(b)
not part of the formal consideration of the application and therefore public
rights of attendance do not apply.
(c)
to enable Officers to point out relevant features
(d)
to enable questions to be asked on site for clarification. However, discussion
on the application will only take place at the subsequent Committee as all
relevant parties may not be in attendance on site.
12.2 At the site visit Members shall be accompanied by the Head of Development
Control and/or the Planning Case Officer who will record what takes place at the
inspection. Members may ask questions of the Officers and the applicant.
However, representations on the merits of the application will not be heard.
12.3 The site visit shall take place during normal working hours as far as is practicable
unless there are reasons which dictate otherwise.
12.4 No decision is to be made at the site visit. It is essential that Member and Officers
ensure that those attending, or making comments, are not led to believe that a
decision has been taken on the visit, or that conclusive views have been reached.
12.5 After the inspection the Head of Development Control or the Planning Case Officer
who attended the site visit will prepare notes for the Planning Committee on the
planning issues and any relevant information obtained by Members and a
recommendation on how the application should be determined.
12.6 The Head of Development Control will ensure that all correspondence in relation to
site visits clearly identifies the purpose of the site inspection, the format and
conduct of the inspection and the appropriate procedure for the applicants, agent
and interested parties to address elected Members.
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13.
DEVELOPMENT PROPOSALS OF MEMBERS, OFFICERS AND THE COUNCIL
13.1 Members and Officers should never act as agents for individuals (including a
company, group or body) pursuing an application enforcement issue or other
planning matter. If Members or Officers submit their own development proposal to
the Council, they should take no part in its processing or the decision-making. The
Council’s Monitoring Officer should be informed by the Member of Officers of all
such proposals as soon as they are submitted and shall ensure that such
applications and/or matters are dealt with in a correct and open manner.
13.2 Applications made on behalf of the Council for its own development must be
determined in an identical manner to applications made by the general public and
the same planning policy considerations applied. The Council’s current practices
and procedures achieve this with identical consultation and publicity in relation to
the application. Decisions must be made strictly on planning merits and without
regard to any financial or other gain which may accrue to the Council if the
development is permitted. Applications for development by the Council are
considered by the Planning Committee for decision or in accordance with the
Council’s Scheme of Delegation. This scheme gives clear guidelines on when
applications will be determined under delegated powers. Provided these are met,
there should be no grounds for allegations of unfairness.
14.
PLANNING AGREEMENTS
14.1 Applications which propose or require planning obligations by agreement will be
determined by the Planning Committee. The heads of agreement will be included in
the Officers’ written report, and a copy of the agreement, when made, will be
publicly available, provided (following the advice of a Council Solicitor) it is not
considered to prejudice clearly established interests of commercial confidentiality.
15.
TRAINING
15.1 No Member should be appointed to the Planning Committee without having agreed
to participate in educational training programmes directed towards the role of
Members in making planning decisions.
15.2 The Council will, from time to time, consider and review the form of education and
training that is most appropriate.
15.3 Initially, there will be a series of short training sessions by the Council’s Solicitors
and Planning Officers on the following topics:-
• The Role of the Government in Planning
• The Development Plan and Material Considerations
• Section 106 Planning Obligations/Planning Conditions
• Enforcement of Planning Control
• Certificates of Lawful Use
• Planning
Procedures
15.4 This training will be open to all Members and brief handouts will be provided where
appropriate. The Council welcomes suggestions from Members on any other
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subjects which they would like to see covered and any other training procedures
that they would wish to adopt.
16.
COMPLAINTS & RECORD KEEPING
16.1 In order that planning procedures are undertaken properly and that any complaints
can be fully investigated, record keeping will be complete and accurate. Every
planning application file will contain an accurate account of events throughout its
life, particularly the outcomes of meetings, significant telephone conversations and
any declarations of interest by Members.
16.2 The same principles of good record keeping will be observed in relation to all
enforcement and Development Plan matters. Monitoring of record keeping will be
undertaken regularly by the appropriate managers in the Law and Corporate
Governance Department.
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APPENDIX “A”
(To Planning Code of Conduct)
COUNCIL GUIDELINES FOR DETERMINING PLANNING APPLICATIONS
1.
APPLICATIONS UNDER THE TOWN & COUNTRY PLANNING
ACT 1990 (TCPA)
( i )
The emphasis in determining applications is upon a plan led system.
Section 54A of the Town and Country Planning Act 1990 requires all
planning applications to be determined by reference to the Development
Plan (i.e. the Structure Plan and the adopted Slough Local Plan) if material
to the application, and any other material considerations. If the
Development Plan is material to the application then the statutory position
is that the application should be determined in accordance with the
Development Plan unless material considerations indicate otherwise.
( ii )
The term “other material considerations” has a wide connotation as
expressed by the following judicial comment:-
“………….I find it impossible, however, to accept the view that such
considerations are limited to matters relating to amenity………it seems to
me that any consideration which relates to the use and development of
land is capable of being a planning consideration”.
( iii )
Material considerations include national planning guidance in the form of
Government Circulars, Planning Policy Guidance Notes, Non-Statutory
Development Control Guidelines and case law. A ministerial statement
may be a material consideration.
( iv )
Examples of material considerations are:-
( a ) appearance and character of development;
( b ) traffic generation, highway safety and parking;
( c ) Overshadowing, overlooking and loss of privacy;
( d ) noise, disturbance or other loss of amenities;
( e ) layout and density of buildings;
( f )
relevant planning policies.
(v)
Matters which are not material considerations include:-
( a ) boundary disputes, covenants or other property rights;
( b ) personal remarks (e.g. the applicant’s motives);
( c ) reduction in property values;
( d ) loss of private view over the land.
( vi )
The personal circumstances of an applicant for planning permission are not
generally a material consideration because they do not relate to the
character or use of the land. However, in exceptional circumstances they
may outweigh other material planning considerations. Where this is the
case, specific and valid reasons must be given to justify the exception.
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( vii )
What constitutes a material consideration is a matter of law. The weight to
be attached to the consideration is a matter of planning judgement for the
decision-maker having regard to the planning evidence. In attaching
weight to any offers of community benefit accompanying any planning
application, Members must be mindful of the Advice in Circular 1/97
Planning Obligations (Section 106 Agreements) as to the legality and
materiality of such offers.
( viii)
It is essential to consider thoroughly any advice given by a statutory
consultee or relevant Government Department, including views expressed
by English Heritage or the Environment Agency.
(ix)
The view of local residents are relevant when determining a planning
application, but it must be recognised that such opposition cannot be a
reason in itself for refusing or granting planning permission unless
founded on valid planning reasons, which are supported by substantial
evidence (Circular 9/93 - Annex 3, Paragraph 15).
(x)
Account should be taken of previous Council decisions, appeal decisions in
relation to the site, or other related appeal decisions.
(xi)
It is not permissible to prevent, inhibit or delay development which could
reasonably be permitted.
(xii)
Planning Conditions should only be imposed for a planning purpose and
not for any ulterior one. They must fairly and reasonably relate to the
development. Thus it is essential to avoid conditions which are
unnecessary, unreasonable, unenforceable, imprecise or irrelevant.
2.
APPLICATIONS UNDER THE PLANNING (LISTED BUILDINGS AND
CONSERVATION AREAS) ACT 1990 (PLBCA)
( i )
It is now established that the determination of planning applications and
applications for PLBCA are two separate statutory duties. The provisions
of the TCPA do not override those of the PLBCA.
( ii )
The Development Plan contains policies that deal with development in
Conservation Areas and applications for Listed Building Consent under the
PLBCA to enable the local authority to consider the desirability of
preserving the building or its setting or any feature of special historic
interest or the Conservation Area.
( iii )
Members will also have regard to the replies of statutory consultees, e.g.
English Heritage and amenity societies.
( iv )
Planning Policy Guidance Note 15 will be relied upon.
( v )
Any other material consideration, e.g. appeals decisions and relevant case
law.
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APPENDIX B
SLOUGH BOROUGH COUNCIL
What happens about my
Objection to a
Planning Application?
This leaflet explains how your objection is
dealt with and how the application is
determined. Your views on planning
applications are always considered when
planning decisions are made
March 2005
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1.
I have objected. What happens next?
1.1
Planning officers will consider whether:
• the application should be recommended for approval as it stands
• it should be amended to resolve your objection, or
• it should be refused
1.2
Your written objection will be acknowledged by letter and you will be asked to
register if you wish to speak in the event that the application is to be determined by
the Planning Committee. If you register, you will be notified of the time and date of
the meeting. The deadline for receipt of requests to speak at a Planning Committee
shall be no later than three clear working days prior to the day of the meeting.
1.3
If you have submitted a petition in response to a planning application your petition
will be noted for the purposes of the Public Participation Scheme and, in the event
that the application is to be determined by the Planning Committee, the petition
organiser/main contact will be advised of their right to speak at the meeting.
[Note: The submission of a petition does not mean that the planning application will
automatically be referred to the Planning Committee.]
2.
Who Makes the Decision?
Most planning applications are dealt with at officer level under a Scheme of
Delegation. In this circumstance the application will not be reported to the Planning
committee for determination. In certain circumstances, as set out in the Scheme of
Delegation, the application will be determined by the Planning Committee. Any
comments received will be summarised in a report when the application is
presented.
3.
Can I see the officer’s report before the Planning Committee Meeting?
Yes. The agenda and reports will be available at the Town Hall five working days
before the meeting. An additional paper (The Update), containing information
received after the reports have been written and prior to the meeting, will be
circulated at the meeting.
4.
Can I speak at the Planning Committee Meeting?
Slough Borough Council has a public participation scheme that allows for speaking
about a planning application if the application is to be determined by the Planning
Committee. You may speak if:-
(a)
you have made a written objection or lodged a petition and
(b)
registered to speak and
(c)
the application is recommended for approval.
If the application is recommended for refusal and the Chair of the Planning
Committee has agreed that the applicant can address the Committee you may
speak in reply if you have made a written objection and registered to speak. We will
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advise you if this is the case. If you require any further information please
telephone the Planning Case Officer who has written to you.
5.
Can a member of the public speak about any application on the Agenda?
No. Members of the public can only speak if they have objected in writing to an
application and registered to speak, in line with the Public Participation Scheme.
6.
How much time will be allowed for speakers?
A total of four minutes per site/application will be allocated to hear the views of all
objectors, four minutes for Parish Councils and four minutes for the applicant/agent.
The Chair of the Planning Committee can in exceptional circumstances extend the
time limit for all parties and his decision will be final.
7.
What happens if there are a number of objectors wishing to speak?
7.1
The time limit remains the same and objectors will be encouraged to present a joint
objection or appoint a spokesperson, as this is often the most effective use of the
time available. In order to agree the best approach, objectors may contact the
Planning Committee Clerk for details of others wishing to speak. The telephone
and fax numbers and the e-mail address can e found in the Notice of Objection form
which accompanies this leaflet. In some cases the Parish Council or a Residents’
Association may be willing to represent objectors.
7.2
The Council needs to strike a balance between providing the opportunity for people
to be heard and ensuring that the applications are dealt with efficiently, within a
meeting of reasonable length. This is why there is a time limit on speakers.
Can someone else speak on my behalf?
Yes. You could ask a friend, relative or professional adviser to speak for you.
How do I present my objection?
The Committee may only consider relevant planning issues. Please limit you
comments to matters such as:-
appearance and character of development
traffic generation, highway safety and parking
overshadowing, overlooking and loss of privacy
noise, disturbance and other loss of amenities
layout and density of buildings
relevant planning policies
Please avoid matters that cannot be considered by the Committee such as:-
boundary disputes, covenants or other property rights
personal remarks (eg the applicant’s motives)
reduction in property values
loss of private view over the land
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THERE WILL BE NO OPPORTUNITY FOR YOU TO DISPLAY MAPS,
PHOTOGRAPHS ETC OR TO ASK QUESTIONS OF OTHERS AT THE
MEETING.
If you would like to check what issues are relevant, please contact the appropriate
planning officer in the Department of the Green and Built Environment.
When and where are the meetings held?
Applications are dealt with by the Planning Committee, which meets at 6.30 p.m.
You will be advised by letter of the date of the meeting if the application you have
objected to is to be considered by the Committee. Meetings are held in the Council
Chamber, Bath Road, Slough. Directions to the meeting room will be given in the
reception area at the Bath Road entrance to the Town Hall. There is disabled
access. Car parking is available on site.
Who is on the Committee and who else will be there?
The Committee is made up of elected Councillors. Council staff attend to advise
the Committee and make a formal record of the meeting. Other Councillors may be
present to speak on applications within their Ward, but they cannot vote. Any
member of the public or applicant may attend to listen to the debate and the Media
is usually present.
What is the order of business at the meeting?
The Chair of the Planning Committee will normally amend the order of business on
the Agenda and deal firstly with those applications where people have expressed a
wish to speak under this Scheme.
What is the order of speaking for each application?
The Chair will announce the application.
A planning officer will give a short introduction.
The Chair will invite the Parish Council representative to speak.
The Chair will invite objectors to speak.
The Chair will then invite the applicant or agent to respond.
Committee members may ask questions of the speakers and seek clarification of
particular points from officers.
The Committee will then discuss the application and make a decision. This may be
to:-
approve the application
refuse the application
defer consideration eg for further information or amendments, or
defer consideration for a site visit by a panel of Councillors.
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What happens if an application is deferred for a Site Visit?
If, before the meeting, a councillor asks for a site viewing and the application is not
discussed, you will be invited to speak at a subsequent meeting when the item will
be considered. If, after hearing the objectors, the Committee decides to view a site,
you will not be invited to speak again.
You will be given only one opportunity to
speak on an application.
Can Objectors speak at a Site Visit?
No. The site visit is private and its purpose is to observe characteristics of a site
and its relationship to the surroundings. Representations on the merits of the
application will not be discussed.
Can an application be approved by the Committee if it is recommended for refusal?
The Committee can disagree with the officer’s recommendation but, if it does, the
application would only be approved if public speaking had taken place or no
objectors or Parish Council had registered to speak. Otherwise, the application
would be deferred to the next meeting so that objectors would have the opportunity
to address the Committee to explain why it should not be approved.
What happens after the decision is made?
The applicant/agent will be sent the notice of decision. Objectors/supporters will be
sent a letter outlining the decision. Where an application has been refused, the
applicant can appeal to the Planning Inspectorate. You will be advised of any such
appeal, your original comments will be forwarded to the Inspectorate and you will be
asked for any further comments. Where an application has been granted, there is
no opportunity for objectors to appeal.
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LETTER 1 – STANDARD CONSULTATION LETTER
Date
Department:
Department of the Green and Built Environment
Contact Name:
Contact No:
01753
Fax:
01753
The Owners/Occupiers
Our Ref:
Dear Sir/Madam
Re: Town and Country Planning Act 1990
Town and Country Planning (General Development Procedure) Order 1995
Location:
Proposal:
The Council has received the above application for (Outline/Full) planning permission and
will take into account written comments received within 21 days from the date of this letter.
The application documents are available for inspection at the Department of the Green
and Built Environment, 4th Floor, Wellington House, Slough during the hours of 9.30 a.m.
to 4.30 p.m. Please bring this letter with you for reference. In addition, applications in the
Parishes of Britwell, Colnbrook with Poyle and Wexham Court have been copied and sent
to the appropriate Parish Council. Please contact your Parish Clerk to arrange an
appointment if you wish to view the plans.
Should you wish to write I would draw your attention to the advice on the back of this letter.
Please note that your letter will not normally be responded to other than by a standard
acknowledgement letter. Issues raised in letters of representation are addressed through
the Officer’s report which is also available for inspection at Wellington House. There may,
of course, be cases where an individual reply is appropriate, and this will be carried out at
the discretion of the Planning Case Officer.
If you have any queries or require further information, please do not hesitate to contact
(01753) ............. or e-mail ..............
Yours faithfully
.....................................
Planning Case Officer
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Advice to Neighbours when commenting on Applications
The Council has a duty to reach a decision on planning applications based on the policies,
criteria and standards set out in the adopted Local Plan for Slough, the Replacement
Berkshire Structure Plan and other “material” considerations.
These notes are intended to help you to offer comments relevant to the consideration of
the application.
Issues which cannot be taken into account:
• boundary disputes, covenants or other property rights
• matters dealt with by other legislation eg. standard of works
• inconvenience caused by building works
• opposition to business competition
• opposition to the principle of development when this has been settled by an outline
planning permission or by allocation of the site within an adopted development plan
• the applicant’s or objector’s personal circumstances unless, exceptionally, these can
be shown to be material, eg. disability
• personal remarks (eg the applicant’s motives)
• reduction in property values
• loss of private view over the land
Issues which may be taken into account
• traffic generation, highway safety and parking
• overshadowing, overlooking and loss of privacy
• noise, disturbance or other loss of amenities
• relevant planning policies
• effect
on
trees
• design eg. height/bulk/position of buildings, appearance, effect on surrounding area
• inadequate landscaping/means of enclosure
If you do want to comment please ensure that your letter is received by the deadline given
overleaf. Your representations will be acknowledged and taken into account in
determining the application.
Please note that, by law, representations are open to public inspection. In the event of a
subsequent appeal, such representations will be forwarded to the Planning Inspectorate
and the appellant
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LETTER 2 – ACKNOWLEDGEMENT/PUBLIC PARTICIPATION SCHEME LETTER
Date
Department:
Department of the Green and Built Environment
Contact Name:
Contact No:
01753
Fax:
01753
(Addressee )
Our Ref:
Dear Sir/Madam
Re: Town and Country Planning Act 1990
Town and Country Planning (General Development Procedure) Order 1995
Location:
Proposal:
Thank you for your recent letter commenting on this application. The points which you
have raised will be carefully considered and taken into account in arriving at a decision on
the application. If the decision is to be taken by the Planning Committee your points will
be summarised in the written report. In the event that this application is recommended for
approval you may be able to address the Committee. I enclose a leaflet which explains
our Public Participation Scheme. If you want to register your wish to speak please
complete the attached form and return it to the Department of Law and Corporate
Governance by post, fax or e-mail the details of which are set out on the form. Requests
by telephone cannot be accepted.
Please note that unless a request to speak is received by one of the above methods
you will not be permitted to speak. Requests should be received by
______________________________
The Department of Law and Corporate Governance will then write to you to inform you of
the date and time of the Committee Meeting at which this application will be considered
approximately one week prior to that meeting. I shall advise you of the decision reached in
due course.
If you wish to discuss details of the application, have any queries or require further
information concerning the public participation scheme, please do not hesitate to contact
me on (01753) ............. or e-mail ........................ on (01753) .... or e-mail .........
Yours faithfully
.....................................
Planning Case Officer
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PUBLIC PARTICIPATION SCHEME
OBJECTOR WISHING TO SPEAK
Location:
Proposal:
Application Reference:
I confirm that I would like the opportunity to address the meeting in the event of the above
mentioned application being reported to Committee.
Objector’s
Name _________________________________________________
Address
________________________________________________________
________________________________________________________
________________________________________________________
________________________________________________________
_____________________
Telephone No:
_________________________________________________
Signed _________________________________________________
Please return to:
Planning Committee Clerk
Department of Law and Corporate Governance
Slough Borough Council
Town Hall
Bath Road
Slough
SL1 3UQ
Or Fax on:
(01753) 875171
Or E-mail:
........................
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5.3
Licensing Code of Conduct for Members
and Officers
CONTENTS
1. INTRODUCTION
2. GENERAL
PRINCIPLES
3.
GENERAL ROLES OF MEMBERS AND OFFICERS
4.
DECLARATION OF INTERESTS & GIFTS
5. PRE-APPLICATION
DISCUSSIONS
6.
ATTENDANCE AT PUBLIC MEETINGS
7.
RESPONSE TO LOBBYING OF MEMBERS
8.
THE PARTY WHIP
9.
REPORTS BY OFFICERS
10.
THE DECISION MAKING PROCESS
11. SITE
VISITS
12.
LICENSING APPLICATIONS OR MATTERS OF MEMBERS, OFFICERS AND
THE COUNCIL
13. TRAINING
14.
COMPLAINTS AND RECORD KEEPING
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1.
INTRODUCTION
1.1
This Code has been written to advise all those concerned with licensing matters of
Slough Borough Council’s standards in its operation of the licensing systems within
the Borough. The Code applies to all Members and Officers involved in operating
the licensing systems.
1.2
The Standards Board has advised that “Regulatory Matters such as planning and
licensing are particularly sensitive… In our view, you should adopt a particularly
cautious approach to planning and licensing matters” (‘Lobby Groups, dual-hatted
members and the Code of Conduct – guidance for Members’ The Standards Board
for England, September 2004 p.16).
1.3
The Licensing Committee and its sub-committees deal with a wide range of
licensing matters. These now include the increased responsibilities of licensing both
persons and premises with regard to the carrying out of licensable activities
including the sale and supply of alcohol; provision of regulated entertainment; and
the provision of late night refreshment, by virtue of the Licensing Act 2003.
1.4
Many of the licensing and enforcement functions entail members and officers acting
in a quasi-judicial capacity. In doing so they 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. It is important that the
process is characterized by open and transparent decision-making.
1.5
The role of an elected member on The Licensing Committee and its sub committees
will involve making informed judgements. For example balancing the multiple
needs and interests of the local community whilst prioritizing the Licensing
Objectives of the Licensing Act 2003 or balancing the private interests of individuals
applying for licences as Private Hire Vehicle Drives with public safety
considerations. In carrying out this role the elected member on the Licensing
Committee or sub committee must maintain his/her impartiality and as public
perception of probity is critical, his/her appearance of impartiality too, during the
decision making process. Decisions should be made openly, impartially with sound
judgment and for justifiable reasons. The process should leave no grounds for
suggesting, with any justification, that a decision has been partial, biased or not well
founded.
1.6
The following quotation from the Standards Board for England illustrates the role:
“As a member of your authority, you are at the heart of local democracy. You
represent people in your area and take forward concerns – drive change, participate
in community and action groups, and make decisions for the benefit of the
community as a whole. Sometimes these roles and responsibilities conflict, and
you need to strike a balance between representation, driving change and ensuring
the authority can even-handedly decide matters on their merits and be seen to be
doing so”.
‘Lobby groups, dual handed members and the Code of Conduct Guidance for
Members’. September 2004
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The aim of this Code of Practice is to ensure that the Council operates an open and
fair system. Failure to follow this Code of Practice, without good reason, could be
taken into account during determination of complaints by the Standards Board for
England, the Council’s Standards Committee and/or the Local Government
Ombudsman.
1.7 Members and Officers are requested to read this Code thoroughly and put it into
practice consistently. It is intended to review the Code regularly so that it remains
useful and relevant. If any points are unclear or need review, please contact the
appropriate Senior Licensing Officer or an officer from Committee and Member
Services who will be pleased to help you.
2.
GENERAL PRINCIPLES
2.1
Members are reminded that they are required to comply with the statutory
provisions on the disclosure of interests (personal and financial), the Local Code of
Conduct for Members, this Council’s Procedure Rules (formerly known as Standing
Orders) and its Scheme of Delegation.
2.2
Officers involved in the processing and determination of licensing matters must also
act in accordance with the Council’s Procedure Rules, Scheme of Delegation and
with the relevant sections of the Council Employee Code of Conduct.
2.3
Whilst this Licensing Code deals with all Licensing matters, the duties introduced by
the Licensing Act 2003 (regarding licensable activities including the sale and supply
of alcohol; provision of regulated entertainment; and the provision of late night
refreshment) require determination having taken into account the Licensing
objectives contained within The Licensing Act 2003 and the Council’s Statement of
Licensing Policy.
2.4
This Local Code is supplemental to the provisions referred to above and provides
further specific advice and guidance for Members and Officers involved in licensing
matters. A key principle is that Members should represent their constituents as a
body and vote in the interests of the Borough as a whole. Members should take
account of all views expressed, they should not be biased or appear to be partial
towards any person, company, group or locality.
3.
GENERAL ROLES OF MEMBERS AND OFFICERS
3.1 Members and Officers have different, but complementary roles. Both serve the
public but Members are responsible to the electorate, whilst Officers are
responsible to the Council as a whole. A successful relationship between Members
and Officers can only be based upon mutual trust and understanding of each
other’s position. This relationship, and the trust which underpins it, must never be
abused or compromised.
3.2
Members set the Council’s planning policy and determine licensing matters within
the context of that licensing policy. When Members come to make a decision on a
licensing matter, they must:-
(a)
Act fairly and openly
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(b)
Approach each application with an open mind.
(c)
Carefully weigh up all relevant issues.
(d)
Determine each application on its own merits.
(e)
Avoid contacts with interested parties which might be taken to
Indicate that they were unduly influenced by one party or another.
(f)
Ensure that there are clear and substantial reasons for their decisions, and
that those reasons are clearly stated.
3.3
The Officers’ function is to advise and assist Members in matters of planning policy
and in their determination of licensing applications, enforcement issues and any
other licensing matters by:-
(a)
Providing impartial and professional advice.
(b)
Making sure that all the information necessary for the decision to be made is
given.
(c)
Providing a clear and accurate analysis of the issues.
(d)
Setting licensing applications, enforcement issues and other licensing
matters against the Licensing Objectives, the Council’s Licensing Policy and
all other material considerations.
(e)
Giving a clear recommendation.
(f)
Carrying out the decisions of Members in Committee.
3.4 Members who carry out functions in another public authority or another local
authority (e.g. parish council or health authority) which is making an application for
a license or which is making a representation should make a disclosure of his/her
position in advance to the Licensing Sub-Committee and the Chair of the
Committee will consult with the Sub-Committee’s legal advisor to decide if the
Member can take part in the decision-making. If it is decided that a Member can be
part of the Licensing Sub-Committee then it is important that it is made very clear
that any decision taken has been made on the basis of the Licensing Objectives
and the Council’s Licensing Policy Statement and that the Member concerned is
coming to the hearing with an open-mind.
3.5
When the Licensing Sub-Committee is considering an application from the Council
for a licence, a Member who took part in the Council meeting, which approved the
policy statement, or the Licensing Committee, which recommended it, would not
normally be excluded from the Licensing Sub -Committee. However, there may be
an exception if the Member involves could reasonably be seen as having been
leading or particular advocate for or against the proposal to such an extent that
there were doubts that the Member had retained a genuinely open-mind.
4.
DECLARATIONS OF INTEREST & GIFTS
4.1
Members should observe strictly the guidance on the disclosure of personal and
other interests as set out in the Local Code of Conduct for Members adopted by the
Council in April, 2002. A Member with a personal interest in a matter also has a
prejudicial interest in that matter if the interest is one which a member of the public,
Part 5 – 5.3 Licensing Code of Conduct for Members and Officers
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with knowledge of the relevant facts, would reasonably regard as so significant that
it is likely to prejudice the Member’s judgment of the public interest.
4.2 Members who have substantial property interests, or other interests which would
prevent them from voting on a regular basis should avoid serving on the Licensing
Committee or Sub-Committee.
4.3
Gifts and hospitality give rise to particular problems in respect of the credibility of
the licensing process and the acceptance of gifts or hospitality by Members or
Officers can be a very serious criminal offence. Members should have particular
regard to the provisions of the Council’s Local Code of Conduct for Members.
Members are required by the Local Code of Conduct for Members to provide written
notification of receipt of any gift/hospitality worth greater than £25, within 28 days, to
the Monitoring Officer. Gifts include free drinks, meals and admission to events.
Where, in exceptional circumstances a gift or offer is accepted (e.g. free admission
etc.) then it should be reported to the Monitoring Officer in writing and recorded in
their register due to the need to avoid potential perceptions of bias. Officers should
strictly comply with the Council’s adopted Employee Code of Conduct.
4.5
Officers must seek permission from the appropriate senior officer for any private
work or interest which they wish to take up as required by the Council’s Rules.
4.6
Examples of Personal and Prejudicial Interests
These interests include those which affect the well-being or financial position of the
Member. Examples might include where the Member (or their friend, family or
employer):
• lives very near to the premises in question
• is a frequent visitor to the premises in a personal capacity such that
the outcome of the licensing decision may be regarded as having had
an effect on their well being or financial position;
• Belongs to a lobby or campaign group which may amount to a
personal interest because of the direct or indirect impact that the
decision may have on the group to which the Member belongs
A prejudicial interest arises if 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 the member’s judgment of the public interest.
A member with a personal and prejudicial interest should not take part in any
discussions about that interest unless a dispensation has been obtained from the
Council’s Standards Committee. S/he must declare what the interest is and
withdrawn from the meeting by leaving the room. A member with such an interest
cannot represent an interested party. If s/he wishes to do so s/he must exclude
his/herself from membership of the Sub Committee, which is considering the
application, and address the Sub Committee as a local member.
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5.
PRE-APPLICATION DISCUSSIONS
5.1 Discussions between a potential applicant and the Council and/or responsible
authorities prior to the submission of an application can be of considerable benefit
to both parties, and is encouraged by the Guidance issued by the Secretary of
State. Discussions can take place for a variety of reasons, for example: to establish
whether an application can be improved in design, to overcome concerns on
matters relating to owner and disorder or noise or the presence of children.
5.2
It should always be made clear at the outset that pre-application discussions will not
bind the Council to making a particular decision and that any views expressed are
provisional, until all relevant information is submitted and consultations on it have
taken place. Any advice given must be consistent with the Licensing Objectives
and the Council’s Statement of Licensing Policy.
5.3
Licensing Officers will ensure that their advice is not partial, nor seen to be. This is
because a consequent report could be seen as advocacy for a particular point of
view. A written attendance note should be made of pre-application discussions, and
important telephone conversations and placed on the relevant licensing file.
5.4 To ensure professional advice and maintain impartiality it is highly desirable that
Members do not take part in pre-application discussions. If there are other
occasions when Members are involved they must be accompanied and advised by
professional officers of the Council including a Senior Licensing Officer. The
involvement of Members in such discussions will be noted by Officers in a written
attendance note which must be placed on the relevant
planning file.
5.5 For the avoidance of doubt, Members are prohibited from negotiating with the
applicant.
6.
ATTENDANCE AT PUBLIC MEETINGS
6.1 Officers who are wholly or partly involved in the processing or determination of
licensing matters should not attend public meetings in connection with pre-
application development proposals or submitted licensing applications, unless their
attendance has been agreed by an appropriate Assistant Director. To do so could
lead to allegations of prejudice or bias to a particular point of view. If such
attendance has been authorised, Officers should only provide information and give
no view on the merits or otherwise of the proposal.
6.2 When attending public meetings, Members must be accompanied by Senior
Licensing Officer and they should take great care to maintain their impartial role as
a Councillor, listen to all the points of view expressed by the speakers and the
public and not state a conclusive decision on any pre-application proposals and
submitted planning applications.
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7.
RESPONSE TO LOBBYING OF MEMBERS
7.1
It is a fact of life that when Members undertake their ward roles they will be
approached by prospective and actual applicants (and agents) or members of the
public with a view to them lending support to the application, or indeed opposing it.
When Members are lobbied they need to exercise great care to maintain the
Council’s reputation and the Member’s own integrity and the public perception of
the licensing process.
7.2
If they are approached, Members should use all reasonable endeavours to refer the
person to another Member who is not a Member of the Licensing Committee or
Sub-Committee. If, however, the lobbying persists then Members should expressly
state that whilst they can listen to what is said, they cannot give any commitment
(for or against) in respect of the application/proposal for to do so without all relevant
information, evidence and views would be unfair, prejudicial and may amount to
maladministration. If a Member who sits on the Licensing Sub-Committee wishes to
represent the person then he/she will need to excuse his/herself from the Licensing
Sub-Committee and address the Sub-Committee as a local member.
7.3
If a Member considers that an ordinary member of the public believes that s/he held
a conclusive view in respect of an application or other licensing matter before the
relevant meeting then s/he should advise the Monitoring Officer in writing prior to
the meeting, and not take part in the debate or vote on the issue.
7.4 If approached by a constituent, who is not professionally represented, a Member
should only give advice on licensing procedure, rules and policy. If approached by a
constituent, who is represented, or a non-constituent, or a professional agent, a
Member should refer the person making the approach to the appropriate Senior
Licensing Officer.
7.5
Other than for formal site visits, Members should not enter premises or sites, which
are, or are likely to be, the subject of a licensing application.
7.6
Members should not organise support, opposition or put undue pressure on other
Councillors or Officers for a particular decision/recommendation. A member with a
personal and prejudicial interest must not be able to address or view the
proceedings of the Licensing Committee or Sub Committee, which are not available
to members of the public.
7.7
A decision in respect of any licensing matter or application can only be taken at the
Licensing Sub Committee when all relevant information is to hand and has been
carefully considered. Individual Members should reach their own conclusions at the
meeting rather than be influenced by others. In this regard, any political group
meetings prior to Committee meetings should not be used to decide how Members
should vote.
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8.
THE PARTY WHIP
8.1
Members cannot accept an instruction from anyone to determine an application in a
particular manner, but must determine the issue on its merits. Accordingly, whilst
they may accord appropriate weight to the views of other Members, whether
expressed in the Committee or Sub-Committee meeting or in prior discussions, they
must determine the application on its merits and should not take into account any
factor which they are not prepared to state in open Committee. Therefore, it is
inappropriate for any Party Group to instruct its Members to vote in a particular
manner on an application or to apply or threaten to apply any sanction to any
Member who votes contrary to the Group’s collective views.
8.2
Where such a “Whip” has been applied, Members should declare it in exactly the
same manner as they would declare any other attempt at lobbying.
9.
REPORTS BY OFFICERS
9.1 Reports to the Licensing Committee on applications and other licensing matters
must be clear and accurate and comprise:-
(a)
full summary of the application
(b)
summary of the representations made
(c) summary of how he/she views the provisions of the Licensing Policy,
Guidance of the Secretary of State and the relevant legislation as relating to
the application.
(d)
any relevant representations.
(e)
a site location plan
(f)
a written recommendation setting out clear and unambiguous reasons for:
(i)
granting the license or
(ii)
refusal.
9.2
The relevant Licensing Case Officer having conduct of the case, must be available
at the Licensing Committee to answer any questions or clarify any queries raised by
Members.
10.
THE DECISION MAKING PROCESS
10.1 In determining applications submitted pursuant to the Licensing Act 2003 the
Council will follow Licensing Objective contained in the Licensing Act 2003, the
Council’s Licensing Policy, Government Guidance and Regulations.
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10.2 In discussing and determining a licensing application, enforcement issue or other
licensing matter, Members should confine themselves to the licensing merits of the
case. The reasons for making a final decision should be clear, convincing and
supported by material considerations and the licensing merits. Reasons for decision
must be clearly documented so that any subsequent accusation of bias etc. can be
defended. It is critical that it is clear that decisions are made according to the
Licensing Objectives of the Licensing Act 2003 as well as the Council’s Licensing
Policy Statement. The Licensing Committee’s decisions should be properly
minuted.
11.
SITE VISITS
11.1 Site visits by Licensing Sub-Committee members shall only be undertaken where
objective decisions cannot be taken without viewing the site and adjoining
properties and the reasons should be clearly minuted.
Site visits are:-
(a)
fact finding exercises
(b)
not part of the formal consideration of the application and therefore public
rights of attendance do not apply.
(c)
to enable Officers and the Applicant to point out relevant features
(d)
to enable questions to be asked on site for clarification. However, discussion
on the application will only take place at the subsequent Committee as all
relevant parties may not be in attendance on site.
The Viewing Panel shall be properly constituted where at least two members attend
the site accompanied by the Licensing Case Officer who will record what takes
place at the inspection. The Viewing Panel may ask questions of the Officers and
the applicant. However, representations on the merits of the application will not be
heard.
11.2 The Viewing Panel shall attend the site during normal working hours as far as is
practicable unless there are exceptional reasons which dictate otherwise. Where
such reasons exist they must be minuted by the Licensing Committee.
No decision is to be made at the site visit. It is essential that Member and Officers
ensure that those attending, or making comments, are not led to believe that a
decision has been taken on the visit, or that conclusive views have been reached.
The Licensing Case Officer will ensure that all correspondence in relation to site
visits clearly identifies the purpose of the site inspection, the format and conduct of
the inspection and the appropriate procedure for the applicants, agent and
interested parties to address elected Members.
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12. LICENSING APPLICATIONS OR MATTERS OF MEMBERS, OFFICERS AND
THE COUNCIL
12.1 Members and Officers should never act as agents for individuals (including a
company, group or body) pursuing an application enforcement issue or other
licensing matter. If Members or Officers submit their own licensing application to the
Council, they should take no part in its processing or the decision-making. The
Council’s Monitoring Officer should be informed by the Member or Officer of all such
applications as soon as they are submitted and shall ensure that such applications
and/or matters are dealt with in a correct and open manner.
12.2 Applications made on behalf of the Council for its own licences must be determined
in an identical manner to applications made by the general public and the same
licensing policy considerations applied. The Council’s current practices and
procedures achieve this with identical consultation and publicity in relation to the
application. Decisions must be made strictly on the merits and without regard to any
financial or other gain which may accrue to the Council if the licence is permitted.
All applications for licences by the Council are considered by the Licensing
Committee for decision irrespective of whether or not representations are made.
13.
TRAINING
13.1 No Member should be appointed to the Licensing Committee without having agreed
to participate in educational training programmes directed towards the role of
Members in making planning decisions.
13.2 The Council will, from time to time, consider and review the form of education and
training that is most appropriate.
13.3 This training will be open to all Members and brief handouts will be provided where
appropriate. The Council welcomes suggestions from Members on any other
subjects which they would like to see covered and any other training procedures
that they would wish to adopt.
14.
COMPLAINTS & RECORD KEEPING
14.1 In order that licensing procedures are undertaken properly and that any complaints
can be fully investigated, record keeping will be complete and accurate. Every
licensing application file will contain an accurate account of events throughout its
life, particularly the outcomes of meetings, significant telephone conversations and
any declarations of interest by Members.
14.2 The same principles of good record keeping will be observed in relation to all
enforcement and licensing matters. Monitoring of record keeping will be undertaken
regularly by the appropriate managers in the Green & Built Environment
Department.
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Part 5.4
Local Code of Conduct for
Employees
STATUS:
This Code is binding on all Council employees other than those
based in Schools whose employment terms are determined by
Governing bodies. Any breach of the Code and the standards it
sets will result in disciplinary action as could being an accessory to
such a breach. The Authority requires that all employees operate
within the law, as unlawful or criminal behaviour, even away from
work, will lead to action against you. A breach of some rules can be
so serious as to be deemed to be gross misconduct. This will entitle
the Authority to dismiss you for a first offence without notice under
the Authority’s Disciplinary Procedure.
CONTACT:
It is your responsibility to read this Code and work in accordance
with it. If you are unsure about any aspect, check it with your line
manager or Human Resources. Contact names are given at the
end of this Code
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CONTENTS
1. Introduction
2. Access to, & Use of, Information
3. Working Relationships
With Members (Councillors)
With the local community and service users
With contractors, suppliers and other partners in service provision
With
colleagues
4. Interpersonal
Behaviour
Physical, verbal and non verbal conduct
Misuse of position and power
5. Duty to declare personal interests
6. Adherence to Council Policies, Procedures and Operating Guidelines
7. Appointment and Other Employment matters
8. Working with Honesty and Integrity (eliminating theft, fraud and corruption)
9. Working Safely
10. Political Activity, Political neutrality
11. Outside Work
12. Protecting the Council’s Business Interests
Loyalty Clauses / Intellectual Property Rights
13. Dealing with the Media
14. Non Acceptance of Gifts, Favours, Hospitality or Sponsorship
Gifts
and
favours
Visits and conferences
Sponsorship
15. Misconduct
16. Procedure for reporting concerns – Whistleblowing
17. Misuse of Council Facilities
18. Conclusion
19. Reference and Contact Guides
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CODE OF CONDUCT FOR EMPLOYEES
1.
INTRODUCTION
1.1 This Local Code sets out the standards the Authority expects of you and the
values it expects all staff to uphold. In carrying out your duties you are expected to
promote:
• the highest standards in public life
• harmonious working relationships
• the Council’s values and priorities.
1.2 This Code is based on legal, operational and service requirements that apply to all
local government employees. The Authority’s work is democratically controlled and
open to public scrutiny. It is often politically sensitive, and the Council’s success is
dependent upon public confidence in its employees.
1.3 As an employee you should read this Code of Conduct in conjunction with the
Council’s Standing Orders, Financial Regulations, the Scheme of Delegation, other
more detailed Council or Departmental Codes of Conduct and also with
operational instructions / guidelines in such areas as computer use, theft and
fraud. The Code, in setting out our values, rules and principles, should not be
interpreted as a complete list of what you can and cannot do, but rather to enable
you as employees to understand the ground-rules that all must observe, and the
differences in the roles and duties of Members (Councillors) and employees
2.
ACCESS TO, AND USE OF, INFORMATION
2.1
The Council is committed to maintaining the privacy of all its employees, potential
employees, service users, customers and individuals or organisations who come
into contact with the Authority, and expects all employees to handle personal or
sensitive information in a professional and confidential manner. The word
‘confidentiality’ means different things to different people. The council recognises
that confidential arrangements need to be clearly explained, talked through and
agreed with individual customers. However, there is a need to recognise the
importance of an open culture with clear communication and public
accountability, and an opposition to secrecy.
2.2
All sensitive information must be kept confidential. This applies whether the
information has been received through formal channels (e.g. in a formal report),
or informally (e.g. through general conversation), or discovered by accident.
Information which can be classified as ‘confidential’ can broadly be grouped into
the following areas:
Information of a specific and personal nature about employees, potential employees,
service users, customers, individuals and organisations who come into contact with the
Council. If this type of information is used inappropriately it can cause people to face
discrimination, harassment, or harmful actions and decisions by others.
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Sensitive organisational information. This may be used to damage the Council or other
organisations as well as individuals or Members. It may be used to threaten the security
of the Authority’s property, land and buildings.
Business/commercial information e.g. pricing, quotes, matters affecting negotiations
with suppliers, trade unions etc.
2.3 The law requires that certain types of information must be available to Members,
Auditors, Government Departments, service users, the press and the public.
Members right of access to information and the correct way of dealing with
requests for information are covered in the Local Code governing relations
between elected Members and Council Employees. Public access to information
is covered in Standing Orders and in the Access to Information procedure in the
Managers Handbook. If you are in any doubt about these or other circumstances
please contact one of the Officers listed on the contact page towards the end of
this document.
2.4 Apart from legal requirements there may be other occasions when there is a
legitimate reason to disclose information. However, generally the ‘informed
consent’ of an individual must be obtained before the information is disclosed.
This means that an individual will be made aware of why the information is
wanted, who will have access to it and the consequences of agreeing or not
agreeing to disclose the information. The Authority also endeavours to be as
open as possible about all its activities and employees should be familiar with
departmental confidentiality procedures to ensure that you are aware of what
information can be released and to whom.
2.5 Confidential Committee/Sub-Committee papers (i.e. those on Part II of any
Agenda) must not be released to the public or a fellow Officer (unless they have
a clear right of access) without the consent of the Assistant Director (Democratic
Services) or the report author. Where any statutory provisions, such as the Data
Protection Act (1984) or the Access to Personal Files (Social Services)
Regulations 1989, cover information those must strictly be adhered to.
2.6 You must not use any information obtained in the course of your employment for
personal gain or benefit. You must not pass on such information to others who
might use it in a similar way. All employees are under an obligation not to access
or attempt to access information which they are not authorised to have.
2.7 Information you receive from a Member or work colleague which is personal to
that person and does not belong to the Council (e.g. home telephone number)
should not be divulged without the prior approval of that person, except where
such disclosure is required or sanctioned by law.
2.8 The Authority recognises that breaches of confidentiality are more likely to
happen when people are worried about what they hear and read. Counselling
support is available, through Human Resources, to staff who may receive
distressing information during the course of their employment. The Authority also
operates a ‘whistle-blowing’ procedure, which is designed to help in cases, for
example, where you may feel there is a public interest in raising a matter. In no
circumstances should you discuss confidential matters with the media unless
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authorised to do so by your Chief Officer. Revealing confidential matters to the
media without authorisation will be treated as gross misconduct.
2.9 Employees are bound by their contracts of employment to maintain
confidentiality. Any deliberate breach of confidentiality, improper disclosure of
information or misconduct in relation to official documents will be treated as
serious matters and will lead to disciplinary action.
3.
WORKING RELATIONSHIPS
Members (Councillors)
3.1
It is important that there is clarity about the respective roles of elected Members
and employees and that the relationship between the two is clearly understood
by everyone concerned. To achieve this a Local Code governing relations
between Members and Officers has been drawn up. A copy of this Code is
available to all employees through the Authorities Intranet. Paper copies are also
available through your Line Manager or Committee Services. It applies to all
Members and employees and should be read in association with this document
and the Council’s Standing Orders. The Code covers the following topics:
• Members and Officers respective roles
• Personal
Relationships
• Conduct at Meetings and Social Events
• Constructive Criticism / Complaints
• Contact between Members and Officers
• Chairs and Senior Officers
• Political neutrality of Officers
• Members Access to Information
• Correspondence
• Involving
Ward
Councillors
• Ceremonial
Events
• Public Relations and Press Releases
The local community and service users
3.2 You must always remember your responsibilities to the community that you serve
and ensure courteous, efficient and impartial service delivery to all groups and
individuals within that community as defined by the policies of the Council. All
employees are required to be familiar with and implement the Council’s policies
on Customer Care and Equalities and to ensure that the principles within those
policies and those of individual Departments are followed.
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Contractors, Suppliers and other partners in service provision
3.3
Other organisations and agencies support, assist and partner the Council in the
provision of services. Employees must work within the terms of the
contracts/agreements made between contractors/suppliers/partners and the
Authority.
Employees are expected to develop effective co-operative working relationships
with contractors, suppliers, and service partners and at all times to behave in a
professional manner.
You must make known in writing to your line manager, all relationships of a
business or private nature with existing contractors/firms, or potential
contractors/firms. In accordance with Section Five of this Code you will be
required to follow the procedures for category A or category B staff as
appropriate. Orders and contracts must be awarded on merit and no special
favour should be shown to businesses in which you have a financial interest or
which are run by, for example, friends, partners or relatives. If you have such an
interest you must not be involved in any way in the negotiation of agreements or
the letting of contracts with these contractors/firms.
If you engage or supervise or work with contractors/firms and have previously
had or currently have some form of connection in private, social, domestic or
work/ professional capacity, you must declare that relationship to your line
manager in writing. In accordance with this Code you will be required to follow
the procedures for category A or category B staff as appropriate (detailed below).
In order to ensure openness and transparency all employees engaged in work,
even in a voluntary capacity with the local community, are required to bring this to
the attention of their line manager in writing. Failure to do so is a disciplinary
matter.
Work Colleagues
3.4 The Council expects relationships between work colleagues (including those
between managers and team members) to be supportive, co-operative and
respectful. This applies to all employees including those engaged as
trainees/NVQ/work placements/students and volunteers. Employees should
behave in a way that enhances the performance and well-being of others and the
effectiveness of Council services.
Unauthorised absences, neglect of duty, disobedience of orders and
insubordination are all examples of unacceptable behaviour, which conflict with
the Council’s expectation of the appropriate working relationship between
colleagues. Issues like these will be treated seriously and will result in action
under the Councils Disciplinary Procedure.
Employees should not have managerial responsibility for those with whom they
have close private relationships (e.g. partners and family). If such a relationship
arises, during the course of your employment, it must be declared to your Chief
Officer.
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If employees find themselves being treated otherwise than in a professional and
respectful manner they should initially seek assistance from their line manager. If
this is not possible or the problem is not resolved then redress can be sought
through the Council’s Grievance Procedure or its Harassment Policy. Employees
must not confuse this with legitimate management of their performance by their
Manager, which is a necessary feature of any effective organisation.
You have the right to be treated with respect and you have a personal
responsibility to treat others with respect.
4.
INTERPERSONAL BEHAVIOUR
4.1
Physical conduct
Your behaviour must exclude; assault, intentional bumping, pushing or tripping;
unnecessary touching, patting, pinching or unnecessarily brushing against
another person’s body.
4.2
Verbal Conduct
You must avoid language which is offensive, abusive, sexually suggestive,
aggressive or designed to intimidate. You must also avoid unreasonable
derogatory remarks, unwelcome flirting or sexual advances and malicious gossip.
You should be sensitive in your use of language and the ways in which you
communicate. Equally you should avoid being over-sensitive to idiomatic
expressions or the etymology of words which are in current usage where these
are not generally regarded as offensive. English is the operational language of
the Council and you should avoid using other languages in the workplace where
this could lead to colleagues feeling deliberately excluded, victimised or harassed
or could lead to accusations of favouritism or bias against you.
4.3
Non-verbal Conduct
You need to be aware of the effect of non-verbal conduct on others. You must
not display offensive pictures or objects or written material (including slogans on
clothing), graffiti, badges or designs. You must also not make sexually
suggestive gestures, behave in ways likely to offend common decency or adopt
physically threatening or aggressive poses.
4.4
Misuse of Position and Power
You should responsibly hold position and power. It should be recognised that
power, held by individuals and groups, can be derived not only from status (e.g.
management positions) but also from age, length of service, physical strength,
social popularity, strength of a group etc.
Abuse of a position of power can include bullying, excluding someone from
conversation or from full participation at work, restricting work or development
opportunities unreasonably and similar.
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5.
DUTY TO DECLARE INTERESTS
Scope of the Duty
5.1
Your off-duty hours are your own personal concern. However, you must not put
yourself in a position where your job and personal interests conflict. You must
also be aware that actions in your off-duty hours can impact on your employment
with the Council. Examples include, but are not limited to, involvement in racist
incidents, criminal actions, acts of violence or actions contrary to the public duties
of the Council (for example, failure to pay Council Tax, failing to abide by
planning decisions and similar).
5.2
You are responsible for declaring interests which conflict with the impartial
performance of your duties or put you under suspicion of improper behaviour.
These interests may be financial or personal/social interests (e.g. interests of
family and friends, commercial or voluntary associations). The interest may be
advantageous or have a detrimental effect on you (an example of a detrimental
interest may be a situation where you experience threats or pressure from family
or friends to act in a particular way in your official capacity). You are also
responsible for declaring criminal prosecutions that may be taken against you
and police cautions.
5.3
Each Department will maintain a register of outside employment, gifts and
hospitality and membership of closed societies while the Monitoring Officer will
maintain the corporate register covering pecuniary interests at Council,
Committee or Sub-Committee meetings, interests in contracts and personal
relationships.
5.4
If you wish to undertake work in addition to your Council employment you should
follow the procedures outlines in Section 11 of this Code.
5.5
You must declare in writing to your line manager any financial or personal/social
interests that you consider could bring about conflict with the Council’s business
or interests. You are reminded that under the Council’s Standing Orders you
must operate within Section 117 of the Local Government Act 1972 regarding the
disclosure of pecuniary interests in contracts relating to the Council
.
5.6
Interests, relationships and associations must be declared when dealing with
contracts, recruitment, management responsibilities, the allocation of resources
and services, the provision of services and access to confidential information. It
would be improper for any officer responsible for administering grants to be a
private member of any organisation in receipt of a grant from the Council.
5.7 Interests, friendships and associations, which could conflict with your
professional roles and responsibilities, must be declared to your Chief Officer.
Declarations must be in writing, giving information about the nature of the interest
and the names of the parties and the functions involved.
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5.8
Standing Orders deals with candidates for employment with the Council who are
related to elected Members. Prior to appointment, candidates must declare any
relationship with Councillors and Council employees (as per the requirements of
the Council’s Recruitment Policy). Subsequent declarations must be made,
during employment, as appropriate to your Chief Officer in accordance with the
Local Code governing relations between elected Members and Council Officers.
For example, if your partner or a family member or friend becomes a Councillor,
this must be declared. Councillors cannot sit on the Committee responsible for
you or on the Council’s Employment Committee if they are married to you are
your partner or otherwise related to you.
5.9
You should also declare membership of any organisation not open to the public
that has formal membership and commitment of allegiance or which has secrecy
about rules or membership or conduct (this would include, for example,
freemasonry).
5.10 Failure to declare personal interests (whether or not the matter undisclosed has
been found to influence your actions), criminal prosecutions and police cautions
will be regarded as a disciplinary matter. It is in your own best interests to
volunteer information as this may provide helpful for you if any allegations are
made. If you need further guidance speak to your line manager or Human
Resources. Chief Officers will also take appropriate steps to ensure that you are
not placed in a position where private interests and official duty conflict – but can
only do this if you have declared your private interests.
5.11 Employees will fall within one of two categories for the purpose of declaring
personal interests. The definition of these categories and the procedure for
declaration, information storage and access are detailed below.
Category A Staff:
Staff whose responsibilities are such that they may be in a position to influence
selection of contractors or consultants, the granting of planning and other
consents, and the conduct of negotiations affecting land and property. Also
employees with responsibilities associated with confidential information
concerning the Council’s commercial dealings or those of third parties.
These staff are required to complete and return to their Chief Officer annual
returns to be included in the confidential register, maintained by the monitoring
officer and available for inspection by Councillors on application. These records
may be accessed, on application to the monitoring officer, during the process of
investigation if the conduct of an employee is brought into question.
Category B - All other staff:
Where duties and interests conflict (either regularly or on a ‘one off’ basis) as
described above, staff are required to make written declarations, addressed and
sent under confidential cover to their Chief Officer. These will be kept in a
confidential departmental register. These may be accessed, on application to the
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Chief Officer, during the process of investigation if the conduct of an employee is
brought into question.
6.
ADHERENCE TO COUNCIL POLICIES, PROCEDURES & OPERATING
GUIDELINES
6.1
The work of Council employees is governed, in most areas, by established
policies, procedures and operational guidelines. The development of these and
adherence to them ensures:
( a )
that the Council meets its statutory requirements,
( b )
that service standards are maintained,
( c )
that staff operate within their approved authority, and
( d )
that proper monitoring and auditing processes can be applied.
6.2
You have an individual responsibility to work within Council policies, procedures
and operating guidelines. Any failure to follow these (whether intentionally or
inadvertently) will be regarded as a disciplinary matter.
6.3
Whilst your Manager will assist you, you also have a personal responsibility to
ensure that you are familiar with your responsibilities under the Council’s
Constitution and other policies, procedures and guidelines, in particular:
HR Polices and Operations Manual
Health and Safety Policies
Equalities Policies
Financial Procedure Rules
Contracts Procedure Rules
Departmental operational policies, procedures and codes.
6.4
These documents are available electronically, through your Chief Officer or
through HR.
6.5
In circumstances where variation from established policies, procedures and
operating guidelines is considered necessary, advice and where appropriate,
consent must be sought from your line manager. Your Chief Officer, who may
consult with others (e.g. Director of Law and Corporate Governance, Director of
Finance and Properties or Director of Human Resources), will decide significant
matters. In some circumstances approval may be required from Members.
7.
APPOINTMENT AND OTHER EMPLOYMENT MATTERS
7.1 This Council is committed to recruitment on merit and requires that its
appointments are made without bias, on the basis of clear assessment criteria.
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7.2
If you are responsible for appointing employees, it is unlawful for you to make an
appointment other than on the basis of merit. It would be unlawful for you to
make an appointment based on anything other than the ability of the candidate to
meet the present and future needs of the Council. In order to avoid any possible
accusation of bias, you should not be involved in an appointment where you are
related to an applicant, or have a close personal relationship outside work. You
must not canvas on behalf of any applicant.
7.3
Similarly, you must not be involved in decisions relating to discipline, promotion
or pay adjustments for another employee who is a relative, partner, close friend,
where you have some other close personal relationship.
As an employee/potential employee you must ensure that you:
are open and honest at any interview
are open and honest on any application form
disclose all criminal offences* you have been convicted of
disclose all criminal charges you face, which (if convicted) would make you unfit
for your job (for example, an accountant charged with fraud)
disclose if you are a friend or relative of (or have other links with):a Member
(Councillor) or an employee who may influence your appointment
disclose if you are the tenant or landlord of someone who may influence your
appointment
do nothing to seek undue favour from employees or Members in Council
selection procedures.
[* Although under the terms of the Rehabilitation of Offenders Act 1978 certain
offences are categorised as being “spent” for employment purposes this
exemption does not apply to certain posts, for example where the individual is
engaged in work that entails contact with children.].
8
WORKING WITH HONESTY AND INTEGRITY
(Eliminating Theft, Fraud And Corruption)
8.1
Public money and resources must be handled with absolute honesty. All
reasonable steps will be taken by the Council to ensure that employees uphold
this principle. A separate statement outlining the Councils approach to combating
fraud and corruption is available from the Chief Internal Auditor.
8.2
Theft is dishonestly taking property (e.g. cash, cheques, goods or equipment
etc.) belonging to another (e.g. the Council, Council employees, service users or
other visitors to Council property and premises), with the intention of permanently
depriving the other of it.
8.3
Fraud means perpetrating a deception to obtain an unfair advantage or injure the
rights or interests of another. It can include intentionally distorting financial, or
other, records by persons internal or external to the Council in order to conceal
the misappropriation of assets or otherwise for gain. An employee commits fraud
if, for example, s/he:-
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Falsifies documents to claim pay, bonus or sick pay to which s/he is not entitled.
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.
Claims Housing/Council Tax benefit from the Council (or any other Council) to
which s/he is not entitled.
8.4
Corruption is the offering, giving, soliciting or acceptance of an inducement or
reward which may influence the action of any person. It is an act of collusion
where one person benefits indirectly from a fraud perpetrated for the direct
benefit of another. The benefit may be in cash, in kind or as a favour. An
employee is involved in corruption if, for example, s/he:-
Knowingly authorises or processes a fraudulent claim for pay or Council benefits
Allows access to, and improper exploitation of, Council equipment, records or
Procedures.
Uses their employment with the Council to obtain preferential treatment in the
location of services for themselves or others known to them e.g. housing,
planning approval, recruitment etc.
Awards contracts for personal reward.
8.5
It is a serious criminal offence for you corruptly to receive or give any gift, loan,
fee, reward or advantage for doing or not doing anything or showing favour or
disfavour to any person in your official capacity. If an allegation is made it is for
you to demonstrate that any such rewards have not been obtained corruptly.
You must therefore ensure that any reward or fee that you receive from
employment outside the Council has been authorised in advance in accordance
with Section 11 of this Code.
8.6
You must ensure that you use public funds entrusted to you, or for which you are
responsible, in a responsible and proper manner and in accordance with the
Authority’s Financial Regulations. You should strive to ensure value for money to
the local community and to avoid a legal challenge to the Council.
8.7
The Council’s Internal Audit Team actively looks to identify fraud through the
checks and scrutiny of information given on application forms. Information given
by employees when applying for services will be verified, and the Council will
work closely with the police, other local authorities and government departments
to detect fraud. Falsehood is a very serious matter and will be dealt with through
the Authority’s Disciplinary procedure.
8.8
Fraud and corruption by employees will be regarded by the Council as very
serious matters and dealt with through the Authority’s Disciplinary Procedure.
Criminal proceedings will almost certainly follow. Such acts of theft, fraud and
corruption will constitute gross misconduct will therefore, result in dismissal from
the Council’s service (even for a first offence).
8.9
At all times staff must be mindful of the reputation and integrity of the Council.
For staff who perpetrate theft, fraud or are involved in corrupt practices not
directly related to the Council, there will be implications for their continuing
employment by the Council.
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WORKING SAFELY
9.1
The Council is committed to taking all reasonable, practicable steps to meet its
responsibilities under the Health and Safety at Work Act 1974, and all other Acts
and Regulations relevant to its activities. This is embodied in the Council’s
Corporate Health and Safety Policy Statement. Departments are also required to
establish and implement Departmental Policies and local Health and Safety
Management Systems (HSMS).
9.2
All managers, supervisors and other employees who have a supervisory role
have the responsibility to ensure, as far as is reasonably practicable, the health,
safety and welfare of those they supervise. Leadership, with regards to health
and safety, must be by good example and in line with established policy and
procedures to ensure health and safety work practices are (and are seen to be)
given high priority.
9.3
Departmental management responsibilities are listed in the Corporate Policy.
Departmental policies detail specific duties and personal responsibilities. All
managers and supervisors must ensure they are fully conversant with the
Council’s Corporate and their own Departmental policies and procedures which
form the Council’s HSMS. (For details of specific policies, refer to the Council’s
Health and Safety Manual).
9.4
All employees have personal responsibility under the Health and Safety at Work
Act to take proper precautions to prevent accidents to themselves, or anyone
with them or nearby. Employees can put themselves or anyone else at risk by
doing something unsafe or dangerous, or by failing to take proper precautions or
observing instructions. To prevent this employees must:-
Co-operate with their manager or supervisor to meet health, safety and welfare
requirements and follow laid down procedures
Not misuse or damage any health and safety equipment or items
Inform their managers or supervisors of any serious or imminent dangers to
health, safety and welfare arrangements.
9.5
Any deficiency in the quality of premises, equipment, working practices or
environment must be reported immediately to the manager responsible for the
area concerned. Where this is not possible the matter must be reported to the
employee’s Chief Officer. Where the hazard involves an immediate risk to other
persons, on the spot remedial action must be taken to prevent injury and the
matter reported to the appropriate manager. Departmental and Trades Union
Health and Safety Representatives and the Human Resources Occupational
Health, Safety and Welfare Section are available to give advice on an appropriate
course of action
9.6
No employee is required to continue working in circumstances where there is an
imminent or serious risk of injury. In such cases, employees are required to
remove themselves from the immediate danger and report directly to their line
manager for immediate action.
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9.7
Any matter which has been reported within your department but not acted on
within a reasonable period of time should be reported to the Human Resources
Health Safety and Welfare Section.
9.8
Any failure to comply with health and safety requirements/instructions or the
Council’s stated policies and procedures will be considered a serious disciplinary
matter and dealt with under the Authority’s Disciplinary procedure, whether or not
an accident or injury (or any other detriment to health, safety and welfare) has
occurred. This includes neglect of personal health and working under the
influence of drink or drugs.
10.
POLITICAL ACTIVITY/POLITICAL NEUTRALITY
10.1 Employees serve the Authority as a whole. It follows that they must serve all
Members (not just those of the ruling political group) and must ensure that the
individual rights of all Members are respected and treat political groups and
individual Members in a fair and even handed manner.
10.2 Insofar as employees may be required to advise political groups, they must do so
in ways that do not compromise their own political neutrality. This subject is
covered in detail in the Local Code governing relations between elected
Members and Council Officers.
10.3 As a result of provisions introduced under the Local Government and Housing
Act 1989 to ensure the political impartiality of local government employees, some
employees’ posts are subject to political restriction. This means that the
postholders are prohibited from involvement in political activities as these could
conflict with the responsibilities at work.
10.4
The Local Government and Housing Act 1989 requires that anyone who is
employed by a local authority in a politically restricted or sensitive post is
disqualified from being elected as a Member in another local authority or as a
Member of Parliament or as a Member of the European Parliament.
10.5 Employees in politically restricted posts are unable to undertake certain political
activities within the following broad categories:-
Writing or speaking publicly on politically controversial issues
Canvassing at any election on behalf of a political party or at elections for
Councillors’ MPs or MEPs
Holding office in any political party
Publicly declaring yourself a candidate for Councillor, MP or MEP.
10.6 The ban on seeking elected office is written into the rules governing who is
eligible for election. The ban on political activities is incorporated into individual
contracts of employment.
10.7 The Act requires that employees holding the following posts should be politically
restricted:-
Employees in posts paid at or above spinal column point 44.
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Employees giving regular advice to Committees or Sub-Committees.
Employees who regularly speak to journalists or broadcasters on behalf of the
Council.
10.8 A list of politically restricted and sensitive posts approved by the Council is held
by Human Resources. It contains the post designations and the section of the
Act relating to their inclusion on the list.
10.9 There are four categories of employees who have no right of appeal to political
restriction, namely:-
Head of Paid Service and the Monitoring Officer who have to be designated by
the Council to carry out specific duties under the Act
Chief Officers, Assistant Chief Officers and Service Managers
Assistants to political groups who are appointed to posts created under section 9
of the Act
Employees exercising delegated powers on behalf of the Council i.e. Chief
Officers, Assistant Chief Officers and Service Managers.
10.10 Under the Local Government (Political Restrictions) Regulations 1990, the failure
of a postholder holding a politically restricted post to comply with the restriction
will result in disciplinary action being taken on the grounds of misconduct.
10.11 Employees, whether or not in politically restricted posts, must follow every policy
of the authority and must not allow their own personal or political opinions to
interfere with their work.
10.12
Political assistants appointed on fixed term contracts in accordance with the
Local Government and Housing Act 1989 are subject to specific standards and
conditions that are set out in their contract of employment.
11.
OUTSIDE WORK
(Paid, Unpaid or Voluntary)
11.1
Employees are reminded that under the Council’s Standing Orders they must
comply with Section 107 of the Local Government Act 1972 regarding the non-
acceptance of any fees or rewards whatsoever other than their proper
remuneration. However, the Authority does not prohibit employees, whether full
time, part time or job share, from undertaking additional work (whether paid or
unpaid) providing it does not, in the Council’s view, conflict with the Council’s
interests or in any way weaken public confidence in the Authority.
11.2 Accordingly, all employees of the Authority are required to obtain consent, in
writing, from their Chief Officer in advance, and on each occasion, if they wish to
engage in any other business, take up additional employment or work outside the
Authority. This provision also applies to Chief Officers who will require the prior
consent of the Chief Executive should they wish to engage in such activity.
11.3 Each Department will maintain an up-to-date official register to record a list of all
employees undertaking external work in whatever form. The agreements, in
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writing from the Chief Officer will also be retained on the individual’s personal file
for information.
You must not undertake any duties/work (whether for payment or otherwise) of a
type that you normally undertake for the Council on behalf of:-
a.
Another Council employee (whether in your Department or elsewhere)
without the prior written agreement of your Chief Officer who shall, if
agreement is given, notify the Director of Human Resources; or
b. Your Chief Officer without the prior written agreement of the Chief
Executive.
11.4 As a general rule permission will not be granted to you to do work for anyone
who is in a supervising or managerial relationship with you.
11.5 If you are permitted to engage in any other business or take up any additional
employment, you must not use Council facilities (vehicles, computing equipment,
etc.) in connection therewith. The use of the telephone will only be permitted in
very exceptional circumstances, and provided that such use is recorded as
personal use and paid for.
11.6
As previously mentioned, all employees must seek approval, by writing to their
Chief Officer, before undertaking any additional work (whether paid or unpaid).
This would include, but is not limited to:-
Being a director, agent or professional advisor to a company.
Consultancy work.
Lecturing.
Being a school governor, special constable or magistrate.
Driving a mini-cab.
Unauthorised employment will be regarded as a very serious matter and dealt
with through the Authority’s Disciplinary Procedure.
11.7
Employees do not need approval to undertake voluntary work or work for trade
unions or political parties (subject to the provisions of the 1989 Local
Government Housing Act), provided this work does not conflict with or react
detrimentally to the Council’s interests as outlined above.
11.8
The Council may not give approval if the additional employment:-
Places the employee in a position where their duties and private interests may
conflict
Affects the employee’s health or ability to maintain acceptable standards of
work
- Might weaken public confidence in the Council’s conduct of business
- Involves the employee being in direct competition with the Council for
work/contracts.
11.9
Whatever the outside work, employees must not:-
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Put their outside commitment before their duty to the Council
Submit applications of any description to the Council on behalf of any other
person without permission from their Chief Officer
Use their knowledge of the Council or staff to help secure particular decisions
Use any Council facilities (e.g. telephone, photocopier, computers/ software,
accommodation) for non Council work
Undertake private work in office hours
Receive fees for lectures other than travelling expenses necessarily incurred
unless authorised and carried out in the employee’s own time or whilst on
annual leave
Do private work when they should be at work for the Council or are absent due
to ill health
Portray themselves as employees or agents of the Council when undertaking
private work.
12.
PROTECTING THE COUNCIL’S BUSINESS INTERESTS
(Loyalty Clauses, Intellectual Property Rights )
12.1
All employees are bound by a duty of fidelity not to breach confidence and not
to participate in competing activities. The Council has the right to take
necessary and reasonable steps to protect its legitimate business interests.
12.2
The Council can legitimately seek to restrict the work activity of certain ex-
employees (for a specified period of time after the end of their employment and
within a specified geographical area) where the individuals could use contacts
and information derived from the Council to compete with the Council for work.
These restrictions would take the form of a loyalty clause (or restrictive
covenant) within the employee’s contract of employment.
12.3 The Council retains intellectual property rights for work undertaken by
employees. Research, reports, designs, drawings, software developments or
similar work, when created in the course of an employee’s normal duties,
remain the property of the Council. These should not be removed from Council
premises or passed on to a third party by any employee acting in a private
capacity without the express consent of the Council.
13.
DEALING WITH THE MEDIA
13.1 Dealing with the media, whether the press or television or radio, requires
specific skills and expertise. Therefore, media enquiries will be conducted
through the Council’s Communications Office unless:-
It is part of an employee’s normal duties, or
Authority has been given by the employees Chief Officer
An employee is acting as spokesperson for one of the Council’s recognised
trade unions in pursuit of legitimate industrial relations activities.
13.2
Where the above criteria are not met employees must not:-
Speak, write or give interviews to the media
Bring the Council into disrepute by publicising material which is confidential or
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against the interests of the Council or its employees.
(This does not affect the rights of employees to raise concerns or complain
about standards and conduct in line with agreed procedures set out in Section
15 of this Code).
13.3
If you are approached by the media you should refer all enquiries to the
Communications Office as detailed in the contacts list towards the end of
this Code.
14
.
GIFTS – FAVOURS - HOSPITALITY – SPONSORSHIP
Introduction
14.1
As a Council Officer, particularly if you frequently deal with the public, you may
well find yourself in situations where you are offered gifts or hospitality which
could include:-
• Meals and/or drinks.
• Invitations to social or other events.
• Gifts (monetary or otherwise).
• Favours or services in kind.
The purpose of this section is to provide you with guidance on how to deal with
such offers received and how to ensure that a proper record is kept, whether or
not they are accepted.
The National Code of Local Government Conduct, National Conditions
and Standing Orders
14.2
The National Code of Local Government conduct applies largely to elected
Members. However, the advice it contains on this issue is equally of relevance
to Officers:-
“You should treat with extreme caution any offer or gift, favour or hospitality
that is made to you personally. The person or organisation making the offer
may be doing, or seeking to do, business with the Council, or may be applying
to the Council for planning permission or some other kind of decision.
There are no hard or fast rules about the acceptance or refusal of hospitality or
tokens of goodwill. For example, working lunches may be a proper way of
doing business, provided that they are approved by the local authority and that
no extravagance is involved. Likewise, it may be reasonable for an Officer to
represent the Council at a social function or event organised by outside
persons and bodies.
You are personally responsible for all decisions connected with the acceptance
or offer of gifts or hospitality and for avoiding the risk of damaged public
confidence in local government. The offer or receipt of gifts or invitations
should always be reported to the appropriate Senior Officer of the Council.”
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Guidance on approved Council duties are given in this Code, in Standing
Orders and will be given by the appropriate senior Officer in your department if
you ask them.
14.3
National Conditions for Local Government staff state:-
“the public is entitled to demand of a Local Government Officer conduct
of the highest standard and public confidence in their integrity would be
shaken were the least suspicion, however ill-founded, to arise that they
could be in any way influenced by improper motives.”
The acceptance of gifts and hospitality, even on a modest scale, may arouse
suspicion and needs to be capable of public justification.
14.4
Standing Orders detail the action to be taken by an employee who is offered a
gift, hospitality or any other favour arising from his or her duties with the
Council. Whether or not you accept such an offer, you must immediately report
this to your line manager and ensure that details are recorded in a central
register maintained for that purpose, full details of which are given below.
Best Practice Advice
14.5 You are strongly advised to refuse or return any gifts, hospitality or other
favours from persons inside or outside the Council as any such acceptance
could well put you in a compromising position and could render you liable to
accusations by other parties who become aware of this. You should bear in
mind how the acceptance of a gift or a free meal would look to a third party and
how this could appear to compromise your professional judgement even if it is
accepted in all innocence. When declining a gift or hospitality you should
courteously but firmly inform those making the offer of the procedures and
standards operating within the Council.
14.6
Under no circumstances should you ask for a reward, tip, gift, “Christmas box”
or any other inducement. You should also not put yourself in debt to someone
where this would be likely to influence your work.
14.7
It is a serious criminal offence for employees of the Council to corruptly receive
or give any gift, loan, fee, reward or advantage in order to influence official
conduct. If an allegation is made, it is for the employee to demonstrate that
any such rewards have not been corruptly obtained. It is also an offence to
accept any gift or consideration in the knowledge or belief that it is intended as
inducement or reward, whether the employee receiving it is influenced or not.
14.8
There may be occasions where refusal of personal hospitality or a small token
gift (e.g. at Christmas or another notable religious occasion) would clearly
cause offence or be impracticable for cost or other reasons. The dividing line
between what is and what is not acceptable is not a clear one and you should
always exercise extreme caution. If you are considering acceptance, you
should discuss the matter with your line manager before doing so. Any gifts
not refused must be used communally for the benefit of the service or facility as
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a whole or donated to charitable or community use.
In addition staff dealing with planning applications or the provision of other
services to individuals should never accept gifts or hospitality. This special
case is dealt with later on in this section.
Gifts and hospitality
14.9
Before accepting a gift or hospitality staff should consider –
The timing of decisions for letting contracts for which the provider may be
bidding (under no circumstances should gifts or hospitality be accepted from a
contractor during a tendering period).
Whether the gift or hospitality is appropriate e.g. an inexpensive promotional
pen or diary may be accepted but more expensive items, such as a bottle of
whisky, must be declined. Similarly, lunch at on-site cafeterias or invitations to
local cultural events as a representative of the Council may be appropriate
whereas invitations to prestigious sporting events, theatre tickets or personal
invitations where you are not attending in an official capacity are not
appropriate.
14.10 You should exercise discretion in offering and accepting hospitality. You
should bear in mind how it might affect your relations with the party offering it
and how it might be viewed by elected Members, other potential
suppliers/contractors, the public and other Officers. The criteria which
determine whether you should accept hospitality from firms or other
organisations include:-
• Whether the invitation comes from a firm likely to benefit from the goodwill
of the Council or from a charity or other organisation which does not have
the same kind of vested interest in the outcome;
• Whether the firm is seeking a contract, or one has already been awarded;
• Whether the visit is genuinely instructive or constitutes more of a social
function;
• The scale and location of hospitality, and whether it falls in working hours;
• The frequency of the hospitality;
• Whether it is directed just at you or to a group.
14.11 All hospitality accepted should be properly authorised in advance and recorded in
writing. It is always a matter of judgement and common-sense. As a general
guide, you should avoid a situation where you are personally entertained by
those who want or are likely to want something from you or the Council.
14.12 Offers of hospitality that are declined should also be recorded.
The Process for Registering Gifts, Favours and Hospitality
14.13 Any offer of a gift, favour or hospitality to staff should be immediately reported
to your Chief Officer whether or not you plan to accept it. Your Chief Officer
may decide that acceptance is not appropriate. The only exception to this
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requirement to report and seek advice is if you receive modest hospitality as
part of a formally approved Council delegation.
14.14
No member of staff below the level of Head of Service may accept an
invitation without first obtaining the approval of a senior officer at that level or
above. In exceptional circumstances, where it is not possible to seek prior
approval, the facts should be reported immediately afterwards. Invitations
involving attendance at functions outside normal working hours may only be
accepted with the authority of a Chief Officer.
14.15 Where the refusal of an unsolicited gift may cause offence, the gift may be
donated to the Mayor’s official charity and the donor informed accordingly in
writing.
14.16 Having reported the offer you should complete the register of gifts and
hospitality maintained by your Chief Officer.
14.17 The following information will be recorded:-
The person or body making the offer
The member of staff to whom the offer was made
The gift or hospitality offered
The circumstances in which the offer was made
The action taken by the member of staff concerned
The action taken (if any) by the Chief Officer
The Chief Executive and monitoring officer and Director of Human Resources
may have access to every register. Every member of staff is entitled to see
what is recorded in the register against their name and the general public can
apply for access to the register from the Council’s Monitoring Officer.
14.18 Minor gifts such as inexpensive calendars, pens or small stationery items, or
hospitality such as refreshments during a site visit or an inexpensive working
lunch need not be included in the register but should still be reported to your
line manager.
Staff Dealing with Vulnerable Clients
14.19 Staff providing personal care such as care workers and home helps must
inform their Chief Officer in writing of any gifts from clients or their
relatives/friends. These must not be accepted without the prior written
approval of the Chief Officer.
14.20 The position of those staff who deal with the more vulnerable members of
society is potentially very difficult and special advice is warranted. Such staff
most obviously include those in Social Services but also staff in the
Education Department dealing with young people and Housing staff dealing
with sheltered housing, etc.
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14.21 Staff in such circumstances should never accept personal gifts from their
clients. The only exception to this is in respect of a gift offered for the benefit
of the facility or service as a whole, not to an individual. In such
circumstances the offer must be reported to the Officer’s line manager for
approval.
14.22 A separate policy document exists specifically for Social Services staff who
should also refer to that document.
Senior Officers
14.23 The Chief Executive and other Chief and Senior Officers are in a somewhat
different position in that their role requires them to build partnerships with
community groups, businesses and other interests in the town. Of necessity
this may require them to attend functions where substantial hospitality is
provided.
14.24 Refusal to attend such functions may be inappropriate as it may offend
potential partners. Such hospitality can therefore be accepted provided that it
relates directly to this official partnership role and is duly recorded. However,
as ever the test of public perception needs to be applied to the acceptance of
any such hospitality.
Officers Dealing with Planning Applications
14.25 Extreme caution should be exercised if you are advising Members of a
Committee or Sub-Committee dealing with planning applications or acting
under delegated powers. As such you should never accept gifts or hospitality
from a planning applicant nor from their agent. Any such offer should be
declared to the Officers in Committee and Member Services as soon as
possible. The process for registering gifts and hospitality is described earlier
in this Section.
14.26 A separate Local Code of Conduct for elected Members and Council Officers
dealing with planning matters has been produced and sent to all Members
and Officers. You should read this Code and follow its rules. Further copies of
the Code are available from the Head of Planning and Strategic Policy.
Visits and Conferences
14.27 The participation in visits and conferences should be carefully regulated.
Employees must receive permission from their Chief Officer, including prior
agreement to the payment of appropriate expenses. If the visit/conference
attendance is by invitation and flights, accommodation, meals etc. are being
offered (which may be seen as a gift or inducement), prior written permission
must be sought from the Chief Officer and the details entered into the
departmental register of gifts and hospitality.
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14.28 Expenses for visiting premises to inspect equipment or view facilities must
not be accepted as these will be met by the Council.
Sponsorship
14.29 Where an outside organisation wishes or is seeking to sponsor a local
government activity, whether by invitation, tender, negotiation or voluntarily,
the basic conventions concerning acceptance of gifts or hospitality apply.
Particular care must be taken when dealing with contractors or potential
contractors.
14.30 Where the Council wishes to sponsor an event or service, neither an
employee nor any partner, spouse or relative must benefit from such
sponsorship in a direct way without there being full disclosure to an
appropriate manager of any such interest. Similarly, where the Council
through sponsorship, grant aid, financial or other means, gives support in the
community, employees should ensure that impartial advice is given and that
no conflict of interest exists.
Checklist
• Always be extremely cautious of any offer of a gift or hospitality, etc which is
made to you.
• All offers should be refused and gifts returned unless to do so would clearly
cause offence or be impracticable for cost or other reasons.
• Any gifts not refused must be used communally for the benefit of the service
or facility as a whole, or be donated for charitable or community use.
• Always register offers of gifts or hospitality, even if you refuse them or donate
them to charity. Modest hospitality need not be declared if you are part of a
Council delegation. Individual hospitality should be declared.
• Ask yourself whether you would feel comfortable if you had to justify
acceptance of a gift or favour to a member of the public. Do you think it could
be seen as compromising your professional position?
• Never accept extravagant hospitality.
• Do not accept personal invitations.
• If you deal with planning applications or the provision of any other service to
individuals, never accept a gift or hospitality.
• Do not accept gifts from Members. They have been advised not to give them
to Officers.
• Always inform your Manager of any offers received.
• If you are in any doubt, err on the side of caution and seek advice from your
Manager or from staff in Committee and Member Services. You can also
speak to the Monitoring Officer or the Director of Human Resources.
• Issues relating to gifts and hospitality can also be referred to the Standards
Committee for guidance.
• HR staff are always willing to provide you with advice.
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15.
MISCONDUCT
15.1
Allegations of any misconduct or failure to meet the standards of conduct
expected of Council employees will be dealt with through the Council’s
Disciplinary Procedure.
16.
PROCEDURES FOR REPORTING CONCERNS – WHISTLEBLOWING
16.1
The Council expects employees who witness, or have their suspicions raised,
or are approached to become party to potentially fraudulent, corrupt,
dangerous or improper behaviour, to report these incidents or concerns either
to their line manager or other council manager or through the agreed
whistleblowing procedures.
Failure to do so could implicate you in the misconduct.
16.2
The Council recognises that the decision to report a concern can be a difficult
one to make, not least because of the fear of reprisal from those responsible
for the malpractice. The Council will not tolerate harassment or victimisation
and will take appropriate action to protect employees who raise a concern in
good faith.
16.3 Employees who are subject to procedures such as but not limited to
disciplinary or redundancy will not have those procedures halted as a result
of raising concerns under this procedure.
16.4 Concerns should normally be raised initially with your line manager or
supervisor. However, the most appropriate person to contact will depend on
the seriousness and sensitivity of the issues involved and who is suspected
of the misconduct/malpractice.
If for any reason you do not feel that it is appropriate to express your
16.5
concerns in this way, The Council’s whistleblowing policy explains the other
routes available to you.
16.6 Malicious
allegations
i.e. deliberately raising false complaints with the
intention of harming someone, will be regarded as serious misconduct.
16.7 Raising concerns through the media is not an appropriate or effective
channel and may result in an employee breaching obligations under this
Code resulting in disciplinary action. The Council’s whistleblowing Policy
gives details of how to raise concerns with more appropriate and independent
organisations outside the Council.
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17.
USE OF COUNCIL FACILITIES
17.1 Support services like stationery, typing, printing, photocopying, etc must only be
used on Council business. They should never be used for private purposes. In
particular electronic and paper post distribution systems should only be used for
circulating correspondence and literature relating specifically to Council business.
17.2 Misuse or damage to Council property will be regarded as very serious matters
and dealt with through the Authority’s disciplinary procedure.
18.
CONCLUSION
18.1
It is not possible to prepare a Code of Conduct which will enable you to deal
with every situation you may face. However, this Code does establish broad
principles which are essential if confidence in the integrity of Local
Government employees is to be maintained. These have been brought to the
attention of all employees. Any breach of the Code may be viewed as a
serious disciplinary matter which could render you liable to dismissal and/or in
some cases prosecution.
18.2 If you have any doubts about anything contained in this Code, and are
concerned about anything relating to your personal position, you are advised
to seek clarification from your line manager, Member Services or from Human
Resources. You may also wish to seek advice from your Trade Union
representative however, whilst they can give advice, they are unable to
provide you with an authoritative interpretation of this code.
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TERMS USED IN THIS CODE
Monitoring Officer
An employee appointed by the Council to guard against
unlawful decisions or maladministration.
Party Group /
2 or more Councillors of the same political party or
Political Group
description who have asked to be recognised as a Party
or Political Group.
Head of Service
A 2nd tier officer responsible to a Chief Officer for the
management of some of the Council’s services (e.g.
Consumer Protection).
Chief Officer
A 1st tier officer responsible to the Chief Executive and
Council (e.g. Director)
Part 2 ( II )
The part of a Council or Committee Agenda containing
confidential information. The press and public are not
Agenda
admitted to the part of the meeting at which Part 2 items
are discussed.
Mayor
The first citizen of the Borough and Chairperson of full
Council meetings. The Mayor is appointed annually by
the Councillors from amongst their number.
HOW TO CONTACT THE PEOPLE AND ORGANISATIONS NAMED IN THIS
DOCUMENT
The Committee and Member Services
Extensions 5011, 5014 or 5019
Section
Assistant Director (Democratic
Extension 5011
Services)
Slough Borough Council’s Monitoring
Extension 5004
Officer
Communications
Extension 5007, 5088 and 5194
Director of Law & Corporate
Extension 5004
Governance ( also the Council’s
Monitoring Officer )
Director of Human Resources Extension
5079
Director of Finance and Property
Extension 5300
Human Resources (general enquiries)
Extensions 5196, X 5139, X 5788
HR Occupational Health Safety and
Extension 5763
Welfare
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WHERE TO FIND THE DOCUMENTS REFERRED TO IN THIS LOCAL CODE
GOVERNING RELATIONS BETWEEN ELECTED MEMBERS AND COUNCIL
EMPLOYEES
Copies of these documents can be found on the Council’s intranet and through its web
site. If you are unable to locate a copy and wish to read or refer to, please talk with your
line manager, Chief Officer or Human Resources. Trades Union representative will also
usually have copies. Members may wish to contact the Committee and Members
Services Section direct. If you still cannot get a copy of the document you require, the
people listed below will be able to help you. The telephone numbers given here are
internal extension numbers. If you are calling from outside the Council please add 87
before the extension number.
Document Title
Obtainable from
Whistleblowing Policy
Director of Law and Corporate
Governance X 5004
Local Government (Political
Assistant Director (Democratic Services)
Restrictions) Regulations 1990
X 5011
Local Code of Conduct for Members
Member Services Manager
X 5019
Slough Borough Council Constitution
Assistant Director (Democratic Services)
X 5011
Officer Disciplinary Policy and
Director of Human Resources
Procedure
X 5079
Local Government and Housing Act
Director of Law and Corporate
1989
Governance X 5004
Data Protection Act 1984
Director of Law and Corporate
Governance X 5004
The Local Government Act 1972
Director of Law and Corporate
Governance X 5004
Rehabilitation of Offenders Act 1978
Director of Law and Corporate
Governance X 5004
Corporate Health and Safety Policy
Director of Human Resources
Statement
X 5079
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323
Document Title
Obtainable from
Health and Safety Manual
Director of Human Resources
X 5079
HR Operations Manual (including
Director of Human Resources
recruitment and selection)
X 5079
Equalities Policy
Director of Human Resources
X 5079
Harassment at Work Policy
Director of Human Resources
X 5079
Grievance Procedure
Director of Human Resources
X 5079
Slough Borough Council Scheme of
Assistant Director (Democratic Services)
Delegation to Officers
X 5011
Local Code of Conduct for Elected
Head of Planning and Strategic Policy
Members and Council Employees
X 5845
dealing with planning matters
Local Code of Conduct Governing
Assistant Director (Democratic Services)
Relations between Elected Members
or Member Services Manager
and Council Employees
X 5011 or X 5019
Tender and Contract Regulations
Assistant Director (Legal & Valuation
Services)
X 5180
Access to Personal Files (Social
Deputy Chief Executive, Community and
Services) Regulations 1989
Cultural Services
X 5751
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Part 5.5 LOCAL CODE GOVERNING RELATIONS
BETWEEN ELECTED MEMBERS AND
COUNCIL EMPLOYEES
(also known as the Member and Officer Relations Code)
CONTENTS
1. Introduction
2.
The Roles of Members and Officers
3. Expectations
4. Personal
Relationships
5.
Contact between Members and Officers
6.
Commissioners/Chairs and Senior Officers
7.
Opposition Members
8. Political
Groups
9.
Conduct at Meetings and Social Events
10.
Constructive Criticism / Complaints
11. Correspondence
12.
Local Issues
13. Ceremonial
Events
14.
Recruitment, Appointment and Other Staffing Matters
15.
Public Relations and Press Releases
16.
Members’ Access to Information and Council Documents
Requests for information and research
Access to documents
Local Conventions
Use of Council Information – confidentiality
17.
When things go wrong.
Reference & Contact Guides
Appendix 1 Guidance on Publicity During an Election Period
Appendix 2 Local Government Act 1972 Schedule 12, Part 1 (Exempted Information)
(Amended)
Appendix 3 Member Request for Information Form
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1.
INTRODUCTION
1.1
This Local Code (the Code) aims to:
• clearly describe the respective roles of elected Members and Council
Employees (Officers).
• help all those concerned to understand the relationship between Members
and Officers.
• offer a guidance framework on the issues which most commonly arise.
1.2
This Code is to a large extent a written statement of current practice and convention
and forms part of the Ethical Framework approved by the Standards Committee and
adopted by the Council as part of the Constitution. It seeks to reflect the principles
underlying the respective Codes of Conduct that apply to Members and Officers and
to which it is inextricably linked. The shared object of these documents is to
enhance and maintain the integrity (real and perceived) of local government and
thus the Codes demand very high standards of personal conduct. Accordingly this
Code should be read in association with the Council’s Constitution and, in particular,
the Members’ and Employees’ Codes of Conduct
1.3 Monitoring compliance with this code is the responsibility of the Standards
Committee and the Monitoring Officer. Questions of interpretation of this Code will
be determined by the Monitoring Officer.
1.4
Further copies are available from the Committee and Member Services Section. A
list of contact names and telephone numbers is given towards the end of this Code.
2.
THE ROLES OF MEMBERS AND OFFICERS
2.1
The respective roles of Members and Officers can be summarised as follows:-
Members and Officers are servants of the public and they are indispensable to
one another. But their responsibilities are distinct. Members 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 Members and to the
Authority, and to carry out the Authority’s work under the direction and control of
the Council, the Cabinet, and relevant committees, etc.
Mutual respect between Members and Officers is essential to good local
government.
2.2
Members’ Role
Members have four main areas of responsibility:
• determining the budget and policy framework of the Authority and giving it
political leadership,
• monitoring and reviewing the performance of the Authority in implementing
that policy and delivering services
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• representing the Authority externally, and
• acting as advocates on behalf of their constituents.
It is not the role of Members to involve themselves in the day to day
management of the Authority’s services.
2.3
Officers’ Role
The Role of Officers is to:-
• manage the organisation
• initiate policy proposals which accord with the overall framework set by
Members
• manage the implementation of policy
• give professional advice in the course of policy development
• take action under delegated powers
• ensure the Council acts lawfully and with financial propriety
3.
EXPECTATIONS
3.1
Members 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.
(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 they 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 Members to advance their
personal interests or to influence decisions improperly.
(m) That officers will at all times comply with the relevant Codes of Conduct
(n) Support for the role of Members as the local representatives of the Authority,
within any scheme of support for Members which may be approved by the
Authority.
3.2
Officers can expect from Members.
(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
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(f) Not to be subject to bullying or to be put under undue pressure. Members
should have regard to the seniority of officers in determining what are
reasonable requests, having regard to the power relationship between
Members and Officers, and the potential vulnerability of Officers, particularly at
junior levels.
(g) That Members will not use their position or relationship with Officers to
advance their personal interests or those of others or to influence decisions
improperly
(h) That Members will at all times comply with the relevant Codes of Conduct.
3.3
The distinct roles of Members and Officers necessarily impose limitations upon
behaviour. These are referred to and explained below.
4.
PERSONAL RELATIONSHIPS
4.1 Mutual respect between Members and Officers is essential to good local
government. Close personal familiarity in public between individual Members and
Officers can damage this relationship and should be avoided as it can prove
embarrassing to other Members and Officers.
4.2
However, the Council recognises that there may be close social or personal
relationships between Members and Officers that have commenced before, or after,
a Member is elected to the Council or before, or after, a person becomes employed
by the Council. In a large organisation this may be inevitable. In order to maintain
the integrity of the individuals concerned and the Council, such relationships should
never be hidden. To do so can lead to suspicion and mistrust.
4.3
Accordingly, the Member must declare, in writing, to the Monitoring Officer and
his/her Leader/Party Whip any relationship with an Officer which might be seen as
influencing his/her work as a Member and the Officer must notify their Director in
writing. This includes any family relationships.
4.4
The Group Leaders and Directors will endeavour to ensure that neither the Member
nor the Officer are placed in a position where such relationship between the two will
be seen to conflict with the provisions of this Code.
5.
CONTACT BETWEEN MEMBERS AND OFFICERS
5.1
Contact between Members and Officers should normally be at a Senior Officer level
since junior officers might feel unduly pressurised to comply with requests from
Members and this might disrupt work programmes already agreed with their
managers. For the purposes of this Code ‘Senior Officer’ means Directors,
Assistant Directors and Head of Service/3rd tier Officers.
5.2
Members have the right to contact directly the Chief Executive, Directors and senior
staff when they feel it necessary to do so. Equally, when it comes to routine
matters, such as giving apologies for absence from meetings, it is quite in order for
Members to contact more junior staff directly. Any other matters should be referred
to senior staff, the Chief Executive or Directors including any occasion when a
Member feels that the action being taken is wrong or is not being pursued with
sufficient vigour.
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5.3
Members are elected to represent the interests of their constituents, but they should
not seek special treatment for any individual. When dealing with Officers, they must
declare any special relationships they have with the constituents concerned.
5.4
The role of Officers is to give advice and information to Members and to implement
the policies determined by the Council. In giving such advice to Members, 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 Members on an issue, if the Member wishes to express a
contrary view s/he should not seek to pressure the Officer to make a
recommendation contrary to the Officer’s professional view.
5.5
Certain officers e.g. 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 obligations to the Authority and to individual Members, and
Members must respect these obligations, must not obstruct Officers in the
discharge of these responsibilities, and must not victimise Officers for discharging
them.
5.6
Members should not bring or attempt to bring undue influence to bear on an Officer
to take any action that is:
• against an adopted policy or procedure
• a breach of the Local Code of Conduct for Employees
• in conflict with the Council’s Procedural Rules or Financial Regulations
• capable of being interpreted as intimidation or bullying.
5.7
Officers have a duty to report any attempt to exert undue pressure or influence to
their Director who in turn will refer the matter to the Chief Executive.
The procedure
for doing this is described in the Local Code of Conduct for Employees.
5.8
In accordance with the resolutions of the Special Meeting of the Council on 28 April
1999 a note will be taken of all meetings dealing with matters of significance
between Members and Officers, setting out where appropriate, advice given and
decisions taken and this note will subsequently be circulated to those present.
6.
COMMISSIONERS/CHAIRS AND SENIOR OFFICERS
6.1
It is clearly important that there should be a close working relationship between a
Cabinet Commissioner or Chair of a Committee/Sub-Committee and the Director
and other senior officers of any Department which falls within the Commissioner’s
portfolio or report to that Committee/Sub-Committee. However, such relationships
should never be allowed to become so close, or appear to be so close, as to bring
into question the Officers’ ability to deal impartially with other Members. Officers
must ensure their political neutrality is not compromised.
6.2
While a Commissioner, Chair of a Committee/Sub-Committee will/may routinely be
consulted as part of the process of drawing up the agenda for a forthcoming
meeting, it must be recognised that in some situations a Director will be under a
duty to submit a report on a particular matter. Similarly, the named author will
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always be fully responsible for the contents of any report submitted by their
Department.
6.3
This means that any such report will be amended only where the amendment
reflects the professional judgement of the author of the report. Any issues arising
between a Commissioner/Chair and a Director in this area should be referred to the
Chief Executive for resolution in conjunction with the Leader of the Council.
6.4
In addition to the Commissioner’s/Chair’s briefing before any Cabinet, Committee/
Sub-Committee meeting, minority group representatives will also be afforded the
opportunity of a briefing through their appropriate spokespersons.
6.5
In relation to action between meetings, it is important to remember that, under the
executive arrangements adopted by the Council, decisions (relating to the
discharge of any of the Council’s functions) are taken by the Cabinet, a Committee,
a Sub-Committee or an Officer under delegated authority. There is no provision for
such decisions to be taken by a Chair, a Commissioner or indeed by any other
single Member.
6.6
At Cabinet/Committee/Sub-Committee meetings, a resolution may be passed,
which authorises named Officers to take action between meetings in consultation
with the Chair. It must be recognised that it is the Officer, rather than the Chair,
who takes the action and it is the Officer who is accountable for it.
6.7
Finally, it must be remembered that Officers within a Department are accountable to
their Director and that whilst Officers should always seek to assist a Chair (or
indeed any Member), they must not, in so doing, go beyond the bounds of whatever
authority they have been given by their Director. Members should not put staff in a
position where there would be conflict between themselves and their line manager,
or other Senior Officer.
7.
OPPOSITION MEMBERS
7.1
As individual Members, 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 scrutiny and overview. 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 opposition
groups.
8.
POLITICAL GROUPS
8.1
It must be recognised by all Officers and Members that in discharging their duties
and responsibilities Officers serve the Council as a whole and not exclusively any
political group, combination of groups or any individual Member of the Council.
Special rules apply to Political Group Assistants and those postholders have been
made aware of them through separate guidance.
8.2
There is now statutory recognition for party political groups and it is common
practice for such groups to give preliminary consideration to matters of Council
business in advance of such matters being considered by the relevant Council
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decision making body. Officers may properly be called upon to support and
contribute to such deliberations by political groups but must at all times maintain
political neutrality. All Officers must, in their dealings with political groups and
individual Members, treat them in a fair and even-handed manner.
8.3
The support provided by Officers can take many forms, ranging from a briefing
meeting with the Leader of the Council, a Commissioner/Chair/Spokesperson prior
to a Council, Cabinet, Committee or Sub-Committee meeting to a presentation to a
political group meeting. Whilst in practice such Officer support is likely to be in most
demand from whichever political group is in control of the Council at the time, such
assistance is available to all political groups.
8.4
Certain points, however, must be clearly understood by all those participating in this
type of process, Members and Officer alike. In particular:
(a) Requests for Officers to attend any political group meeting must be made
through the appropriate Director. The Director will advise the Chief Executive of
any requests made.
(b) Unless otherwise agreed in advance with the Chief Executive, Officers will not
attend political group meetings that include persons who are not Members of
the Council. However, where the Chief Executive has authorised such
attendance special care needs to be exercised by Officers involved in providing
information and advice to such political group meetings. Persons who are not
elected Members will not be bound by the Local Code of Conduct (in particular,
the provisions concerning the declaration of interests and confidentiality) and for
this and other reasons Officers may not be able to provide the same level of
information and advice as they would to a Members only meeting.
(c) Officer support (whether in the form of a written report or otherwise) must not
extend beyond providing information and advice in relation to matters of Council
business. Officer support 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 or other support will not deal with any political implications of
the matter or any option, and Officers will not make any recommendations to a
political group. Officers (with the exception of Political Group Assistants) are
not expected to be present at meetings or part of meetings when matters of
party business are to be discussed.
(d) Political group meetings, whilst they form part of the preliminaries to Council
decision making are not empowered to make decisions on behalf of the Council.
Conclusions reached at such meetings do not therefore rank as Council
decisions and it is essential that they are not interpreted or acted upon as such.
(e) It must not be assumed by any political group or Member that any Officer is
supportive of any policy or strategy developed because of that Officer’s
assistance in the formulation of that policy or strategy.
(f) Any request for advice, together with the advice given to a political group or
Member will be treated with strict confidentiality by the Officers concerned and
will not be accessible to any other political group. It is acknowledged, however,
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that factual information upon which any advice is based will, if requested, be
available to all political groups.
(g) Officers must respect the confidentiality of any political group discussions at
which they are present in the sense that they should not relay the content of any
such discussion to another political group or Member thereof. However,
Members should be aware that this would not prevent Officers from disclosing
such information to other Officers of the Council so far as is necessary to
perform their duties.
(h) Where Officers provide information and advice to a political group meeting in
relation to a matter of Council business, it should be understood that the
Officers have a statutory duty to provide all necessary information and advice to
the Cabinet or relevant Committee/Sub-Committee when the matter in question
is considered.
8.5
Any particular cases of difficulty or uncertainty in this area of Officer advice to
political groups must be raised with the Chief Executive who will discuss them with
the relevant Group Leader(s).
9.
CONDUCT AT MEETINGS AND SOCIAL EVENTS
9.1
Officers and Members should address each other formally at meetings of the
Council, Cabinet, Committees, Sub-Committees and other formal meetings which
both attend.
9.2
On such formal occasions Officers should refer to Members by the office they hold:
• Leader, or
• Chair, or
• Vice-Chair, or
• Councillor
and, where they are aware of it, respect an individual Member’s preference for a
particular type of formal address.
9.3
Members should avoid excessive informality at meetings and other official civic
events and refer to Officers either by their job title or by their surname and the title
Mr, Mrs, Miss or Ms, as appropriate.
9.4
At formal meetings and official civic events Members and Officers should dress and
behave in a manner in keeping with the occasion and their position.
This requires
them to listen to proceedings and show respect and courtesy to all those
present (including members of the public)
9.5
The same degree of formality is not necessary at any informal meetings or social
events that Members and Officers may attend. Nonetheless, by virtue of their role
with the Council if Members and Officers are attending an event they should avoid
close personal familiarity or any action which would embarrass others or damage
their relationship with other Officers or Members.
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10.
CONSTRUCTIVE CRITICISM/COMPLAINTS
10.1 It is important that in any dealings between Members and Officers they should
observe reasonable standards of courtesy and that neither party should seek to
take unfair advantage of their position.
10.2 Members and Officers should not criticise or undermine respect for the other at
meetings of the Council or in any public forum. This would damage effective
working relationships and the public image of the Council.
10.3 Members should not raise matters relating to the conduct or capability of an
individual Council Officer or of Officers collectively at meetings held in public. This is
a long-standing tradition in public service as Officers have no means of responding
to criticisms like this in public.
10.4 If Members feel that they have not been treated with proper respect, courtesy or
have any concern about the conduct or capability of an Officer or group of Officers
they should raise the matter with the Director of the Department in question.
10.5 If the Member is not satisfied that action has been taken within a reasonable period,
by the Director they should raise the matter with the Chief Executive who will look
into the matter afresh.
10.6 Where an Officer feels that they have not been properly treated with respect and
courtesy or is concerned about any action or statement relating to her/himself or a
colleague by a Member they should raise the matter with their line manager, or
other Senior Officer as appropriate. The procedure for this is described in the Local
Code of Conduct for Employees.
11.
CORRESPONDENCE BETWEEN MEMBERS AND OFFICERS
11.1 Correspondence between an individual Member and an Officer on a matter relating
to a single constituent should not normally be copied (by the Officer) to any other
Member. Where, exceptionally, it is necessary to copy the correspondence to
another Member, this should be made clear to the original Member. In other words,
a system of “silent or blind copies” should not be employed.
11.2
However where the Member/Officer has legitimately copied in others it is in
order for the Member/Officer replying to copy in those individuals with the
response.
11.3 In some cases issues are raised by, or with, individual Members relating to a matter
of general interest in a Council Ward or individual Parish. Recognising that it is in
the best interests of the Council to ensure that all Members are properly informed of
general issues in their Ward or Parish, copies of correspondence will normally be
sent to all Members for the particular area unless the Member specifically requests
that correspondence is not copied to other Members or, there is a political, or other
reason, why this is not appropriate. Where correspondence is copied to other
Members this will be made clear to the original Member.
11.4 Officer letters on behalf of the Council should normally be sent out in the name of
the appropriate Officer, rather than in the name of a Member. It may be appropriate
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in certain circumstances (e.g. representations to a Government Minister) for a letter
to be signed by a Member, but this should be the exception rather than the norm.
Letters which, for example, create obligations or give instructions on behalf of the
Council should never be sent out in the name of a Member.
12.
LOCAL ISSUES
12.1 Whenever the Council undertakes any form of consultative exercise on a local
issue, the Ward Members should be informed or involved, as appropriate, not later
than at the outset of the exercise. Similarly whenever a public meeting is organised
by the Council to consider a local issue, all the Members representing the Ward or
Wards affected should, as a matter of course, be invited to attend the meeting.
13.
CEREMONIAL EVENTS
13.1 The Mayor, or in his/her absence the Deputy Mayor, will be the appropriate person
to lead Council ceremonial events which are of particular significance or are not
specifically associated with a particular Commissioner/Committee/Sub-Committee.
Similarly the Mayor, or in his/her absence the Deputy Mayor, will be the appropriate
person to represent the Council at ceremonial events of other organisations which
are not specifically associated with the Cabinet or a particular Committee/Sub-
Committee.
13.2 Subject to the above paragraph, Commissioners, Chairs of Committees or Vice-
Chairs in that order of preference are the appropriate representatives for ceremonial
events within the scope of their portfolios/Committee’s terms of reference. Where
neither the Commissioner/Chair or Vice-Chair of a Committee are available then
any other Member may be nominated by the appropriate Commissioner/Chair.
13.3 Local Members should always be informed of, and, where possible, invited to
ceremonial events taking place within their own Wards, as should Parish
Councillors as appropriate.
13.4 Any Member taking part in a ceremonial event must not seek disproportionate
personal publicity nor use the occasion for party political advantage bearing in mind
that the Member is representing the Council as a whole.
14.
RECRUITMENT , APPOINTMENT AND OTHER STAFFING MATTERS
14.1 A Member will not seek support for any prospective employee of the Council nor
provide references in support of applications for employment by the Council.
14.2
Any one who may be involved in the selection or appointment process for a post
with the Council shall immediately declare any relationship to a candidate as soon
as it becomes known to him/her to the Strategic Director of Human Resources who
shall record the declaration and determine whether or not the Member may take
any further part in the selection/appointment process for that post.
14.3 If a Member is called upon to take part in selecting and appointing an Officer, with
the exception of the appointment of assistants to political groups, the only question
s/he should consider is which candidate would best serve the whole Council. A
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Member should not let his/her political or personal preferences influence their
judgement.
14.4. Inevitably there will be occasions when Council services are being reorganised or
restructured. In such situations Members may be asked to comment on, discuss or
approve proposals prepared by Officers. In these circumstances Member should
consider such proposals in relation to the best interests of the Council and should
not allow personal views on individual Officers affected by the proposals to
influence their judgement. Similarly Members should not seek to influence other
than as provided for in existing procedures, decisions related to redundancy,
redeployment or promotion of individual Officers.
14.5 There is a presumption that Members must not get involved in staff disciplinary
(misconduct or capability) or grievance issues as these are matters which the Head
of Paid Service and/or the employee’s Line Manager/Supervisor handle in
accordance with the Council’s adopted policies and procedures. However a
Member will be entitled to get involved in such matters in the following limited
circumstances:-
a)
Where the employee wishes to call the Member as a witness and the
relevant Panel/Sub-Committee hearing the case considers that the Member
has direct and material evidence relevant to the case (e.g. witness as to a
fact).
b)
Where a staff disciplinary or grievance issue has a direct bearing on a Ward
matter or a matter raised with a Member by a constituent. In this case the
Member will be informed of such information as is necessary to determine
whether or not s/he has material evidence relevant to the case
c)
Where a Member has been appointed to the Employment Appeals Sub-
Committee which is hearing a particular case.
Unless one of these three exceptions applies Members who seek to influence or
otherwise involve themselves in such staffing matters may be in breach of this Code
and the Local Code of Conduct for Members.
If Members are in any doubt as to their position they must seek advice from the
Monitoring Officer or the Deputy Monitoring Officer.
14.6
If, in the course of performing their duties, Members receive allegations of
misconduct by an Officer these should be referred with any supporting
information to the appropriate Head of Service. If the complaint relates to a
Senior Officer then it should be referred to the Officer’s line manager. If the
Member feels unable to raise the matter in this way then they can raise it with
the appropriate Director. If the foregoing has been followed and the Member
still has concerns or if s/he feels the matter is very serious then the Member
may contact the Strategic Director of Human Resources or Chief Executive.
14.7 Officers are entitled to reasonable privacy and respect for their private lives and
Members should not seek or request personal information about individual Officers.
Such a request could be seen as threatening particularly by junior Officers.
Similarly Members should not seek to contact Officers outside of working hours or
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at home unless by prior agreement with the relevant Officer or under an existing
provision or arrangement related to the Officer’s employment with the Council. If a
Member has reasonable grounds for believing matters related to an Officer’s
personal life have a bearing on their employment with the Council then the Member
should report these concerns to the relevant Director. Similarly Officers must show
similar respect for the private lives of Members.
14.8 The Council has legal obligations in relation to equal opportunities both as an
employer and as a public body. Members are required to comply with these legal
obligations and to adhere to the Council’s equal opportunities policy in their dealings
with staff. Similarly if a Member believes they have been subjected to unlawful
discrimination or treated by Officers in a manner that contravenes the Council's
equal opportunities policy then this should be reported to the Strategic Director of
Human Resources.
15.
PUBLIC RELATIONS AND PRESS RELEASES
15.1 The Council’s Corporate Communications Officers serve the Council as a whole
and must operate within the limits of the Local Government Act 1986 which prohibits
the Council from publishing material which appears to be designed to affect public
support for a political party.
15.2 Council press releases are drafted by Officers and will often contain quotations
(within the limits of the Local Government Act 1986) from the Leader and/or Deputy
Leader of the Council, a Commissioner, the Chair and Vice-Chair of the Committee
or Sub-Committee whose service is involved and from the Mayor or Deputy Mayor
about ceremonial events. Such press releases are issued on behalf of the Council
and it would not, therefore, be appropriate when repeating quotations from
Members to indicate their party political affiliation.
15.3
Political Groups and individual Members may use any Council resources
allocated by the authority to issue Group or personal press releases or
publicity relating to the business of the Council. If issued, these must contain
a clear statement that it is a Political Group or personal publication to avoid
any possibility of confusion with Council press releases.
15.4 Further guidance on the legal constraints placed on local authority publicity during
an election period is set out in
Appendix 1 to this Code.
16.
MEMBERS’ ACCESS TO INFORMATION AND TO COUNCIL DOCUMENTS
(a)
Introduction
The following paragraphs identify the rights of Members and the procedures that
they must comply with when applying for access to Cabinet/Committee/Sub-
Committee papers and other documents/information. These paragraphs take into
account the following:-
( i )
Local Government Acts 1972-2000 (particularly Schedule 12A)(Amended)
( ii )
D.o.E. Circular 6/86
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( iii ) Relevant case law
( iv ) Access to Information Procedure Rules (Part 4.2 of the Constitution)
It is important to note that in some cases such access only applies where Members
are clearly carrying out their role as elected representatives. Where a Member has
a financial or personal prejudicial interest in a matter the Member will only be
entitled to the same access as would be the case for a private individual, i.e. to
inspect the reports, minutes and background papers relating to the public part of the
Cabinet/Committee/Sub-Committee Agenda. In these circumstances, the Member
must make it clear that s/he is acting in his/her private capacity and not as a
Member of the Council.
(b)
Confidential/Exempt Information
It is self-evident that Members of the Council have the same rights as the public in
seeking and obtaining Cabinet/Committee/Sub-Committee papers and other
documents/information. This will generally comprise reports and background
papers which appear in Part I of Cabinet/Committee/Sub-Committee Agendas.
However, this is not the case in relation to confidential and exempt information.
Confidential information is:-
( i )
Information furnished to the Council by a Government Department on terms
which forbid the disclosure of the information to the public, and
( ii )
Information which may not be disclosed by or under any enactment or by a
Court Order.
Exempt information is information to which the public may be excluded but do not
have to be. The categories of exempt information are set out in Schedule 12A to
the Local Government Act 1972 (Amended) and are set out in Part 4.2 of the
Constitution (Access to Information Procedure Rules). Generally, the public should
be excluded if exempt information is being considered unless there is good reason
to the contrary. There may be some occasions when information may fall within
one or more of the categories but nevertheless is suitable for the public to see
without infringing personal rights or damaging the Council’s position. For example,
authorisation to issue an enforcement notice under the Town & Country Planning
Act 1990 strictly falls within Category 6 but the report is considered in Part I as it is
not considered that the Council’s position is prejudiced by public disclosure. If there
is doubt in relation to individual items then they should be kept confidential until the
Cabinet/Committee/Sub-Committee has taken a view as to whether they should be
treated as exempt or not.
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(c)
Requests by Members – Procedures
A Member is free to approach any Council Department to provide him/her with such
information, explanation and advice about the Department’s functions as s/he may
reasonably need in order to assist him/her in discharging his/her role as a Member
of the Council or acting for and on behalf of the Council as an appointed
representative to another body. This can range from a request for general
information or documentation about some aspect of the Department’s activities, to a
request for specific information on behalf of a constituent.
The following procedure should be adhered to when requesting
documentation/information:-
( i )
Initially, the Director or Head of Service of the Department concerned should
be approached.
( ii ) If access is denied or the Director/Head of Service is in doubt, the matter
must be referred to the Proper Officer in consultation with the Director of Law
& Corporate Governance, for decision. The Proper Officer is the Assistant
Director (Democratic Services)
( iii ) Where the Officers have refused access, then the matter can be referred to
the Standards Committee for consideration.
Any requests for information made by Political Group Assistants on behalf of
Members of their Group should be treated in exactly the same way as if those
Members had made the request themselves. The Political Group Assistants, when
making such requests should clearly indicate on which Member’s behalf they are
acting.
Requests for information not readily accessible will not be acceded to where the
cost is unreasonably high or would unreasonably disrupt the work of the Council.
Members will be asked to submit a written request for information which is either
confidential (as defined), exempt (as set out in Schedule 12A to the 1972 Act)
(Amended) or which will require significant resources to provide. A request form is
attached as
Appendix 2. This form will require the Member to set out precisely
why the information is required and for what purpose.
(d)
Access to Cabinet/Committee/Sub-Committee Papers (including Background
Papers) – Forthcoming Meetings
The rights of Members can be summarised as follows:-
( i )
They generally enjoy the same access rights as members of the public in
respect of Part I Cabinet/Committee/Sub-Committee papers, but are not
entitled to such papers where they have a financial interest under the Local
Government Act 1972, or personal and prejudicial interest as set out in the
Local Code of Conduct.
( ii ) All Members have a statutory right of access to Cabinet/Committee/Sub-
Committee agenda papers which relate to Part II exempt information under
Categories 3 and 6 as shown at Appendix “1”. [With regard to information
falling within paragraph 3 members do not have a statutory right to the
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information if it contains the terms of any proposed contract] Members do not
have a right to disclose such documentation to the public or the press.
(See
Paragraph (i) below - “Use of Council Information – Confidentiality”)
( iii ) Members of the appropriate Cabinet/Committee/Sub-Committees will have a
good reason for access to all Part II exempt information on the
Cabinet/Committee/Sub-Committee agenda under the “Need to Know”
principles set out in Paragraph (e) below.
( iv ) Members of the Scrutiny & Overview Committee will have a prima facie
“Need to Know” where they require access to Part II Cabinet agenda items
as part of their scrutiny function provided the subject matter is within the
Committee/Sub-Committee’s terms of reference and accords with the
approved protocols.
(
v
) All other Members who require access to confidential/exempt
Cabinet/Committee/Sub-Committee documentation will need to demonstrate
a “Need to Know” by complying with the principles set out in Paragraph (e)
below.
Members who have had access to Part II agenda items on a Cabinet/Committee/
Sub-Committee Agenda above will be required to return such papers to the
Assistant Director (Democratic Services) (or his/her representative) immediately
after the meeting has closed.
(e)
Access to Other Documents/Information – “The Need to Know”
The common law “Need to Know” is the prima facie right of Members to inspect
documents of the authority which exist because Members are under a duty to keep
themselves informed of Council business which relates to their role as elected
representatives. Thus, this right applies to Members who do not have statutory
rights to exempt or confidential information and to other documents held by the
Council.
The categories of exempt information to which Members do not have a statutory
right of access relate principally to personal information about an individual
(whether current, former or prospective), who is an employee, or who has had
dealings with the authority through its services/functions Where a Member wishes
access to exempt information, s/he will need to demonstrate a specific “Need to
Know” with evidence of a genuine concern that needs to be satisfied. This will
establish the bona fides of the request. In the absence of such evidence access will
be denied.
It is considered that a Member will have a prima facie “Need to Know” where s/he
has a legitimate Ward problem and needs access to the documents that are
relevant to that specific problem.
Access to information will be denied where the Member is considered to be “fishing”
for information or seeks access for an ulterior/improper purpose (e.g. for a private
purpose). Mere idle curiosity as to what is in the documentation will not be
sufficient.
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It should be noted that the Proper Officer may blank out sensitive and non-essential
material if this does not affect the ability of a Member to exercise his/her role as an
elected representative.
(f)
Housing Benefits
Following the resolutions passed at the Special Meeting of the Council on 28th April,
1999, Members have agreed to cease any detailed involvement in individual
Housing Benefit cases other than their own. Such cases will continue to be dealt
with under officers delegated authority. Members should not attempt to influence
the Officers involved but should use the Member casework system to pursue the
individual interests of their constituents.
(g)
Social Services
Information held about individuals by the Social Services Department is highly
confidential and requests of this type will be refused unless the Member can clearly
demonstrate s/he has a “Need to Know”. Requests for access to Social Services
documents should be in writing and directed to the Departmental Customer Liaison
Officer setting out in full the grounds of the Member’s “Need to Know”. A decision
on the request will be taken by the Director of Social Services or one of her/his
deputies. Thereafter, the procedure as set out in Paragraph (c) above will apply.
Members have no right to attend Social Services case conferences in their capacity
as an elected representative and all such requests will be refused. If the Member
wishes to attend a case conference or similar meeting as an advocate or
representative of the Client s/he must put their request in writing to the Strategic
Director of Community and Cultural Services/Strategic Director of Education and
Children’s Services in sufficient time to allow her/him to obtain written consent from
the Client involved.
(h)
Local Conventions
There will be a range of documents which, because of their nature are either not
accessible by Members (such as the personal records of an individual) or are
accessible only by the political group forming the administration and not by the
Members of other political groups. An example of this latter category would be draft
documents compiled in the context of emerging Council policies and draft
Committee reports, the premature disclosure of which might be against the
Council’s and the public interest.
Whilst the term “Council document” is very broad and includes, for example, any
document produced with Council resources, it is accepted by convention that a
Member of one political group will not have a “Need to Know” and therefore, a right
to inspect, a document which forms part of the internal workings of another political
group.
Further and more detailed advice regarding Members’ rights to inspect Council
documents may be obtained from the Assistant Director (Democratic Services) or
the Director of Law and Corporate Governance. Contact names and telephone
numbers are given towards the end of this Code.
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(i)
Use of Council Information – Confidentiality
Procedural Rules and specific local procedures (e.g. on contracts) require Members
and Officers to maintain confidentiality in certain circumstances. Officers are bound
by their contracts of employment and any breach of confidentiality will almost
certainly lead to disciplinary action. Officers must distinguish between assisting an
elected representative in the course of the Member’s Council business and dealing
with the same person as a client or customer, e.g. Housing Benefit claimant. In the
latter case, Officers will treat the Member with the same degree of helpfulness,
courtesy and confidentiality as would be afforded to any other member of the public
in the same situation, and interpret the relevant rules and procedures as they would
any other client or customer.
Equally, any Council information provided to a Member must only be used by
the Member for the purpose for which is was provided, i.e. in connection with
the proper performance of the Member’s duties as an elected representative
of the Council. Confidential information provided to Members may be
discussed in Part II Committee meetings or in private meetings of appropriate
Members and Officers. However, it should not be discussed with, or released
to, any other persons. Any information that is provided should be clearly
marked as confidential before it is released to Members.
Members abusing this trust may find themselves the subject of a complaint to the
Standards Board of England as it is a contravention of the Local Code of Conduct
for Members (paragraph 3.2) which states:-
A Member must not:-
(a) Disclose information given to him in confidence by anyone, or information
acquired which he believes is of a confidential nature, without the consent of a
person authorised to give it, or unless he is required by law to do so.
If a complaint is upheld sanctions may be imposed on the Member which include
suspension from Office. The unauthorised disclosure of exempt information is
regarded by the authority as a serious disciplinary offence for both Members and
Officers alike.
Any request from a Member for information will be treated in the strictest confidence
by Officers and will not be made known to any other Member or political group.
Officers are also under a duty not to relate any information disclosed privately by a
Member(s) e.g. during Part II discussions at Committee, etc., informal briefings,
private conversations or Group meetings) to another Member, Officer or person not
already privy to that information.
However, the duty of Officers to observe a Member’s confidence will not apply if the
information disclosed relates to something which could severely damage the
Council or which is illegal or constitutes maladministration. In this event the matter
will be referred to the appropriate Director and/or Monitoring officer and Chief
Executive for further investigation and action as appropriate.
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17.
WHEN THINGS GO WRONG
17.1 Procedure for Officers
From time to time the relationship between Members and Officers may break down
or become strained.
Whilst it will always be preferable to resolve matters informally,
through conciliation by an appropriate senior Officer (including the Monitoring
Officer) the Member or his or her group leader, Officers will have recourse to the
Standards Board for England complaints procedure if the informal process fails.
17.2 Procedure for Members
In the event that a Member 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 Senior Officer, the matter should be
raised with the appropriate Director or with the Chief Executive. Where the
employee concerned is the Chief Executive, the matter should be raised with the
Strategic Director of Human Resources. If the matter cannot be resolved informally,
it may be necessary to invoke the Council’s Disciplinary Procedure.
TERMS USED IN THIS CODE
Leader / Group
A Councillor appointed by the Members of a political or party
Leader
group to lead, and to be the spokesperson, for that Group.
The Leader of the largest political group represented on the
Council is also leader of the Council.
Monitoring
An employee appointed by the Council to guard against
Officer
unlawful decisions or maladministration.
Ward
An electoral area of the Borough (there are 14 in Slough) from
which Councillors are elected to serve on the Borough Council.
Proper Officer
An employee appointed by the Council to perform a specific
statutory function.
Party Group /
2 or more Councillors of the same political party or
Political Group
description who have formally asked to be recognised as a
Political or Party Group.
Head of Service A 3rd tier officer responsible to a Director for the management
of some of the Council’s services (e.g. Consumer
Protection).
Director
Chief Executive and 1st tier officers responsible to the Chief
Executive and Council for leadership and management of a
Department containing a group of services.
Senior Officer
Directors, Assistant Directors, Heads of Service/3rd Tier
Officers.
Part 2 ( II )
The part of a Council, Cabinet or Committee Agenda
Agenda
containing confidential information. The press and public are
not admitted to the part of the meeting at which Part 2 items
are discussed.
Mayor
The first citizen of the Borough and Chairperson of full
Council meetings. The Mayor is appointed annually by the
Councillors from amongst their number.
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HOW TO CONTACT THE PEOPLE AND ORGANISATIONS NAMED IN THIS
DOCUMENT
Contacts named in this document
The Committee and Member Services
Extension 5019
Section
Assistant Director (Democratic Services)
Catherine Meek X 5011
Monitoring Officer and Strategic Director of
Steven Quayle X 5004
Law and Corporate Governance
Chief Executive
Cheryl Coppell X 5000
Strategic Director of Human Resources
X 5079
Corporate Communications Officers
Extension 5558,and 5026
WHERE TO FIND THE DOCUMENTS REFERRED TO IN THIS LOCAL CODE
GOVERNING RELATIONS BETWEEN ELECTED MEMBERS AND COUNCIL
EMPLOYEES
If you do not have a copy of these documents and wish to read or refer to them please talk
with your line manager, departmental personnel section, Trades Union representative or
Director in the first instance. Members may wish to contact the Committee and Members
Services Section direct. If you still cannot get a copy of the document you require, the
people listed below will be able to help you. The telephone numbers given here are
internal extension numbers. If you are calling from outside the Council please add 87
before the extension number.
Document Title
Obtainable from
Local Code of Conduct for Members &
Committee and Member Services Section
Employees’ Code of Conduct *
Member Services Manager X 5019
Slough Borough Council Constitution *
Committee and Member Services Section
Assistant Director (Democratic Services)
X 5011
Officer Disciplinary Policy and Procedure
Strategic Director of Human Resources
X 5079
Local Code of Conduct for Council
Strategic Director of Human Resources
Employees*
X 5079
The Local Government Act 1986
Assistant Director (Legal Services)
* These documents can be found on the Council’s web-site at www.slough.gov.uk
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“APPENDIX 1”
GUIDANCE ON PUBLICITY DURING AN ELECTION PERIOD
1.
Introduction
This note gives guidance on publicity during an election period. It does not seek to
explain in full the legal basis for publicity, or the legal restrictions, or The Code of
Recommended Practice on Local Authority Publicity (“the Code”). It is assumed
that officers responsible for publicity are aware of the general provisions. This
advice deals only with the special circumstances in the period immediately before
any election.
2.
Election Period
The election period for any election is the time between when the Notice of Election
is published and polling day itself. Caution should therefore be exercised
throughout this period and the guidance below strictly adhered to.
3.
What is Publicity?
Publicity is defined as “any communication, in whatever form, addressed to the
public at large or to a section of the public.” This includes newspapers, press
releases, newsletters, booklets, leaflets, posters, banners, badges, advertising, etc.
Campaigns, conferences, seminars and exhibitions may also be regarded as
publicity.
4.
The Public
The public can be defined as the people at large or a section of them.
Communications addressed to a defined group of people are not restricted. For
example, a newsletter to Council employees or information provided for members of
a voluntary organisation are not communications addressed to the public and are
not subject to the restrictions.
5.
Political Publicity Restrictions
Local authorities may not issue publicity which appears to be designed to affect
public support for a political party.
Local authorities must have regard to the Code which provides (inter alia):-
“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. Publicity should not deal with
controversial issues or report views, proposals or recommendations in
such a way that identifies them with individual members of groups of
members. However, it is acceptable for the authority to respond in
appropriate circumstances to events and legitimate service enquiries
provided that their answers are factual and not party political. Members
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holding key political or civic positions should be able to comment in an
emergency or where there is a genuine need for a member level
response to an important event outside the authority’s control. Proactive
events arranged in this period should not involve members likely to be
standing for election.”
6.
Checklist
•
Does the publicity relate to a matter of political controversy?
Such matters should be avoided during the election period if possible. If publicity is
unavoidable – such as to explain a new Council policy or scheme – it should be
factual, objective and balanced. Style is important. If comment is necessary, it
should be accurate and not prejudiced. It should not attack any political party or
person associated with such a party or be identifiable as the view of a particular
party. Issues should not be over simplified.
•
Does it refer to a political party?
Do not refer to political parties. Parliament, the Government, the Opposition or the
Council may be referred to as the source of decision, policies or action.
•
Is there reference to a politician?
It would be preferable for any press release comment on behalf of the authority to
come from an officer rather than a Member. Particular care should be taken to
avoid mention of any Councillor or Member of Parliament who is seeking re-
election. If it is absolutely necessary, such as where there is an official event or
opening, it would be sensible to try to ensure that the corresponding opposition
Members are given equal publicity. Care should be taken even when referring to
Councillors not standing in the election as they are likely to be associated with a
particular political party.
•
What is the likely effect on the public?
In the event of a legal challenge, the test will not be the intention of the authority in
issuing the publicity but whether the material appears to be designed to affect
support for a political party. Consider the overall effect or impact of the publicity
before releasing it.
7.
Assistance to Other Organisations
Material published by other bodies, such as voluntary organisations, with financial
or other assistance granted by the Council may also breach the prohibitions.
8.
Further Advice
If in doubt, please consult the Code (DoE Circular 20/88 as amended) and if further
advice is required contact either the Head of Communications on Ext. 5558 or the
Director of Legal, Democratic & Development Services on Ext. 5004.
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346
“APPENDIX 2”
MEMBER REQUEST FOR INFORMATION
Ref.
No:
(See Guidance Notes overleaf)
This form should be used by Members in respect of the following:
Confidential or exempt (Part II) Cabinet/Committee reports and background papers (excluding
S.100F reports/papers)
Other Confidential or Exempt information as defined within Schedule 12A of the Local Government
Act 1972 (amended)
Information which will require significant resources to provide
Name of Member requesting information .......................................................................................................
Details of information requested .....................................................................................................................
..............................................................................................................................................................................
..............................................................................................................................................................................
Full and detailed reasons/justification why the information is required .....................................................
..............................................................................................................................................................................
..............................................................................................................................................................................
..............................................................................................................................................................................
Date by which information is required ............................................................................................................
Signed …………………………………………. Dated ................................................................................
On completion of this form it should be sent to the MEMBER CASEWORK OFFICER who will log the
request and refer it to the appropriate Officer for action.
-----------------------------------------------------------------------------------------------------------------------------------------------------
OFFICIAL USE:
Date Received
………………..………………... Received by
...........................................................................
Form Sent to:
........................................................................................................................................................ Confidential or (Part II) Information
YES
NO
Date information given or request refused
If request refused – reasons for refusal
...............................................................................................................
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
Completed by:
.....................................................................................................................................................
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GUIDANCE NOTE
Members will be required to use the Information Request forms when seeking the following:
Exempt (Part II) Cabinet/Committee etc reports and background papers (excluding
S.100F reports/papers)
Confidential or exempt information as defined within Schedule 12A of the Local
Government Act 1972 (amended)
Information which will require significant resources to provide
The form should
not be used to request :
•
information a Councillor should have received automatically by right but which due
to an oversight etc may not have done so
•
information which a member of the public would be entitled to inspect.
The Member should complete the form, retain the bottom copy and send the top two copies to the
Member Casework Officer who is based in the Corporate Office.
The Member Casework Officer will log receipt of the form; retain the second copy and send the top
copy as follows:
Information Requested
To whom form will be sent
All Requests for exempt (Part II) cabinet/committee
Committee and Member Services
reports and background papers (excluding S.100F
Section
reports/papers)
Other confidential and exempt information as
Appropriate Director/Head of
defined in the Local Government Act 1972
Service
Information which will require significant resources
Appropriate Director/Head of
to provide
Service
Councillors are legally entitled to information that they
reasonably need in order to assist them in
discharging their role as Members of the Council or a particular role to which they have been
appointed by the Council.
A Member is entitled to inspect any Council document if he/she can
show that he/she has a “Need to Know” in order to enable him/her properly to perform his/her
duties as a Member of the Council.
Members have a statutory right of access to documents containing exempt information as defined
within paragraphs 3 (other than information containing the terms of a proposed contract) and 6 of
Schedule 12A of the Local Government Act 1972 (amended) without needing to demonstrate a “Need
to Know”.
Members will not be allowed access to information relating to individual Housing Benefit cases other
than their own.
If Members have doubts as to their right of access to any information the appropriate Director,
Assistant Director (Democratic Services or the Director of Law and Corporate Governance should be
asked for advice.
Members who are granted access to confidential or exempt information must only use it in accordance
with the proper performance of their duties as Councillors. They must not divulge the information
received or use the information improperly. This includes other Members and/or Officers who do not
have an automatic right of access to that information.
(Further details about Members’ access to information are contained within the Local Code governing
relations between Members and Officers).
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Part 5.6 “WHISTLEBLOWING” POLICY AND
PROCEDURE
CONTENTS
1.
INTRODUCTION
2.
INDEPENDENT ADVICE
3.
WHAT IS MALPRACTICE, ABUSE OR WRONGDOING?
4.
THE COUNCIL’S ASSURANCES TO EMPLOYEES
5.
HOW TO RAISE A CONCERN
6.
HOW THE COUNCIL WILL HANDLE THE MATTER
7. ANONYMOUS
ALLEGATIONS
9.
HOW TO RAISE A CONCERN – EXTERNALLY
10.
REVIEW OF THIS POLICY
APPENDIX A - List of recognised Trade Unions
APPENDIX B - Illustrations of malpractice, abuse or
wrongdoing
APPENDIX C - Details of complaints procedure
APPENDIX D - List of external bodies
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“WHISTLEBLOWING” POLICY & PROCEDURE
1. Introduction
1.1
Slough Borough Council is committed to the highest possible standards of
openness, probity and accountability in the delivery of its services to the people
who live and work within the Borough. Whilst the authority has put in place a
wide range of rules, regulations, procedures and codes of practice to deliver
this commitment, malpractice and/or wrongdoing unfortunately may occur.
1.2
This policy applies to all the people that we deal with including:-
employees, trainees, agency staff, independent consultants, volunteers,
contractors, suppliers, elected and co-opted Members and members of
the public.
1.3
Employees are often the first to realise that there may be something seriously
wrong within the Council. However, you may be worried about raising such
issues or may want to keep the concerns to yourself because you may
consider that it is none of your business or that it is only a suspicion. You may
also feel that raising the matter would be disloyal to your colleagues, managers
or to the authority itself. Also, you may decide to say something but find that
you have not spoken to the right person, or you have raised the issue in the
wrong way and are not sure what to do next. It is worth remembering that your
Trade Union, professional organisation or regulatory body can play a valuable
role in assisting you raise your concerns under this policy.
1.4 The Council is not prepared to tolerate any such malpractice, abuse or
wrongdoing and it expects employees, and others that we deal with, who
have concerns about what is happening at work to come forward and voice
those concerns. This policy has been introduced by the Council to enable you
to raise your concerns about such malpractice or wrongdoing at an early
stage and in the right way, without fear of victimisation, subsequent
discrimination or disadvantage. The policy is intended to encourage and
enable you to raise concerns within the Council (see Paras. 5 & 8) or if you
feel that this is not appropriate then externally (see Para. 8) rather than
overlooking a problem.
1.5
The Council has particular responsibility for protecting the welfare of children
and vulnerable adults and employees are under an obligation to raise concerns
about the abuse of such clients.
1.6 This policy has been discussed with the relevant Trade Unions and
professional organisations and has their support.
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2. Independent Advice
2.1
If you are unsure whether to use this procedure or you want independent
advice at any stage you may contact:-
PUBLIC CONCERN AT WORK
Suite 306,
16 Baldwins Gardens,
LONDON, EC1N 7RJ.
Tel. No. 0207 404 6609
Public Concern at Work is a registered charity which promotes accountability
and good governance in organisations and responsibility amongst individuals.
It has been at the forefront of recent developments in self-regulation and public
interest Whistleblowing. Its lawyers can give you free, confidential advice at
any stage about how to raise a concern about serious wrongdoings or
malpractice at work.
2.2
Alternatively, you may wish to seek assistance from your Trade Union or
professional organisation. The contact points for recognised Trade Unions
within the Council are as set out in
Appendix “A”.
3. What is Malpractice, Abuse or Wrongdoing?
3.1
Malpractice, abuse and wrongdoing can include a whole variety of issues and
some are listed in
Appendix “B”. However, this is not a comprehensive list
but is intended to illustrate the sort of issues which may be raised under this
policy.
3.2
The procedures set out in this policy are an addition to the authority’s
Complaints Procedures and statutory reporting procedures applying to some
departments. Details of these are given in
Appendix “C”.
3.3
This policy is primarily for concerns where the interests of others or of the
Council itself are at risk and thus if you are aggrieved as an employee about
your personal position then you should use the Council’s existing Grievance
Procedure.
4. The Council’s Assurances to Employees
4.1
If you raise a genuine concern under this policy you will not be at risk of
losing your job or suffering any form of retribution as a result. If you are
acting in good faith it does not matter if you are mistaken. However, the
Council will view very seriously any false and malicious allegations which are
made under this policy and will regard such allegations by any employee of
the Council as a serious disciplinary offence.
4.2
The Council will not tolerate any harassment or victimisation (including informal
pressures) and will take appropriate action to protect you when you raise a
concern in good faith.
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4.3
If you ask us to protect your identity by keeping your confidence we will not
disclose it without your consent. However, it is possible that we will be unable
to resolve the concern raised without revealing your identity (e.g. because your
evidence is needed in Court) but if this occurs we will discuss with you how we
can proceed.
5. How to Raise a Concern
5.1
Any concerns that you have may be raised orally or in writing and those who
wish to make a written statement should set out the background and history of
the concern (giving relevant dates) and the reasons why you are particularly
concerned about the situation. The earlier you express your concern the
easier it will be to take action.
REMEMBER -
IF IN DOUBT RAISE IT.
5.2
The Council will not expect you to prove that your concern is true, but you will
need to demonstrate to the person contacted that there are reasonable
grounds for you to raise the issue.
5.3
It is perfectly acceptable for you to discuss your concern with a colleague and
you may find it more comforting to raise the matter if there are two (or more) of
you who have had the same experience or concerns.
5.4
If you are an employee and have a concern about any malpractice, abuse or
wrongdoing we hope you will feel able to raise it first with your Line Manager or
their superior. If you feel unable to raise the matter with your Line Manager or
their superior then please raise the matter with your Chief Officer.
5.5
If the above channels have been followed and you still have concerns or if you
feel that the matter is so serious that you cannot discuss it with your Line
Manager, their superior or your Chief Officer or you consider that it is not
appropriate to do so then you can contact one of the four Chief Officers who
have statutory responsibility for regulating the conduct of the Council and its
activities. See paragraph 5.6 below.
5.6
If you are not an employee then you can contact the Standards Committee or
one of the four Chief Officers who have statutory responsibility for regulating
the conduct of the Council and its activities. These are as follows:-
Standards Committee:
Responsible for Ethical Standards generally
throughout the Council.
Contact: Catherine Meek, Assistant Director
(Democratic Services), who will refer your
concern to the Committee.
Tel. No. (01753)-875011
Chief Executive:
Cheryl Coppell
Head of Paid Service - responsible for the
overall management and direction of the
Council and for ensuring that its services are
satisfactorily resourced.
Tel. No. (01753)-875000
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Strategic Director of
Steven Quayle
Law and Corporate
As Monitoring Officer responsible, amongst other
Governance:
things for maintaining the Council’s Constitution,
ensuring lawfulness and fairness in the Council’s
decision making and supporting the Standards
Committee.
Tel. No. (01753)-875004
Director of
Andrew Blake-Herbert
Finance and Property
The Council’s Section 151 Officer, responsible for
Services
financial management, external audit and financial
probity of the Council.
Tel. No. (01753)-875300
Director of
Dawn Warwick
Community and Cultural
Responsible for registering Authority functions
Services
under the Registered Homes Act 1984 and child
protection and vulnerable adults advice.
Tel. No. (01753)-875751
6. How the Council will handle the matter
6.1
Once you have told us of your concern we will look into it to assess initially what
action should be taken. This may involve an internal enquiry or a more formal
investigation. We will tell you who is handling the matter, how you can contact
him/her and whether your further assistance may be needed. If you request, we
will write to you summarising your concern and setting out how we propose to
handle it.
6.2
It may be necessary to arrange a meeting with you and if you so wish you can
be accompanied by a Trade Union representative or a work colleague.
6.3
Where it is considered appropriate, the matters raised may be referred to
external agencies to investigate, e.g. the Police, external auditor or through
some other form of independent inquiry. We will of course, tell you if this is
going to happen.
6.4
Within 10 working days of a concern being raised by you, the person handling
the matter will write to you:-
( a )
acknowledging that the concern has been received.
( b )
indicating how we propose to deal with the matter.
( c )
giving an estimate of how long it will take to provide a final response.
( d )
telling you whether any initial enquiries are being made.
( e )
supplying you with information on staff support mechanisms.
( f )
telling you whether further investigations will take place, and if not, why
not.
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6.5
Whilst the purpose of this policy is to enable us to investigate your concerns of
malpractice, abuse or wrongdoing and take appropriate steps to deal with it, we
will give you as much feedback as we properly can. Please note that we may
not be able to tell you the precise action we take where this would infringe a
duty of confidence owed by us to someone else.
6.6
The Council will take steps to minimise any difficulties which you may
experience as a result of raising the concern. Thus, if you are required to give
evidence in criminal or disciplinary proceedings the Council will arrange for you
to receive advice about the procedure.
7. Anonymous Allegations
7.1
You are encouraged to put your name to your allegation whenever possible.
7.2
Concerns expressed anonymously are much less powerful but will be considered
at the discretion of the Council. In exercising this discretion the factors to be
taken into account will include:-
( a ) the seriousness of the issues raised
( b ) the credibility of the concern
( c )
the likelihood of confirming the allegation from attributable sources.
7.3
If you do raise a concern anonymously and it is considered then it will not be
possible for you to be contacted, for instance to inform you of the outcome of
your concern or to discuss any aspect of your concern.
8. How to Raise a Concern - Externally
8.1
This policy is intended to provide you with an avenue within the authority to raise
concerns. Whilst we hope this policy gives you the reassurance you need to
raise such matters internally, we would rather you raised a matter externally
than not at all, provided you are acting in good faith and you have evidence to
back up your concern.
8.2
Thus, you are completely at liberty to raise any concern externally at any time
with any of the external agencies set out in Appendix “D”. The telephone
numbers are general contact numbers so you will need to explain the nature of
your concern and ask to be put through to the appropriate Department and/or
person.
8.3
These external agencies are aware of and have endorsed this policy.
9. Review of this Policy
9.1 This policy will be reviewed annually by the Council. The Responsible Officer for
the maintenance and operation of the policy is:
Strategic Director of Law and Corporate Governance (Monitoring Officer)
Slough Borough Council
Town Hall
Bath Road,
SLOUGH, SL1 3UQ. (Tel: (01753)-875004
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APPENDIX “A”
LIST OF RECOGNISED TRADE UNIONS
NAME OF UNION
ADDRESS
CONTACT POINT
G.M.B.
81 Kings Road
Paul Clarke
(Southern Region)
READING
RG1 3DD.
(Tel./Fax.0118-9594128)
Transport & General 89 Southampton Street
Bob Middleton
Workers Union
READING
Senior Regional
RG1 2QL.
Industrial Organiser
(Tel: 0118-9750777)
UNISON
Unison House
Philip Wood
(South East Region) 8 Church Street
READING
RG1 2SB.
(Tel: 0870 770 1112)
N.U.T.
14-16 Sussex Road
Philip Clarke
Haywards Heath
West Sussex
RH16 4EA
(Tel. 01444 152073)
N.A.S.U.W.T.
South East Regional Centre
Regional Officer
Milestone House
Portsmouth Road
Woking
Surrey
GU23 7JZ
(Tel: 01483 226130
A.T.L.
43 Leythe Road
Liz Bridges
London
W3 8AW
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APPENDIX “A”
LIST OF RECOGNISED TRADE UNIONS (continued)
NAME OF UNION
ADDRESS
CONTACT POINT
N.A.H.T.
1 Heath Square
Gareth Newbury
Boltro Road
Haywards Heath
West Sussex
RH16 1BL
(Tel: 01444 472472)
ASCL (Previously
Wexham School
J Richardson
S.H.A.)
Norway Drive
Slough
Sl2 5QP
(Tel. 01753 526797)
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APPENDIX “B”
ILLUSTRATIVE LIST OF MALPRACTICE, ABUSE OR WRONGDOING
1.
Any unlawful act, whether criminal (e.g. theft) or a breach of the civil law (e.g.
slander or libel).
2.
Maladministration (e.g. unjustified delay, incompetence, neglect advice).
3.
Breach of any statutory Code of Practice (e.g. National Code of Local
Government Conduct).
4.
Health and safety risks, including risks to the public as well as other employees
(e.g. faulty electrical equipment).
5.
Abuse of children and vulnerable adults (e.g. through physical, sexual,
psychological or financial abuse, exploitation or neglect).
6.
Damage to the environment (e.g. pollution).
7.
The unauthorised use of public funds (e.g. expenditure for improper purpose).
8.
Fraud and corruption (e.g. housing benefit fraud, to solicit or receive any
gift/reward as a bribe).
9.
Breach of the Member or Employee Code of Conduct.
10.
Abuse of power (e.g. bullying/harassment).
11.
Other unethical conduct.
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APPENDIX “C”
Details of Complaints Procedures
The Corporate Complaints Procedure is set out in detail in the Managers’ Handbook.
The contact officer is the
Corporate Complaints Officer who can be contacted on
01753 875244. It is recommended that if you have a complaint about any aspect of the Council’s
services that you should in the first instance contact the Corporate Complaints
Officer.
There are special procedures in relation to some of the services provided by the
Council, for instance in relation to Social Services has a Statutory Complaints
procedure, but the Corporate Complaints Officer will advise in instances where this
may apply.
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APPENDIX “D”
LIST OF EXTERNAL BODIES
NAME & ADDRESS
AREA OF CONCERN
Public Concern at Work
All matters of malpractice and/or
Suite 306,
wrong-doing.
16 Baldwins Gardens
LONDON, EC1N 7RJ.
(Tel. No. 0207 - 404 - 6609)
Mick West
Financial Probity
Relationship Manager and District Auditor
The Audit Commission
North Wing, Southern House,
Sparrowgrove, Otterbourne
Winchester
Hampshire
SO21 2RU
(Tel 01962 704600)
Local Government Ombudsman
Maladministration - causing injustice
The Commission for Local Administration in
to a member of the public.
England
The Oaks,
No. 2 Westwood Way
Westwood Business Park
COVENTRY, CV4 8JB.
(Tel. No. –024 7682 0000)
Thames Valley Police
Breach of the Criminal Law
Windsor Road
SLOUGH, Berkshire.
(Tel. No. 0845 8505505) or
CRIMESTOPPERS Tel. (0800) -555111
Headquarters: Fraud Squad
Fraud and Public Sector Corruption
Thames Valley Police
c/o Windsor Road
Slough
Berkshire
(Tel. No. –0845 8505505)
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APPENDIX “D”
LIST OF EXTERNAL BODIES
NAME & ADDRESS
AREA OF CONCERN
The Health & Safety Executive
Health & Safety dangers.
Priestley House
Priestley Road
Basingstoke, Hants.
(Tel. No. –0845 3450055)
The Environment Agency
Environmental dangers.
Thames Regional Office
Kings Meadow House
Kings Meadow Road
Reading, RG1 8DQ.
(Tel : General Enquiries :
08708
506506
Hazardous Waste Registration :
08708 502 858
Agricultural Waste Registration :
0845
6033113
Floodline : 0845 988 1188
Incident Hotline : 0800 807060
Commissioner for Social Care Inspection
Poor care practice/abuse in
1015 Arlington Business Park
registered establishments,
Theale
including care homes.
Reading
RG7 4SA
(Tel: 0118 903 3230)
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Part 5.7
Monitoring Officer
Protocol
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361
SLOUGH BOROUGH COUNCIL
MONITORING OFFICER PROTOCOL
1.
Introduction
1.1
Section 5 of the Local Government and Housing Act 1989 (the 1989 Act) requires
local authorities to appoint a Monitoring Officer. This protocol provides some
general information on the statutory role the Monitoring Officer undertakes and how
the functions will be discharged within Slough Borough Council.
1.2
A summary list of the Monitoring Officer’s functions appear in Appendix A to this
protocol. The Monitoring Officer’s ability to discharge these responsibilities will
depend, to a large extent, on Members and Officers:-
(a)
complying with statute and common law (including any relevant Codes of
Conduct which form part of the Ethical Framework Section of the Council’s
Constitution).
(b)
complying with any statutory guidance and other guidance/advice issued by
the Standards Committee and the Monitoring Officer from time to time.
(c)
not doing anything that would bring the Council or their offices into disrepute.
(d)
making lawful and proportionate/reasonable decisions.
1.3
The role of the Monitoring Officer within the Council rests with Mr S M Quayle the
Strategic Director of Law and Corporate Governance. He has appointed the
Assistant Director (Legal and Valuation Services) as the Deputy Monitoring Officer
who will perform the functions of the Monitoring Officer where he is unable to act.
1.4
The Monitoring Officer undertakes to discharge the responsibilities outlined in this
protocol with determination and fairness and in a manner which will enhance the
reputation of the Council. He is assisted from time to time by staff within Legal
Services and Committee and Member Services but the responsibility of discharging
the functions is a personal one. In general terms his ability to discharge his duties
depends on good working relations with Members and Officer colleagues,
particularly Chief Officers, and also access to information and debate during the
decision making process.
1.5
The term ‘Chief Officer’ in this protocol means the members of the Corporate
Management Team (‘CMT’) which includes the Head of Paid Service (the Chief
Executive) and the Chief Financial Officer (the Director of Finance and Property).
2.
Working Arrangements/Understandings
2.1
The following arrangements and understandings between the Monitoring Officer,
Members and Chief Officers are designed to help ensure the effective discharge of
the Council’s statutory powers and duties.
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(a)
Appointment of Deputy – The Monitoring Officer will appoint a Deputy and keep
him/her briefed on any relevant issues that s/he may be required to deal with where
he is unable to act.
(b)
Resources – The Monitoring Officer will make a report to the Council from time to
time on the staff, accommodation and resources required to discharge his functions.
(c)
Counsel’s Opinion – Where the Monitoring Officer requires specialist advice on
any matter concerning his statutory responsibilities he will seek Counsel’s Opinion
and must have control of a budget to enable him to do so.
(d)
Training – The Monitoring Officer is responsible for preparing and implementing a
training programme for Members on the Council’s ethical framework subject to the
approval of the Standards Committee.
(e)
Registers – The Monitoring Officer will compile and maintain the Council’s
Registers for Members’ Interests and Gifts and Hospitality (offered and received).
(f)
The Council’s Constitution – The Monitoring Officer will monitor and review the
operation of the Constitution in consultation with the Head of Paid Service and the
Chief Financial Officer where appropriate to ensure that the aims and principles of
the Constitution are given full effect.
(g)
General
Advice – The Monitoring Officer will give general advice on the
interpretation and application of the Council’s Constitution to Members and Officers
alike (i.e. responsibility for functions, procedural rules, codes and protocols and
member allowances scheme).
(h)
Lawfulness
etc – Members and Chief Officers must alert the Monitoring Officer to
all emerging issues that may become a concern to the Council e.g. lawfulness (ultra
vires), probity, procedural or other constitutional matters and give advance notice of
meetings (whether formal or informal) where these issues are likely to arise.
(i)
Attendance at meetings – The Monitoring Officer will have the right to attend and
be heard at any meeting of the Council (including CMT) before any binding decision
is taken (including a decision not to take action).
(j)
External
Relations – The Monitoring Officer will develop good and effective
working relations with the Standards Board for England, the Audit
Commission/District Audit, the Local Government Ombudsman and the Clerks to
the three Parish Councils within the Borough (including the giving and receiving of
relevant information whether confidential or otherwise).
(k)
Internal
Relations – The Monitoring Officer will have a special relationship of
mutual trust and respect with the Mayor, Deputy Mayor and the Chairs of the
Cabinet, Standards, Regulatory and Overview and Scrutiny Committees with a view
to ensuring the effective and efficient discharge of the Council’s functions.
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(l)
Complaints/Investigations – The Monitoring Officer will
• receive and act on reports made by Ethical Standards Officers and decisions of
the Case Tribunal.
• will conduct investigations into matters referred by Ethical Standards Officers
and make reports or recommendations in respect of them to the Standards
Committee.
• be expected to make enquiries into allegations of misconduct in the absence of
a written complaint being received by the Standards Board for England and if
appropriate will make a written report to the Standards Committee unless he and
the Chair of the Standards Committee agree a report is not warranted.
• have unqualified access to any information held by the Council and to any
Officer who can assist in the discharge of his functions when carrying out any
investigation.
(m)
Deferral of Report – in consultation with the Mayor of the Council and the
Standards Board for England the Monitoring Officer may defer the making of a
formal report under Section 5 of the 1989 Act where another investigative body is
involved.
(n)
The Statutory Officers – the Monitoring Officer will meet with the Head of Paid
Service and the Chief Finance Officer to consider and recommend action in
connection with corporate governance issues and other matters of concern
regarding any legal, ethical standards, probity, propriety, procedural or other
constitutional issues that are likely to (or do) arise.
(o)
Maladministration - Chief Officers must consult the Monitoring Officer prior to
making any compensation payments for alleged or actual maladministration found
against the Council.
2.2 To ensure the effective and efficient discharge of the above working
arrangements/understandings Members and Chief Officers will report any breach of
statutory duty or material breach of Council policy/procedures and other vires or
constitutional concerns to the Monitoring Officer as soon as practicable.
2.3
The Chief Officers agree to inform and explain the terms of this protocol to their
senior managers so that they understand the issues highlighted in paragraph 2.1
above and report concerns accordingly.
2.4
The Chief Financial Officer will ensure that adequate insurance and indemnity
arrangements are in place to protect and safeguard the interests of the Council and
the proper discharge of the Monitoring Officer’s role.
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3.
Breach of the Local Code of Conduct for Members and this Protocol
3.1 Complaints against any breach of the Council’s Local Code of Conduct for
Members must be referred to the Standards Board for England, which could lead, in
serious cases, to the disqualification of a Member. Complaints against any breach
of this protocol by a Member will be referred to the Standards Committee and to the
relevant Leader and/or the Political Party Group Whip.
3.2
Complaints against any breach of this protocol by an Officer may be referred to the
relevant Chief Officer and/or the Chief Executive.
4.
Approval of this Protocol
4.1
This Monitoring Officer protocol was approved by the Standards Committee at its
meeting on 27th November 2003.
4.2
The Council adopted the protocol at its meeting on 16th December 2003.
Dated 17th December 2003
Steven Quayle, Strategic Director of Law
and
Corporate
Governance
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APPENDIX A
SUMMARY OF MONITORING OFFICER FUNCTIONS
Description
Key Source
1.
Appointment of Deputy
Section 5 1989 Act
2.
Report on resources
Section 5 1989 Act
3.
Establish and maintain Registers of Members’ Section 81 LGA 2000 and Local
Interests and Gifts and Hospitality
Code of Conduct
4.
Advice to Members and Officers on the
Article 11, SBC Constitution
interpretation and application of the
Constitution
5.
Receive copies of whistleblowing allegations
Article 11, SBC Constitution
of misconduct
6.
Key role in promoting and maintaining high
Statutory Guidance paragraph
standards of conduct through support to the
8.20
Standards Committee
7.
Advice on vires issues, maladministration,
DETR guidance
financial impropriety, probity and policy
framework and budget issues to all Members.
8.
Report on contraventions or likely
Section 5 1989 Act
contraventions of any enactment or rule of
law
9.
Report on any maladministration or injustice
Section 5 1989 Act
where Ombudsman has carried out an
investigation
10.
Liaison with Standards Board for England and Section 66 LGA 2000
Ethical Standards Officers
11.
Investigate misconduct in compliance with
Section 66 (1) + (6) LGA 2000
Regulations (when made) and directions of
and Regulations made
Ethical Standards Officers
thereunder
12.
New ethical framework functions in relation to Section 83(12) LGA 2000
Parish Councils.
13.
Compensation for maladministration
Section 92 LGA 2000
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Part 5.8
Guidance on Gifts
and Hospitality
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367
GUIDANCE FOR MEMBERS ON GIFTS AND HOSPITALITY
1. Introduction
1.1 The acceptance of gifts and hospitality by Members is not merely an
administrative issue. It reflects directly upon the perception of Members and
of the Council as acting in the public interest or as acting for the personal
advantage of friends and for what personal benefit Members can get out of
their position.
1.2
The law on the acceptance of gifts and hospitality is set out in the Authority’s
Local Code of Conduct for Members (the Code) adopted on 23rd April 2002
and in the Prevention of Corruption Acts 1889 - 1916. Acceptance of a gift or
hospitality in breach of the Code, or failure to declare an offer or receipt of a
gift or such hospitality, can lead to disqualification from holding any public
office for a period of up to five years. Corrupt acceptance of a gift or
hospitality can lead to a heavy fine or up to 7 years’ imprisonment.
1.3
This guidance sets out:
(a)
the principles which you should apply whenever you have to decide
whether it would be proper to accept any gift or hospitality.
(b)
a procedure for obtaining consent to accept a gift or hospitality, when
you consider that it would be proper to accept it.
(c)
a procedure for declaring any gift or hospitality which you receive and
for accounting for any gift to the Council.
1.4
This guidance does not apply to the acceptance of any facilities or hospitality
which may be provided to you by the Council. The guidance is to be read in
conjunction with the Code and Members are advised to seek advice if they are
unsure of their position from June Cook, Member Services Manager or the
Monitoring Officer.
2. Definitions
2.1
“Gift or hospitality” includes any of the following:-
(a)
the free gift of any goods or services
(b)
the opportunity to acquire any goods or services at a discount or on
terms which are more advantageous than those which are available to
the general public
(c)
the opportunity to obtain any goods or services which are not available
to the general public
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(d)
the offer of food, drink, accommodation or entertainment, or the
opportunity to attend any cultural, sporting or entertainment event.
2.2
Reference to the “value” or “cost” of any gift or hospitality are references to the
higher of:
(a)
your estimate of the cost to the person or organisation of providing the
gift or consideration
(b)
the open market price which a member of the public would have to pay
for the gift or hospitality, if it were made available commercially to the
public, less the cash sum of any contribution which you would be
required to make toward that price to the person or organisation
providing or offering the gift or hospitality.
3. General
Principles
3.1
In deciding whether it is proper to accept any gift or hospitality, you should
apply the following principles. Even if the gift or hospitality comes within one
of the general consents set out below you should not accept it if to do so
would be in breach of one or more of these principles:
(a)
Never accept a gift or hospitality as an inducement or reward for
anything you do as a Member
As a Member you must act in the public interest and must not be
swayed in the discharge of your duties by the offer, prospect of an offer,
or the non-offer of any inducement or reward for discharging those
duties in a particular manner.
The Public Bodies (Corrupt Offences) Act 1889 provides that if you
accept any gift, loan, fee, reward or advantage whatsoever as an
inducement to or reward for doing or forbearing to do anything in
respect of any matter or transaction in which the Council is concerned,
you commit a criminal offence carrying a maximum term of
imprisonment of 7 years.
Further, the Authority’s Code provides that you must act in the public
interest, serving the Council and the whole community, rather than
acting in the interests of any particular individual or section of the
community, and that it is a breach of the Code improperly to confer any
advantage or disadvantage on any person, including yourself.
(b) You should only accept a gift or hospitality if there is a
commensurate benefit to the Council
The only proper reason for accepting any gift or hospitality is that there
is a commensurate benefit for the Authority which would not have been
available but for the acceptance of that gift or hospitality.
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Acceptance of hospitality can confer an advantage on the Council such
as an opportunity to progress the business of the Authority
expeditiously through a working lunch, or to canvass the interests of the
Council and its area at a meeting. Acceptance of a gift is much less
likely to confer such an advantage. Unless the benefit to the Authority
is clear, and is commensurate with the value of the gift or hospitality,
the presumption must be that the gift or hospitality is purely for your
personal benefit.
As set out above, the Council’s Code provides that you must not
improperly confer any advantage on anyone, including yourself.
Acceptance as a Member of a gift or hospitality for your own benefit or
advantage, rather than for the benefit to the Council would be a breach
of the Code.
(c)
Never accept a gift or hospitality if acceptance might be open to
misinterpretation
The appearance of impropriety can be just as damaging to the Council
and to you as a Member as actual impropriety. The Authority’s ability to
govern rests upon its reputation for acting fairly and in the public
interest. You must therefore consider whether the acceptance of the
gift or hospitality is capable of being interpreted as a sign that you or
the Council favours any particular person, company or section of the
community or as placing you under any improper obligation to any
person or organisation. If there is any possibility that it might be so
interpreted, you must either refuse the gift or hospitality or take
appropriate steps to ensure that such a misunderstanding cannot arise.
Certain occasions are particularly sensitive and require the avoidance
of any opportunity for such misunderstanding. These include:
(i)
occasions when the Council is going through a competitive
procurement process in respect of any indication of favour for a
particular tenderer.
(ii) determinations
of
planning applications or planning policy or the
authorisation of enforcement action in respect of any person or
organisation which stands to gain or lose from the determination.
(iii)
funding decisions, when the Authority is determining a grant
application by any person or organisation.
(d)
Never accept a gift or hospitality which puts you under an
improper obligation
It is to be recognised that some commercial organisations and private
individuals see the provision of gifts and hospitality as a means of
buying influence. If you accept a gift or hospitality improperly, it is
possible that they may seek to use this fact to persuade you to
determine an issue in their favour. Equally, if others note that you have
been prepared to accept a gift or hospitality improperly, they may feel
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370
that they will no longer be able to secure impartial consideration from
the council.
(e)
Never solicit a gift or hospitality
You must never solicit or invite an offer of a gift or hospitality in
connection with your position as a Member unless the acceptance of
that gift or hospitality would be permitted by this guidance (see Para 4
below). You should also take care to avoid giving any indication that
you might be open to such any improper offer.
4. Consent
Regimes
4.1
General consent provisions
For clarity, the Council has agreed that you may accept gifts and hospitality in
the following circumstances:
(a)
civic hospitality provided by another public authority
(b)
modest refreshment in connection with any meeting in the ordinary
course of your work, such as tea, coffee, soft drinks and biscuits
(c)
tickets for sporting, cultural and entertainment events which are
sponsored by the Council
(d)
small gifts of low intrinsic value below £25, branded with the name of
the company or organisation making the gift, such as pens, pencils,
mouse pads, calendars and diaries. However, you should take care not
to display any such branded items when this might be taken as an
indication of favour to a particular supplier or contractor, for example in
the course of a procurement exercise
(e)
a modest alcoholic or soft drink on the occasion of an accidental social
meeting (e.g. in a public house, café or bar), such as a pint of beer from
an employee of a contractor or party with whom you have done
business on behalf of the Authority. In such cases, you should make
reasonable efforts to return the offer where this is practicable
(f)
a modest working lunch not exceeding £10 a head in the course of a
meeting in the offices of a party with whom the Council has an existing
business connection where this is required in order to facilitate the
conduct of that business. Members should not make such
arrangements themselves, but request officers to settle the detailed
arrangements, and officers are under instruction, when arranging any
such meeting to make it clear to the other party that such a lunch must
not exceed a value of £10 a head
(g)
modest souvenir gifts with a value below £25 from another public
authority given on the occasion of a visit by or to that Authority
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(h)
hospitality received in the course of an external visit or meeting which
has been duly authorised by the Council. Members should not make
such arrangements themselves, but request officers to settle the
detailed arrangements, and officers are under instruction to make it
clear that any such hospitality for Members and officers is to be no
more than commensurate with the nature of the visit
(i)
other unsolicited gifts, where it is impracticable to return them to the
person or organisation making the gift, provided that the Member deals
with the gift strictly in accordance with the following procedure:-
• The Member must, as soon as practicable after the receipt of the
gift, pass it to the Secretary to the Mayor of the Council together
with a written statement identifying the information set out in
Paragraphs 4.2 below
• The Secretary will then write to the person or organisation making
the gift thanking them on your behalf for the gift and informing them
that you have donated the gift to the Mayor’s Charity on whose
behalf it will be raffled or otherwise disposed of in due course, the
proceeds being devoted to a charitable cause chosen by the Mayor.
4.2
Special Consent Procedure
If you wish to accept any gift or hospitality which is in accordance with the
General Principles set out in Paragraph 3 above but is not within any of the
general consents set out in Paragraph 4.1, you may only do so if you have
previously obtained specific consent in accordance with the following
procedure:
You must make an application in writing to the Monitoring Officer, setting out:-
(a)
the nature and your estimate of the market value of the gift or hospitality
(b)
who the invitation or offer has been made by or on behalf of
(c)
the connection which you have with the person or organisation making
the offer or invitation, such as any work which you have undertaken for
the authority in which they have been involved
(d)
any work, permission, concession or facility which you are aware that
the person or organisation making the offer or invitation may seek from
the Council
(e)
any special circumstances which lead you to believe that acceptance of
the gift or hospitality will not be improper
You must not accept the gift or hospitality until you have received the
appropriate consent.
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The Monitoring Officer will enter details of any approval in a register which will
be available for public inspection. But note that this does not relieve you of the
obligation to register the receipt of gifts and hospitality in accordance with
Paragraph 5 below.
5. Reporting
5.1
Where you accept any gift or hospitality which you estimate to have a market
value or cost of provision of £25 or more, you must, as soon as possible after
receipt of the gift or hospitality, make a declaration in writing to the Monitoring
Officer setting out the information set out in Paragraph 4.2 above. A form for
this purpose is attached to this guidance but you can send the same
information by any convenient means. The Monitoring Officer will retain a
copy of any such declaration in a register which will be available for public
inspection.
5.2
Even if the value of the gift or hospitality is less than £25, if you are concerned
that its acceptance might be misinterpreted, and particularly where it comes
from a contractor or tenderer, you may make a voluntary declaration in the
same manner to ensure that there is nothing secret or underhand about the
gift or hospitality.
6.
Gifts to the Council
6.1
Gifts to the Council may take the form of the provision of:-
(a) land
(b) goods
(c) services (either to keep or to test with a view to future acquisition)
(d) an offer to carry out works
(e) sponsorship of a function which is organised or supported by the council.
6.2
You should not solicit any such gift on behalf of the Authority except where the
Council has formally identified the opportunity for participation by an external
party and how that participation is to be secured, for example in relation to
sponsorship of public musical and theatrical performances and developers’
contributions under Section 106 Agreements.
6.3
If you receive such an offer on behalf of the Council, you must report the offer
directly to the Monitoring Officer who will refer the issue to the Officer who has
delegated authority to consider/accept the gift. The relevant Officer will then
write back to the person or organisation making the offer, to record the
acceptance or non-acceptance of the gift, record the gift for audit purposes
and ensure that the gift is properly applied for the benefit of the Authority. If
you have any concerns about the motives of the person or organisation
making the offer, or whether it would be proper for the Authority to accept the
gift, you should consult the Monitoring Officer directly.
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To:
The Monitoring Officer
Declaration of Receipt of Gifts or Hospitality
Name of Member
Post
Ward
What was the gift or hospitality?
What is your best estimate of its market
value or cost?
Who provided it?
When and where did you receive it?
Does it come within one of the general
consents set out in the Guidance for
Members? If so, which?
Did you get the consent of any officer
before accepting it? If so, who?
Were there any special circumstances
justifying acceptance of this gift or
hospitality?
Do you have any contact in your job with
the person or organisation providing the
gift or hospitality?
Signed
Date
N.B. This declaration includes any offer of any gift or hospitality which objectively
might be intended to influence the Member (See para 15.6 of the Code)
Part 5 – 5.8 Guidance on Gifts and Hospitality
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Part 5.9
Anti Fraud and
Corruption
Strategy and
Policy
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375
INTRODUCTION
1.
The Council exists to deliver high-quality services to the people of
Slough, and to work in partnership with others to improve the quality of
life for those who live and work in Slough.
2.
A vital component of high-quality services is value for money which, in
turn, demands that the Council take all possible and practical steps to
minimise the risk and effect of fraud and corruption.
The Audit Commission defines fraud as
The intentional distortion of financial statements or other records by persons
internal or external to the organisation which is carried out to conceal the
misappropriation of assets or otherwise for gain.
The Audit Commission defines corruption as
The offering, giving, soliciting or acceptance of an inducement or reward
which may influence the action of any person. 3.
The Council is committed to an effective Anti-Fraud and Corruption
Strategy and Policy. The Strategy and Policy has been designed to
encourage prevention, promote detection and identify a clear pathway
for investigation of fraud and/or corruption.
4.
The Council requires all Members and employees at all levels to lead
by example in ensuring adherence to legal requirements, rules,
procedures and practices.
5.
The Council also requires all individuals and organisations (e.g.
suppliers, contractors, agents and partners) that it comes into contact
with, to act towards the Council with integrity and without thought or
actions involving fraud and/or corruption.
6.
The Strategy and Policy is based on a series of comprehensive and
inter-related procedures designed to frustrate any attempted fraudulent
or corrupt act. These cover:-
• Culture,
• Prevention,
•
Detection and Investigation and
• Training.
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7.
The Council has in place a number of methods to scrutinise its affairs
including:-
• Overview and Scrutiny Committee and its Panels,
• Other Committees such as the Licensing Committee or the
Planning Committee, Audit Advisory Panel,
• Corporate Management Team,
• the Council’s statutory Section 151 Officer, the Director of Finance
and Property
• the Council’s statutory Monitoring Officer, the Strategic Director of
Law and Corporate Governance
• the Internal Audit Team,
• Whistleblowing procedures under the Public Information and
Disclosure Act and
• All managers, who have a duty to ensure that there are adequate
and effective controls in place for systems for which they are
responsible.
8.
The Council is also aware of the high degree of external scrutiny of its
affairs by a variety of bodies and people including:-
• Local Government Ombudsman,
• Audit Commission, through their audit, CPA, performance indicator
and grant certification work,
• Public/Council Tax Payers through the Inspection of Annual
Accounts and statutory Annual Reports,
• Public/Service Users through the Council’s Complaints Procedures
• Central Government Departments and Parliamentary Committees,
• HM Customs and Excise,
• Inland
Revenue,
• Department of Work and Pensions for example Contributions
Agency,
• the Investigation Unit, with the Housing and Neighbourhood
Services Department and
• OFSTED, SSI and other inspection agencies
9.
The Council will maintain the Constitution which includes guidance,
codes of conduct and procedure rules aimed at ensuring its policies
and objectives are achieved in a proper and fair manner.
10.
The Council requires that all Members and employees will comply with
the Constitution including the guidance, codes of conduct and
Procedure Rules.
11. All cases of fraud and corruption will be treated equally without
discrimination of any sort.
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12.
In cases of fraud and corruption the Council will take disciplinary action
against Members and employees in accordance with the relevant
codes of conduct/disciplinary codes.
13.
In cases where the Council has no jurisdiction to act, matters will be
referred to other competent authorities such as the Police or the
Standards Board for England.
14.
The authority acknowledges that the other competent authorities may
make the decisions as to when and how far to prosecute matters
referred to them and in particular the Crown Prosecution Service will
make the ultimate decision whether to proceed with a prosecution in
relation to criminal matters. However, in those cases where the
Council can act as Prosecution Authority the authority will prosecute
where the case meets the criteria set out in advice issued by the Home
Office, currently set out in Home Office Circular 26/1983.
CULTURE OF THE COUNCIL
15.
The Council is determined that the culture and tone of the organisation
portrays openness and honesty and opposes fraud and corruption.
16.
The Council expects that all individuals and organisations with which it
is associated will act with integrity and that its Members and
employees, at all levels, will lead by example in these matters.
17.
The Council recognises that its Members and employees play an
important role in its stance on fraud and corruption and they are
positively encouraged to raise any concerns that they may have. Any
concerns will be treated in confidence and will be properly investigated
and dealt with fairly.
18.
Financial Procedure Rules require employees to contact their Chief
Officer immediately concerning any financial irregularity. This may be
done through your line manager or their superior who has a duty to
report this to their Chief Officer. In turn, the Chief Officer will involve
the legal, finance, internal audit and the Chief Executive functions as
appropriate. Consistent with this, employees concerned about fraud
and corruption should contact:-
• their Chief Officer
• the Director of Finance and Property
• the Strategic Director of Law and Corporate Governance
• the Chief Executive
• the Chief Internal Auditor
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Members should contact
• the appropriate departmental Chief Officer or
• the Chief Executive.
19.
Senior Managers are responsible for dealing with any allegation of
fraud or corruption promptly and fairly. Managers should
• record all evidence received,
• ensure that all evidence is sound and adequately supported,
• ensure all evidence is held securely,
• ensure that their Chief Officer is informed and
• contact the Chief Internal Auditor to agree how to proceed on a
case by case basis.
20. To encourage employees and others to come forward with any concerns
without fear, the Council has endorsed a ‘Whistleblowing’ policy under
the Public Information and Disclosure Act. This Policy explains how
you make contact and what actions will follow. It also gives details of
independent bodies outside the Council to whom concerns can be
addressed if this is necessary. The Policy also provides that the
identity of persons who bring matters of concern to the attention of the
Council will not be disclosed without consent. The detailed policy is set
out in the Council’s Constitution.
21. Customers and members of the public have the option of contacting:-
• their Ward Councillor,
• the Council’s Monitoring Officer (the Strategic Director of Law and
Corporate Governance)
• the Chief Officer in charge of the appropriate Department,
• the Council’s External Auditor (the Audit Commission),or
• using the Council’s Complaints Procedure as set out in the
Managers Handbook and administered through the Chief
Executive’s Office.
22. Anonymous letters and telephone messages
may be investigated -
where investigations are not made, reasons will be recorded.
23. There is also a need to ensure that any investigation process is not
misused and, therefore, any abuse such as raising unfounded malicious
allegations will be dealt with appropriately (e.g. through the Council’s
disciplinary procedure in the case of employees or provisions provided
for in the Codes of Conduct for Members). Any misuse of the Council’s
Whistleblowing process will also be dealt with appropriately.
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PREVENTION
EMPLOYEES
24. The Council recognises that its employees are its most important
resource and given their role in actions and decisions, great importance
is attached to recruitment to ensure that the best people are appointed.
25. In accordance with the Council’s Recruitment and Selection Procedure,
Interview Panels and / or Managers must take all available steps to
obtain references in order to verify the suitability, honesty and integrity of
permanent, temporary and agency / contract staff.
26. All employees of the Council are expected to abide by the Council’s
Employees’ Code of Conduct, the terms and conditions of their
employment and any code of conduct related to the professional bodies
of which they are members.
27. The role that appropriate employees are expected to play in the
Council’s framework of internal control, including fraud and corruption
will feature in employee induction and subsequent training and
development programmes.
28. Employees are reminded that under the Council’s Constitution they must
operate within Section 117 of the Local Government Act 1972, regarding
the disclosure of pecuniary interests in contracts relating to the Council
and that the Constitution and the Employee Code of Conduct strictly
limits acceptance of any fees or rewards over and above their proper
remuneration.
29. These requirements are set out in the Council’s Employee Code of
Conduct and in more specific operational codes for example the
Contract Procedure Rules.
MEMBERS OF THE COUNCIL
30. Members have a duty to be fair, honest and open in their role and are
required to operate within:-
• The Nolan Principles of Good Governance
• Government
legislation,
• Local Code of Conduct for Members,
• The Council’s Constitution and in particular the Ethical Framework
and
• The Member/Officer Protocol.
31.
All Members are required to register any financial and other interests
they
may have. Those interests which must be registered are set out in
Paragraphs 14.1 and 14.2 of the Local Code of Conduct for Members.
In addition to these interests a Member must regard him/herself as
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having a personal interest if a decision upon a matter might reasonably
be regarded as affecting to a greater extent than other Council tax
payers, rate payers, or inhabitants of the Borough, the wellbeing or
financial position of the Member, a relative or friend. In these
circumstances if the Member attends a meeting of the Council at which
the matter is considered, s/he must disclose at that meeting the
existence and nature of that interest before the matter is considered, or
when the interest becomes apparent. Having a personal interest does
not in itself require a Member to cease to participate in the decision
making process. It is only if the personal interest is also prejudicial
should the Member withdraw from the room the meeting is held as
soon as it becomes apparent that the matter is being considered
(unless s/he has obtained a dispensation from the authority’s
Standards Committee); not exercise executive functions in relation to
the matter or seek to improperly influence a decision on the matter.
More detailed guidance on this is contained in the Local Code of
Conduct for Members.
32.
These matters and other guidance are specifically brought to the
attention of newly elected/appointed Members as part of their Induction
Programme and are also set out in the Member’s Handbook which
each Member receives.
SYSTEMS AND INTERNAL CONTROL
33.
The Council’s Constitution and Financial Procedure Rules provide a
best practice framework to protect Members and employees when
dealing with its business.
34.
These stipulate not only the way in which Council meetings are run and
decisions made but also how value for money is to be achieved and the
controls necessary for ensuring that the Council’s finances are
administered in a correct and proper manner.
35.
The Director of Finance and Property has a statutory responsibility
under Section 151 of the Local Government Act 1972 to ensure the
proper arrangements of the Council’s financial affairs and is supported
by the work of the Internal Audit Team in evaluating the adequacy and
effectiveness of internal controls.
36.
Internal controls prevent, deter, identify and limit the extent of fraud and
corruption. Weaknesses in internal controls identified by either internal
or external audit will be reported to the relevant manager and the
Director of Finance and Property
COMBINING WITH OTHERS
37.
Arrangements are in place to develop and encourage the exchange of
information between the Council and other agencies on national and
local fraud and corruption activity in relation to Local Authorities.
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38.
With the rapid increase in recent years of frauds perpetrated against a
variety of Local Authorities and Benefits Agencies, which usually
include fraudsters having multi-identities and addresses, the necessity
to liaise between organisations has become paramount, and some of
these include:-
• The Department for Work and Pensions,
• The Benefits Agency,
• Audit Commission,
• Berkshire Financial Officers Group ,
• Berkshire Audit Group,
• London Audit Groups and
• The National Anti-Fraud Network
This liaison may include exchange of data for data matching purposes,
within the scope of the Data Protection Act.
DETECTION AND INVESTIGATION
39.
The range of preventative systems (particularly internal controls) do not
guarantee that there will be no fraudulent or corrupt activity within the
Council.
40.
Whilst it is the responsibility of Chief Officers and their managers to
prevent and detect fraud and corruption, it is often the alertness of
Members, employees and the public that enables detection to occur
and the appropriate action to take place when there is evidence that
fraud or corruption may be in progress.
41.
Despite the best efforts of managers and auditors, many frauds are
discovered by chance or by “information passed on” and the Council
has in place arrangements to enable such information to be properly
dealt with.
42. The Council’s Financial Procedure Rules require all employees to
report all suspected irregularities to their Chief Officer, who should then
inform officers from the legal, finance and internal audit functions and
the Chief Executive as necessary.
43.
Investigation of allegations of fraud and corruption is the responsibility
of management who will normally be assisted by the Internal Audit
Team or the Investigation Unit as appropriate.
44.
Reporting is essential to the anti-fraud and corruption strategy and
ensures:-
• the consistent treatment of information regarding fraud and
corruption,
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• the proper implementation of a fraud response investigation plan,
• the optimum protection of the Council’s interests.
45.
Details of the process for reporting are contained in the Employees
Code of Conduct and the Whistleblowing Policy. The Chief Internal
Auditor will report in his annual report on fraud and Corruption
TRAINING
46.
The Council recognises that the continuing success of its anti-fraud and
corruption strategy and its general credibility will depend largely on the
effectiveness of programmed training and responsiveness of Members
and employees throughout the organisation.
47. To facilitate this, the Council provides induction and training for
Members and employees to ensure that their responsibilities and duties
are regularly highlighted and reinforced.
CONCLUSION
48.
The Council will maintain a clear network of systems and procedures to
• minimise the risk of fraud and corruption,
• detect fraud and corruption by testing internal controls and
responding to whistleblowers
• investigate all instances where fraud and corruption is suspected
• ensure Members and employees are trained in relation to fraud and
corruption
49.
The Council will maintain a continuous overview of these arrangements
to keep pace with any future developments, in both preventative and
detection techniques, regarding fraudulent or corrupt activity that may
effect its operation or related responsibilities.
50.
Individual managers are responsible for ensuring that controls are
maintained within their areas of responsibility, which are sufficient to
detect and prevent fraud. The Director of Finance and Property is
responsible for ensuring the systems and controls are audited and the
Council will ensure that every possible support is given to enable these
responsibilities to be fulfilled.
51.
This policy statement will be subject to continual review and
arrangements will be put in place to ensure effective training and
communication.
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WHERE TO FIND THE DOCUMENTS REFERRED TO IN THIS STATEMENT
ON THE COUNCILS APPROACH TO COMBATING FRAUD AND
CORRUPTION
If you do not have a copy of these documents and wish to read or refer to them
please talk with your line manager, departmental personnel section, Trades
Union representative or Chief Officer in the first instance. Members may wish to
contact the Committee and Members Services Section direct. If you still cannot
get a copy of the document you require, the people listed below will be able to
help you. The telephone numbers given here are internal extension numbers.
If you are calling from outside the Council please add 87 before the extension
number.
Document Title
Obtainable from
Member’s Handbook
Member Services Manager,
X 5019
Council Constitution including Financial
Assistant Director
Procedure Rules, the Local Code of Conduct for
(Democratic Services)
Members and Employee Code of Conduct
X 5011
Whistleblowing Policy
Strategic Director of Law and
Corporate Governance
X 5004
Public Information and Disclosure Act 1998
Strategic Director of Law and
Corporate Governance
X 5004
Recruitment and Selection Procedures
Strategic Director of Human
Resources X 5079
Local Government Act 1972
Strategic Director of Law and
Corporate Governance
X 5004
Complaints Procedure
Complaints Administrator
X 5244
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HOW TO CONTACT PEOPLE AND ORGANISATIONS NAMED IN THIS
DOCUMENT
Contacts named in this document
Strategic Director of Legal, Democratic
Steven Quayle X 5004
and Development Services
Monitoring Officer
Steven Quayle X 5004
Chief Executive
Cheryl Coppell X 5000
Director of Finance and Property
Andrew Blake-Herbert X 5300
(Section 151 Officer )
Chief Internal Auditor
Peter Woodward X 5239
The Audit Commission (The Council’s
Relationship Manager
External Auditors)
North Wing
Southern House
Sparrowgrove
Otterbourne
Winchester
Hampshire
SO21 2RU
01962 704600
The Local Government Ombudsman
The Commission for Local
Administration in England. The Oaks,
No 2 Westwood Way, Westwood
Business Park, Coventry CV4 8JB
Phone: 024 7682 0000
The Standards Board for England
The Standards Board for England
First Floor
Cottons House
Cotton Lane
London SE1 2QG
Enquires
845 0788181
Allegations 800 1072001
For the names and contact numbers of
Committee and Member Services
Ward Councillors and or Chief Officers
Section
please contact:
X 5011 or X 5019
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5.10
Joint Protocol on
seeking the
External
Auditor’s Views
on the Legality of
Council
Transactions
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CONTENTS
1.
INTRODUCTION
2.
STATUS OF THIS NOTE
3.
BACKGROUND
4.
THE ROLE OF AUDIT COMMISSION AND OFFICERS
5.
APPROACH TO REQUESTS FOR OUR VIEWS BY
OFFICERS AND MEMBERS
6. DEALING
WITH
ENQUIRIES AND QUESTIONS FROM
ELECTORS
7. MONITORING
REQUESTS
8. FEE
ARRANGEMENTS
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387
JOINT PROTOCOL FOR CIRCUMSTANCES UNDER WHICH THE
APPOINTED AUDITOR’S VIEWS ARE SOUGHT ON THE LEGALITY
OF TRANSACTIONS
1. Introduction
1.1
This protocol sets out the arrangements for those instances where the
Authority, or individual officers and members of the Authority, seek the
views of the Appointed Auditor on the legality of transactions, whether
proposed or already implemented; and where the public refer questions or
enquiries to the Appointed Auditor. The key considerations underpinning
this approach are the need to:
• Clarify both the basis on which the Appointed Auditor can comment on
the legality of transactions and responsibilities of officers for ensuring
transactions which may be embarked upon are legal;
• Ensure greater co-ordination and consistency in the manner by which
the Authority, its members and its officers request the Appointed Auditor
to comment on transactions;
• To set out our general approach for dealing with enquiries, questions
and objections received in the course of the audit from eligible persons;
and
• Have improved joint monitoring of the status of individual requests and
enquiries, including the additional costs arising for the Authority.
2.
Status of this Protocol
2.1
This protocol sets out the basis on which the Appointed Auditor comments
on the legality of transactions and promotes effective monitoring and control
of such requests.
2.2
This protocol deals with requests received pertaining directly to the legality
of transactions and proposed transactions. It also covers those instances in
which the Appointed Auditor is requested by members to comment on the
appropriateness of actions taken, or proposed to be taken, by the council.
2.3
This protocol also refers to the Appointed Auditors responsibilities in
respect of enquiries, questions and objections received in the course of the
audit from eligible persons, and the monitoring arrangements proposed will
be applied to such work.
2.4
General discussion pertaining to our audit of the Authority’s financial
systems and final accounts are considered to fall within the remit of our
normal, ongoing, audit work. Whilst there may be an impact on the total
level of resources required for the audit in any given year, this would be
expected to be dealt with as part of the agreement of the annual plan and
subsequent variations to it.
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3. Background
3.1
The Authority’s framework of financial and management control is currently
based on delegation to departments balanced with the retention of
adequate corporate control. Service Directors are responsible for ensuring
adequate arrangements are in place for proper financial administration,
which encompasses ensuring transactions embarked on are lawful.
3.2
This protocol sets out the procedures agreed to be put in place to enhance
the effectiveness of the arrangements both the Audit Commission and
Slough have in place for dealing with both requests for comments on the
legality of transactions, and questions and enquiries. This protocol should
also be seen as preparing the ground for the greater clarity of roles that
have become necessary with the requirement for local authorities to have a
Standards Committee.
4.
The role of the Audit Commission and Officers
4.1
The respective roles of officers, and the Appointed Auditor, are clearly set
out in the Code of Audit Practice (“the Code”) and the Statement of
Responsibilities of Auditors and Audited Bodies. In summary, it is the
responsibility of audited bodies and their officers to act within the law;
auditors are required to bear in mind the question of legality and take
reasonable steps to inform themselves of significant financial transactions
or events that are unusual or of questionable legality.
4.2
It is in the context of this framework of responsibilities that requests for our
comments would be viewed. We want to be as helpful as possible and
work closely with officers to avoid the significant costs associated with the
reversal of decisions or transactions, which are subsequently found to be
unlawful. In general our approach to matters of legality both referred to us
by officers and identified in the course of our audit reflects the
understanding that we are not in a position to definitively interpret
legislation, which is a matter for the courts, and that ultimate responsibility
for ensuring the lawfulness of transactions embarked on resides with
officers. We seek to provide ourselves with assurance that a transaction, or
proposed course of action, is lawful by:
• Keeping abreast of the key issues involved, in particular, those aspects
of a proposed transaction on which officers, or their advisors have
concerns;
• Taking into account existing guidance, if any, pertaining to the matter
under consideration;
• Ensuring officers, including the Monitoring Officer (Strategic Director of
Law and Corporate Governance) and his advisors, have given the
matter in question due and proper consideration and that they have
taken appropriate steps to assure themselves that a particular
transaction, or course of action, is lawful and within the Authority’s
powers.
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4.3
The Authority should not seek to rely solely on the view we express with
regard to a particular issue, because:
• It remains the responsibility of the Authority and its officers to decide
whether to embark on any transaction;
• We are not legal practitioners and consequently are not in a position
ourselves to definitively interpret legislation;
• We may not act in any way that might fetter our future ability to exercise
the specific powers conferred upon us by statue.
4.4
Moreover, the fact that we may respond to a request does not mean that
the proposed transaction or course of action will be exempt from challenge
in the future.
5.
Approach to Requests for our views by Officers and Members
5.1
Within this framework it is possible for us, in conjunction with officers to play
an important part in helping the Authority to avoid the potentially significant
costs associated with considering arrangements which are subsequently
found to be unlawful. In order for this objective to be achieved cost
effectively the Council should follow the steps set out below:
Step 1
Requests from individual Members or Officers of the Council should be
raised in the first instance with the Strategic Director of Law and Corporate
Governance(or a nominated deputy) and s/he will arrange for the issues of
concern to be fully considered by the appropriate Officers in accordance
with Step 2 below.
Step 2
The Officers within the Council (including the Strategic Director of Law and
Corporate Governance and where appropriate the Director of Finance and
Property) will ensure that all of the issues of concern which are raised are
fully considered and prepare a report setting out their conclusions and the
rationale behind them. If concerns remain these should be highlighted
before any reference is made to the Audit Commission
Step 3
If after Steps 1 and 2 have been carried out a request to the Audit
Commission is still considered necessary then such requests will be
forwarded by the Strategic Director of Law and Corporate Governance or
his nominated deputy with all supporting papers. In particular the
supporting papers must include any sources of advice or legal opinion
relied upon by the Officer in their report. All requests referred to the Audit
Commission will be copied to the Chief Executive.
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5.2
It is at the discretion of officers, through the Strategic Director of Law and
Corporate Governance, to decide on the matters referred by the Authority to
us for our views. In order to best assist the Authority we would, however
expect those issues which are either significant in terms of their potential
financial effect, or of particular local sensitivity, to be brought to our
attention at an early stage to allow us sufficient time to consider the issues
involved fully and to make officers aware of our views (subject to the
limitations imposed on our views as set out above) before a final decision is
taken.
5.3
In instances where the issues concerned are material, or legally complex,
the Appointed Auditor will promptly advise the Authority when we have
determined we need such legal advice. In normal circumstances we would
be willing to share any advice we obtain.
5.4 Notwithstanding
the
above we will however require annual confirmation
from the Strategic Director of Law and Corporate Governance that no
matters have been referred to him which should have been brought to the
Audit Commission’s attention. This annual confirmation will supplement our
normal request for confirmation from the Authority’s Monitoring Officer (or
his deputy) that he is not aware of any transaction, or course of action,
which should be brought to our attention.
6.
Dealing with Enquiries and Questions from electors
6.1
An elector has the right to inspect, question and object to a local Authority’s
accounts, as outlined in greater detail in
The Rough guide to Audit Law which is available from the Audit Commission.
6.2
The rights of the public are limited to asking questions about an authority’s
accounts. There is no statutory right to ask questions about a local
authority’s policies, finances or procedures, which are not about the
accounts. In practice, where we receive questions which do not refer to the
accounts,
• we can indicate to the enquirer that it is open to them to seek the
information directly from the Authority. In general, we would not act as a
conduit for questions to, and replies from, the Council; or
• we may enquire into the matter brought to its attention where it may
concern potentially unlawful activities or transactions by the Authority.
We are not bound to provide a response but would try to keep the
enquirer informed in general terms about any relevant work we
undertake.
6.3
In all circumstances we would notify the Strategic Director of Law and
Corporate Governance of the matters referred to us by the public and the
proposed course of action that we intend to adopt. Where officers are of
the view that an issue referred to the Appointed Auditor by a member of the
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public merits further investigation, the issue would be dealt with as if
referred to us by officers.
7. Monitoring
Requests
7.1 The Appointed Auditor will keep the Strategic Director of Law and
Corporate Governance informed of all requests received setting out their
progress and current status, including the actions taken by the Appointed
Auditor or required of the Authority, together with details of our resource
inputs, analysed by grade.
7.2
This also applies to all enquiries, questions and objections received from
eligible persons. These will be copied as a matter of course to the Chief
Executive, the Strategic Director of Law and Corporate Governance and the
Director of Finance and Property.
8. Fee
Arrangements
8.1
Fees for such work will be charged at the Audit Commission’s grade related
fee rate, reflecting the seniority and experience of the staff involved.
8.2
We would expect, where the costs are significant, to bill monthly in arrears
for such work, following the agreement of the fees with the Strategic
Director of Law and Corporate Governance.
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Part 5.11
POLICY
STATEMENT ON
CORPORATE
GOVERNANCE
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INTRODUCTION
The Council is committed to achieving excellence in the provision of services for the
people of Slough.
The Council’s vision, priorities and aims contribute to achieving the seven-shared
priorities for local government, which have been agreed by the Government and
Local Government Association
. These shared priorities focus the efforts of
Government and Councils for improving public services. The shared priorities fulfil a
commitment made in the
‘White Paper – Strong Local Leadership – Quality Public
Services’ – to define a single list of main priorities for local government and cover the
key issues that will impact most on the lives of people.
The seven-shared priorities are: 1. Raising standards across schools. 2. Improving
the quality of life of children, young people, families at risk and older people. 3.
Promoting healthier communities by targeting key local services, such as health and
housing. 4. Creating safer and stronger communities. 5. Transforming the local
environment. 6. Meeting transport needs more effectively. 7. Promoting the
economic vitality of localities.
The shared priorities have been used to shape the Slough Focus (Slough’s Local
Strategic Partnership) vision and priority actions. Slough Focus has brought together
the town's decision makers, communities and organisations to work with each other
to meet the needs of local people and to improve the quality of life in Slough.
Together they have developed Slough’s first
Community Strategy. The Community
Strategy sets out a long-term vision for Slough, for the people, the place and for the
prosperity of the town, and the things that need to be done to make this a reality.
The Community Strategy sets out a long-term vision under the headings of ‘People’,
‘Places’ and ‘Prosperity’ which are supported by nine Priority Action Groups, three
for each priority heading. Under each main heading the aims are:
PEOPLE - Slough will have healthy and fulfilled people and communities.
PLACE - Slough will be a safe, attractive and sustainable place to live, work and
learn.
PROSPERITY - Slough will have prosperous individuals and communities.
Meeting the needs of Slough’s people and communities is at the centre of this vision.
This vision will develop and change as the needs and aspirations of the people of
Slough change.
It is within this context that the Council’s priorities aims as set. The Council’s vision,
priorities and aims show how the Council supports the seven-shared priorities for
local government and the Community Strategy themes of ‘People’, ‘Places’ and
‘Prosperity’. We believe together they will continue to improve the quality of life for
people who live in Slough.
The Council’s vision, priorities and aims are set out below:
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link to page 402
VISION:
‘Taking pride in Slough and making a difference for our communities and our environment’
PRIORITY 1
PRIORITY 2
PRIORITY 3
PRIORITY 4
PRIORITY 5
Creating safe,
Improving lives for
Improving life chances Excellence in
Excellent governance
environmentally
those in need and
for children and young customer services
within the council
friendly and
creating thriving
people
ensuring it is efficient,
sustainable
communities
effective and economic
neighbourhoods
in everything it does
AIMS
AIMS
AIMS
AIMS
AIMS
1.1 Deliver
cleaner
2.1 Deliver
effective
3.1 Keep every child
4.1 Deliver
excellent 5.1 Improve
financial
and safer
social care
safe
customer
and asset
neighbourhoods
focused services
planning,
2.2 Focus
on
3.2 Improve
in an excellent
monitoring and
1.2 Adopt a green
vulnerable people
outcomes for
customer
stewardship
and sustainable
and those living in
vulnerable
environment
approach to
poverty
children
5.2 Improve
project,
managing and
4.2 Engage,
listen
performance and
developing the
2.3 Provide
affordable 3.3 Help every child
and empower
major project
environment
decent and safe
achieve
communities
management
homes
1.3 Protect
and
3.4 Improve
provision 4.3 Deliver
better
5.3 Gain
efficiencies
enhance public
2.4 Deliver
quality
and outcomes for
integrated
and ensure
health and well
library and
young people
services through
effective
being
cultural services
Slough Focus
1
procurement
and other
1.4 Improve
transport
2.5 Strengthen
partnerships
5.4 Ensure
community
compliance with
activity through
4.4 Deliver
excellent
the law
collaborative
internal and
working in the
external relations
5.5 Improve
most
corporate
disadvantaged
governance and
neighbourhoods
democracy and
ensure people
and management
practices are in
place
Various documents celebrate what has been achieved to date, describe the key
challenges facing the Borough over the next few years and set out the Council’s
priorities for the town. These documents include the Community Strategy, Council’s
Corporate Plan and Performance Plan.
However, excellent public service is not solely a matter of what is provided or indeed
how it is provided. The type of organisation that provides the service and its motives
for doing so are equally, if not more, important. The Councillors elected by the
residents of Slough to form the Borough Council and the Officers employed by the
Council recognise this and affirm their total commitment to demonstrating and
upholding the highest standards of behaviour in public life.
1 Local Strategic Partnership
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This policy statement:-
• summarises the principles which underpin this public commitment,
• provides the framework for public accountability and confidence in the work of the
Borough Council,
• describes the processes which should safeguard the existence of the high
standards now and in the future.
The Council’s ethical framework exists at three levels. Nationally there is statute and
common law together with codes and best practice. This is undergoing great change
at present. These national elements are supplemented and interpreted locally
through specific Codes and conventions. In turn, these are underpinned by a range
of internal practices and procedures. The Council is committed to keeping this
framework under review and developing it in line with public expectations, where
possible anticipating and exceeding any legal or advisory requirements.
SEVEN PRINCIPLES OF PUBLIC LIFE
In 1997, the Nolan Report on Standards in Public Life defined good conduct for
members of public bodies as:-
“a responsibility to act fairly, in good faith, and in a disinterested way in order to meet
the specified objectives of the body to which they had been appointed.”
Furthermore the Report held that any resources which were made available through
association with a public body should not be misused by members of that body for
their own personal advantage or that of
“any-one known to them or to the disadvantage or the discredit of the public body or
anyone else”.
Slough Borough Council agrees completely with these statements and has adopted
the following principles, taken from the Nolan Report, as the centre-piece, of this, its
Policy Statement on Corporate Governance. These criteria and the principles shown
below have subsequently been re-affirmed by the Local Government (Organisation
and Standards) Bill as promoted by the Government and now, having received Royal
Assent, the Local Government Act 2000.
Selflessness
All Members and employees of the Council will take decisions solely in terms of
the public interest. Decisions will not be taken in order to gain financial or other
material benefits for themselves, their family or their friends.
Integrity
No Member or employee of the Council will place themselves under any
financial or other obligation to outside individuals or organisations that might
influence them in the performance of their duties.
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Objectivity
In carrying out public business, including making public appointments, awarding
contracts, or recommending individuals for rewards and benefits, the Council’s
elected Members and employees will make choices on merit.
Accountability
The Members and employees of the Council are accountable for their decisions
and actions to the public and will submit themselves to whatever scrutiny is
appropriate to their office.
Openness All Members and employees of the Council will be as open as possible about all
the decisions and actions that they take. They will give reasons for their
decisions and restrict information only when the wider public interest clearly
demands.
Honesty
All Members and employees of the Council will declare any private interests
relating to their public duties and take steps to resolve any conflicts arising in a
way that protects the public interest.
Leadership All Members and employees of the Council will promote and support these
principles by leadership and example.
The Council believes that these principles apply in equal measure to elected
Members and employees of the Authority. Furthermore it commends these principles
to its partners, contractors and consultants for use in their business and dealings
with the Council. All elected Members and employees of the Council are expected to
adhere to these principles and apply them in their every day lives as they work, in
what ever capacity, for the Council and the benefit of the Borough.
CORPORATE GOVERNANCE
The elected Members and employees of the Council are here to serve and empower
the people of Slough. This requires a positive commitment to public service and
putting our service users, customers and the local communities first. Our services
can have a profound effect on their quality of life and we all have a duty to give our
best at all times. The public have the right to expect us to listen to them, be open,
helpful and professional in our approach. Their confidence in public services
depends on us being considerate, responsible, sensitive and mindful of the need to
respect confidentiality. At no time should the conduct of elected Members, Council
employees or our partners damage public belief in the honesty and integrity of the
Authority.
Our goal is the highest standards of behaviour and service from all employees (full-
time, part-time, temporary or casual), Members of the Council and those to whom
public resources are entrusted in the Borough. The Authority recognises that high
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standards of professional and personal conduct will only be sustained in the long run
if we:-
• act impartially and are seen to do so.
• take accountability, individually and as an organisation, for the proper governance
of our Borough.
• work in open and transparent ways.
• accept criticism and comment as a positive force for improvement in ourselves
and others.
• reject totally a culture of blame and shifting responsibility.
THE FRAMEWORK
The Council will seek to achieve its goal and put the Nolan principles into action
through an ethical framework consisting of :-
• A culture which seeks to eliminate the potential for partiality or unlawful action in
the exercise of its powers functions and influence,
• An emphasis on prevention and vigilance,
• Resources for detection and investigation,
• Training for elected Members, employees and those we come into contact with,
• Recourse to sanctions and recompense should all else fail.
THE POLICIES AND PROCESSES
Culture
The policy of the Council in respect of its culture is to be clear about the standards of
behaviour and service required and; through open government and leadership be,
and be seen to be, an organisation that works constantly to eliminate malpractice
while promoting honesty and fairness.
The Council puts this into practice through:
• Conducting as much business as possible in a transparent fashion at meetings
which are open to the public.
• Encouraging questions, delegations and petitions from the public at meetings.
• Retaining Council reports for six years to allow public scrutiny.
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• Consulting widely on Council policies and strategies and surveying public opinion
on a regular basis.
• Supporting elected Members in their constituency and representational roles.
• Acknowledging the public’s right to scrutinise Council documents including
Accounts and Annual Reports.
• Openly reporting Council activities through the press and public relations section.
• An internal communications framework that keeps all employees informed.
Prevention
The policy of the Council in respect of prevention is to prepare and maintain a
complete suite of local Codes, corporate and departmental procedures to be
followed by Members and employees supported by vigilant managers and a well
resourced internal Audit team.
The Council puts this into practice through:
• A Standards Committee with an independent Chair and Members.
• Rigorous procedures for Members and employees to declare their interests.
• Making these Registers of Interests available for scrutiny by the public.
• Democratic control and the conduct of business by Members who are elected by,
and accountable to, the public.
• Co-operative working with External Auditors, the Local Government Ombudsman
and other regulatory bodies.
• Providing advice and support to elected Members and employees consistently
throughout the year.
• Ensuring ready access to information about the Council and the business it
conducts by publishing Committee reports in advance of meetings.
Detection and Investigation
The Council’s policy in respect of detection and investigation is to commit resources
to the speedy and even-handed investigation of any alleged malpractice. The
Council will work with statutory or public authorities and other organisations to
integrate and maximise efforts to deal with malpractice and learn from others. In
addition the Council will co-operate fully with any inquiry or investigation and ensure
that any practical or future preventative action is taken.
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The Council puts this into practice through:
• Encouraging concerned individuals both inside and outside the Council to come
forward under its whistle blowing procedures and protecting those who do so.
• Maintaining a comprehensive complaints system.
• Implementing a rigorous internal audit programme.
• Pushing for Councils to have more powers to remove elected Members who have
committed and been found guilty of acts against the Council they represent.
• Commissioning independent investigations and the public reporting of findings.
• Placing responsibility on elected Members and managers to ensure that effective
and transparent controls are in place.
Training
The Policy of the Council in respect of training is to provide appropriate information,
training and support to enable elected Members and employees to properly
understand and fulfil their responsibilities in respect of standards of conduct.
The Council puts this into practice through:
• Providing Members with induction packs within one day of being elected.
• Providing Members with induction training within five days of being elected.
• Ensuring an ongoing programme of education including specific training on
conduct, declarations of interest and other important topics related to conduct.
• Providing specific training for Officers and Members involved in the Planning
service.
• Ensuring that Members Services Officers are available to provide information,
assistance, advice and support.
• Maintaining a comprehensive programme of education and training for
employees from the time they are appointed.
Sanctions and recompense
The policy of the Council in respect of sanctions and recompense is to seek speedy
and impartial justice while acting to minimise the immediate effects and mitigate
long-term harmful effects of any wrong doing thus bringing about a swift return to
normal life.
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While the conduct of employees can be addressed through contracts of employment;
as the law stands at present there are few, if any, sanctions the organisation can
apply to an elected Member whose conduct is unsatisfactory. Nevertheless the
Council puts its policy into practice through:
• Disciplinary procedures for Members including investigations by independent
panels in serious cases.
• Comprehensive disciplinary procedures for employees.
• Referring matters to the Police when internal procedures are exhausted or
inappropriate.
• Pushing for the strongest possible action to be taken against those found to be
acting unlawfully against the Council and the interests of the Borough.
• Treating complaints against itself openly, respecting the views of others and
positively seeking a mutually acceptable outcome.
• Seeking ways in which restitution can be made when clear damage of loss has
been found resulting from maladministration by the Council.
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Part 5.12
GUIDANCE FOR MEMBERS AND STAFF
IN RELATION TO MEMBERS’
INVOLVEMENT IN HOUSING AND
COUNCIL TAX BENEFITS WORK
CONTENTS
PROCEDURE FOR MAKING COMMENTS OR CHANGES
1.
INTRODUCTION
2.
MEMBERS’ CASE WORK
3.
MEMBERS AND THEIR HOUSEHOLD WHO ARE
BENEFITS CLAIMANTS
4.
MEMBERS WITH OTHER INTERESTS IN THE BENEFITS
SYSTEM E.G. AS LANDLORDS
5. APPEALS
6.
CIRCULATION AND REVIEW OF GUIDANCE
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GUIDANCE FOR MEMBERS AND STAFF IN RELATION TO
MEMBERS’ INVOLVEMENT IN HOUSING AND COUNCIL TAX
BENEFITS WORK
1. Introduction
This Guidance is issued to Members and staff in accordance with the Council
resolution of 28th April 1999 that requires detailed involvement by Members in
individual housing and council tax benefits cases to cease. At the same time,
the guidance seeks to recognise Members’ legitimate role in representing
constituents, whether they are claimants or landlords, in their dealings with the
Council.
This guidance supplements the declaration/registration of interest requirements
contained in the Local Code of Conduct for Members and the requirement that
Members should register services they, or close members of their family, have
applied for or received from the Council which was agreed by Council in
October 1999
There is a parallel requirement for all officers involved in the administration of
benefits to declare their interest in the Register of Employee Interests
(Paragraph 5 of the Local Code of Conduct for Employees refers).
2.
Members’ case work
In the first instance constituents who approach a Member for help should be
invited to contact the ‘My Council’ Customer Service Centre or the Revenue
and Benefits Helpline service, or to use the corporate complaints procedure.
If the Member has concerns about the case or the constituent is insistant the
Member takes up the issue, the Member should immediately refer the matter in
writing, to the chief officer concerned (currently the Strategic Director
Community and Cultural Services). All such enquiries must be accompanied
by a consent form signed by the constituent and countersigned by the Member,
which gives authority for information about the case to be released to that
Member.
Only in exceptional circumstances, or emergencies where the constituent is
facing hardship, should Members make personal contact and then it should be
to the chief officer or head of service (currently the Head of Benefits and
Business Services).
3.
Members and their household who are benefits claimants
All Members, their family and other members of their household who claim
housing and/or council tax benefits must declare that fact to the head of service
(currently the Head of Benefits and Business Services). Confidentiality will be
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respected, and the head of service will arrange for a senior benefits officer to
check the claim is properly administered and processed.
If a member has an inquiry about his or her benefits or entitlements, this should
always be raised in writing to the chief officer concerned.
4.
Members with other interests in the benefits systems e.g. as landlords
Members who are landlords of properties where their tenants are claiming
benefits or who have some other pecuniary interest in the benefits system,
must declare the details to the Council’s Monitoring Officer for inclusion in the
statutory Register of Interests.
All enquiries from such Members in relation to their interest should be
addressed in writing to the chief officer concerned.
5. Appeals
The Appeals Service is independent of the Council and Members may
represent or advocate on behalf of a claimant, provided a consent form signed
by the constituent and countersigned by the member has been submitted.
6.
Circulation and review of guidance
This guidance will be issued to all existing and new Members and to all officers
involved in the administration of benefits.
The guidance will be reviewed every two years by the head of service for the
housing and council tax benefits service (currently the Head of Benefits and
Business Services).
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Part 6 - MEMBERS' ALLOWANCES SCHEME
(AMENDED 26TH APRIL 2005)
The Slough Borough Council in exercise of the powers conferred by the Local Authorities
(Members' Allowances) Regulations 2003 and subsequent Regulations hereby makes the
following scheme:-
1.
This scheme may be cited as the Slough Borough Council Members' Allowances
Scheme and shall have effect commencing on 1st April 2005 and subsequent years.
2.
In this scheme:
‘Member' means an elected Member of the Slough Borough Council.
‘Co-opted Member’ means a person who is not a Member of the Authority but who:-
(a) is a Member of any Committee or Sub Committee of the Authority, or
(b) is a Member of, and represents the Authority on, any Joint Committee or
Joint Sub-Committee of the Authority.
Basic Allowance
3.
Subject to Paragraphs 9 and 10 below, an annual basic allowance of £4,558 shall
be paid to each elected Member.
Special Responsibility Allowances
4.
(1) A special responsibility allowance shall be paid to those Members/Co-opted
Members who hold the special responsibilities in relation to the authority, which
are specified in Schedule 1 to this scheme.
(2) Subject to Paragraphs 6 and 7, the amount of each such allowance shall be
the amount specified against that special responsibility in that Schedule.
(3) A Member may only claim one special responsibility allowance and that
allowance will be the maximum allowance the Member is entitled to claim.
Index Linking
5.
For the period 1st April 2006 to 31st March 2010, with the exception of travelling,
subsistence and dependants’ carers’ allowances, allowances payable under this
Scheme be increased annually in line with the average Local Government Pay
award.
Co-opted Members’ Allowance
6.
Subject to Paragraphs 9 and 10 below, an annual allowance of £636 shall be paid
to each Independent Co-opted Member on the Standards Committee.
Part 6 – Members Allowances Scheme
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405
Travelling and Subsistence Allowances
7.
(1)
Travelling and subsistence allowances shall be paid to each Member/Co-
opted Member in respect of each occasion on which that Member carries out
an approved duty as specified in
Schedule 2 to this Scheme.
Travel
(2)
Payment of travel allowance shall be at the same rate as that applied to
Council employees at the time the duty is carried out.
(3)
For all private transport journeys to destinations outside the Borough half the
normal mileage rate will be paid plus any expenditure necessarily and actually
incurred in undertaking the journey.
(4)
The rates specified in (2) and (3) above may be increased in respect of the
carriage of passengers, not exceeding 4, to whom a travelling allowance
would otherwise be payable by not more than 3.0 pence a mile for the first
passenger and 2.0 pence per mile for the second and subsequent
passengers.
(5)
Unless there are exceptional circumstances which have previously been
approved by the Assistant Director (Democratic Services) or Member
Services Manager all claims for travel allowance should be deemed to start
and finish from the Member’s usual place of residence and claims will need to
be made on this basis.
(6)
Travel by taxi or private hire vehicles will be reimbursed with the amount of
fare by appropriate public transport unless there is no public transport
reasonably available or in cases of urgency in which event the actual fare and
any reasonable gratuity will be reimbursed on production of a valid receipt.
(7)
The rate of travel by public transport shall not exceed the amount of the
ordinary fare or any available cheap fare plus any expenditure necessarily
and actually incurred in undertaking the journey.
(8)
Members/Co-opted Members who use their bicycles to undertake approved
duties are entitled to claim the same mileage rate as that applied to Council
employees at the time the duty is carried out.
(9)
The rate of travel by air shall not exceed the rate applicable to travel by
appropriate alternative means of transport together with an allowance
equivalent to the amount of any saving in subsistence allowance consequent
on travel by air:
Provided that where the appropriate decision making body resolves,
either generally or specifically, that the saving in time is so substantial as
to justify payment of the fare for travel by air, there may be paid an
amount not exceeding;
(a)
the cheapest fare available, or
(b)
in case of urgency, the actual fare paid by the Member.
Part 6 – Members Allowances Scheme
Council – May 2006
406
Subsistence
(10) For all approved duties undertaken within the Borough of Slough, a
subsistence allowance of up to £3.00 for each four hour period the
Member/Co-opted Member is absent from his/her usual place of residence
shall be paid.
(11) For all approved duties undertaken outside the Borough the maximum rates
applied to claims submitted by Council employees at the time the duty is
carried out will apply
(12)
Payment of subsistence allowance will be subject to the following conditions:
• the Member/Co-opted Member has personally and necessarily incurred
expenditure on subsistence for the purpose of enabling him/her to perform
an approved duty and any claim is accompanied by a valid receipt;
• the Member/Co-opted Member is absent from his/her place of residence
for more than 4 hours.
• Where food is provided free of charge or paid directly for by the Borough
Council (other than at full Council Meetings) the Member/Co-opted
Member will not be entitled to claim a subsistence allowance for the period
to which the allowance relates.
(13) Where a Member/Co-opted Member attends a UK conference/seminar
authorised by the Council which necessitates an overnight stay, hotel
accommodation will be booked and paid for direct by the Council. For all
meals not paid for direct by the Council or included in the conference/seminar
fees, the appropriate subsistence allowance may be claimed:
Dependants’ Carers’ Allowances
8.
(1)
Elected Members are entitled to claim a Dependants’ Carers’ Allowance in
reimbursement of actual reasonable costs necessarily incurred in providing
care for dependant relatives (see paragraph 2 below) while the Member is
carrying out an approved duty specified in
Schedule 2 up to an annual limit
of £500 per Councillor.
(2) Dependant relatives live with the claimant and are:
•
Children aged 14 or under;
•
Elderly relatives requiring full-time care and
•
Relatives with disabilities or nursing requirements who require temporary
or permanent full-time care
(3)
Members are entitled to claim a Dependants’ Carers’ Allowance for periods
starting up to a maximum of an hour before the approved duty starts and
ending up to an hour after it finishes in order to allow for essential travelling
time.
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407
(4) Dependants’ Carers’ Allowances are not payable in respect carers who are
members of the immediate family or household.
(5) Claims must be made within 2 months of the expense being incurred on the
appropriate Members’ Allowances Claim form accompanied by valid receipts.
Claims will only be settled on production of valid receipts.
Renunciation
9.
A Member may by notice in writing given to the Assistant Director (Democratic
Services) elect to forego any part of his or her entitlement to an allowance under this
scheme, which will be binding for that year.
Part-Year Entitlement
10.
(1) Where the term of office of a Member begins or ends otherwise than at the
beginning or end of a year, his/her entitlement shall be to payment of such part
of the basic allowance as bears to the whole the same proportion as the number
of days during which his/her term of office as Member subsists bears to the
number of days in that year.
(2) Where a Member/Co-opted Member does not have throughout the whole of a
year any such special responsibilities as entitle him/her to a special
responsibility allowance, his/her entitlement shall be to payment of such part of
the special responsibility allowance as bears to the whole the same proportion
as the number of days during which he/she has such special responsibilities
bears to the number of days in that year.
Suspension/Partial Suspension
11.
Where a Member/Co-opted Member is suspended or partially suspended from
his/her responsibilities or duties as a Member of the Council in accordance with Part
III of the Local Government Act 2000 or regulations made under that Part,
• the part of basic allowance payable to him/her in respect of the period for which
he/she is suspended or partially suspended may be withheld
• the part of special responsibility allowance payable to him/her in respect of the
responsibilities or duties from which he/she is suspended or partially suspended
may be withheld
• any travelling and subsistence allowance payable to him/her in respect of the
responsibilities or duties from which he/she is suspended or partially suspended
may be withheld
• any co-optees’ allowance payable to him/her in respect of the responsibilities or
duties from which he/she is suspended or partially suspended may be withheld
Part 6 – Members Allowances Scheme
Council – May 2006
408
Repayment of Allowances
12.
Where payment of any allowance has already been made in respect of any period
during which the Member/Co-opted Member concerned
• is suspended or partially suspended;
• ceases to be a Member of the Authority; or
• is in any other way not entitled to receive the allowance in respect of that
period ,
the Council may require that such part of the allowance as relates to any such
period be repaid to the Council.
Claims and Payments
13.
(1) A claim for travelling and subsistence allowance and dependants’ carers’
allowance under the Scheme shall be made in writing within two months of
the date of carrying out the approved duty in respect of which the entitlement
to the allowance arises. The Member Services Manager shall be authorised
to consider on its merits and to make payment in respect of, any claim not
received within two months of the date of performance of the duty.
(2) Payments shall be made in respect of basic, special responsibility and co-
optees’ allowances, in instalments of one-twelfth of the amount specified in
this scheme on the 15th day of each month or next working day thereafter.
Payments will be made 2 weeks in arrears and two weeks in advance.
(3) Where a payment of one-twelfth of the amount specified in this scheme in
respect of a basic allowance, special responsibility or co-optees’ allowance
would result in the Member/Co-opted Member receiving more than the
amount to which by virtue of paragraph 9, he or she is entitled, the payment
shall be restricted to such amount as will ensure that no more is paid than the
amount to which he or she is entitled.
(4) When Members are standing for re-election in order to ensure that no over
payments are made, payment may be stopped with effect from midnight on
the third day after the election. If the Member is re-elected payment of any
allowances due will restart from midnight on the third day after the election
and an adjustment will be made at the next pay day.
Advance Payment
14.
(1) Notwithstanding
paragraph
12 above, if a Member can show that he/she has
reasonable cause to the satisfaction of both the Director of Finance and
Property and Assistant Director (Democratic Services) he/she may elect in
any one year to have up to 20% of the value of his/her annual basic
allowance entitlement paid in advance. (The total value of any sums paid in
advance must not exceed 20% of the basic allowance payable to the Member
for that year).
(2) Any advance payment will be subject to the Member giving a signed
undertaking that in the event of his/her ceasing to be an elected Member of
the authority he/she or their estate will repay to the Council any moneys
Part 6 – Members Allowances Scheme
Council – May 2006
409
owing in respect of the advanced payment.
(3)
That the Director of Finance and Property and Assistant Director (Democratic
Services) be granted delegated authority to consider and determine requests
submitted by Members for advanced payment of part of their basic allowance
as provided for under the Scheme.
Membership of Another Authority
15.
Where a Member/Co-opted Member is also a member of another authority, that
Member may not receive allowances from more than one authority in respect of the
same duties.
Part 6 – Members Allowances Scheme
Council – May 2006
410
SLOUGH BOROUGH COUNCIL
MEMBERS' ALLOWANCES SCHEME
SCHEDULE 1
SPECIAL RESPONSIBILITY ALLOWANCES - 1st APRIL 2006
Leader of the Council ....................................................................... £15,899
Deputy
Leader .................................................................................. £11,924
Leader of the Opposition ................................................................. £ 3,975
Leader of the second largest minority group ................................ £ 3,180
Cabinet Member (Commissioner) ................................................... £ 7,949
Chair of the Overview and Scrutiny Committee ............................ £ 7,949
Vice-Chair of the Overview and Scrutiny Committee .................... £ 3,180
Chairs of the Licensing and Planning Committees ....................... £ 3,180
Vice-Chairs of the Licensing and Planning Committees .............. £ 1,060
Chairs of the Scrutiny Panels ......................................................... £ 1,271
Chair of the Employment and Appeals Committee ....................... £ 1,271
Chair of the Standards Committee …………………………………… £ 1,271
NOTES:
1. Where the Members of the Council are divided into more than two political groups and
the second and third largest political groups are of equal size, the Leaders of both
those groups shall receive a special responsibility allowance of £3,475 each.
2. That, with effect from 19th May, 2005, the total budget allocation for special
responsibility allowances (SRA) for Cabinet Commissioners (excluding the Leader and
Deputy Leader) be based upon the current SRA multiplied by 7 and the individual SRA
payable will be calculated by dividing the total budget by the number of Cabinet
Commissioners actually appointed.
3. That, with effect from 19th May, 2005, the total budget allocation for special
responsibility allowances for Chairs of the Overview and Scrutiny Panels be based
upon the current SRA multiplied by 4 and the individual SRA payable to each chair will
be calculated by dividing the total budget by the number of Panels actually appointed.
Part 6 – Members Allowances Scheme
Council – May 2006
411
SLOUGH BOROUGH COUNCIL
MEMBERS' ALLOWANCES SCHEME
SCHEDULE 2
Approved duties for the purpose of the payment of travelling,
subsistence and dependants’ carers’ allowances.
1. Attendance at Meetings of the following:
Council
Cabinet
Overview and Scrutiny Committee and its Panels
Standards Committee
Planning Committee
Licensing Committee
Employment and Appeals Committee and its Sub-Committees
Review Panels
Appeal Panels including-
School Transport
Curriculum Complaints
Housing Appeals
Any other Standing or Special Committee appointed by the Council and any other
Sub-Committee appointed by a Committee.
Provided that the Members of more than one political group have been invited, any,
Panel or Working Party appointed by the Council, Cabinet, a Committee or a Sub-
Committee and designated as an approved duty for the payment of travelling and
subsistence allowance.
Others
Berkshire Authorities Fire Joint Committee
Social Services Statutory Panels –
East
Berkshire
Adoption
Panel
Joint Inspection Unit Advisory Panel
Registration
Appeals
Panel
Secure
Accommodation
Panel
Complaints
Review
Board
Foster
Panel
Joint Strategic Planning Committee
Thames Valley Athletics Management Committee and Trust
Thames
Valley
Police Authority
School Organisation Committee
School Admissions Forum
Local Government Association
Association of Councils for the Thames Valley Region
Standing Advisory Council on Religious Education
NB: Allowances will be paid to voting Members only.
Part 6 – Members Allowances Scheme
Council – May 2006
412
2.
Attendance as a representative of the authority on other bodies approved by the
Council.
3.
Attendance at informal Meetings of Cabinet, Committees or Sub-Committees, the
convening of which has been approved by the Council, Cabinet, appropriate
Committee or Sub-Committee.
4.
Attendance at site visits approved by Council, Cabinet, appropriate Committee or
Sub-Committee.
5.
Attendance as an official representative of the Council at meetings, functions and
events hosted by outside organisations/bodies.
6.
Attendance at a conference or similar meeting held inside the United Kingdom
approved under the authority delegated to the Assistant Director (Democratic
Services) or specifically by the Council or a Committee including, but not restricted
to, the following:-
Association of Directors of Social Services
Council for Local Education Authorities
Institute of Environmental Health Officers
Institute of Housing
Local Government Association Fire Conference
Local Government Association Tourism and Leisure Annual Conference
Local Government Association
Local Government Information Unit
National Housing and Town Planning Council
Nuclear Free Local Authorities
Public Library Authorities Conference
Standing Conference for Community Development
Royal Town Planning Institute
Town and Country Planning Summer School
7.
Attendance at non-political conferences on matters of local government and local
interest organised by this Council or other non-profit making bodies.
8.
Attendance at training courses, seminars and conferences organised under the
Members’ Support/Development Programme which the Assistant Director
(Democratic Services) or Council has previously approved for the payment of
allowances.
9.
Opening of tenders in accordance with the provisions of Financial Procedure Rule
of the Council’s Constitution.
Part 6 – Members Allowances Scheme
Council – May 2006
413
414
Part 7 – Man
age
men
t Str
uctur
e
Part 7
Management Structure
Coun
cil – May 200
6
415
Part 7 – Man
PART 7
Management Structure
Chief Executive
age
Strategic Director of Finance and Property
men
Strategic Director of Human Resources
t
Str
Head of Audit
uctur
e
Strategic Director Law and Corporate
Assistant Chief Executive (Policy and Performance)
Governance
Communications
Policy
Corporate
Economic
Equalities
Performance
Information E-
Development
Legal
Democratic
& Quality
Government &
Europe
Services
Services
IT
Strategic Director Community and Cultural Services
Strategic Director Education and Children’s
Strategic Director Green & Built
- Housing Services
Services
Environment
- Older People’s Services
- Education
- Planning
- Services for Vulnerable Adults
- Services for Vulnerable Children & Pupils
- Transportation
Coun
- Health Partnerships
- Planning for Children’s Trusts
- Public Protection
- Cultural Services
- Youth Services
- Community
cil - May 2006
- Community Participation & Neighbourhood Planning
- Safety & Drugs action
- Customer Services Operation of the Service Centre
- Physical Regeneration
once established
- Green Strategies-sustainability
Document Outline