EAST RIDING OF YORKSHIRE COUNCIL CONSTITUTION August 2015 Democrat_CR\Constitution\Constitution_aug15_.doc (dh/zlm) CONSTITUTION OF THE COUNCIL CONTENTS PAGES Introduction ................................................................................................................................................... 4 Part 1 Summary and Explanation ....................................................................................................................... 5-9 Part 2 Articles of the Constitution ........................................................................................................................ 10 Article 1 Article 2 Article 3 Article 4 Article 5 Article 6 Article 7 Article 8 Article 9 Article 10 Article 11 Article 12 Article 13 Article 14 Article 15 Article 16 Schedule 1 - The Constitution ........................................................................................................ 11 Members of the Council ...................................................................................... 12-13 Citizens and the Council............................................................................................ 14 The Council ........................................................................................................... 15-16 Chairing the Council .................................................................................................. 17 Overview and Scrutiny Committees .................................................................. 18-21 The Cabinet ........................................................................................................... 22-24 Regulatory and other Non-Executive Committees ......................................... 25-26 The Standards Committee................................................................................... 27-28 Planning/Sub-Committees........................................................................................ 29 Joint Arrangements .............................................................................................. 30-31 Officers .................................................................................................................. 32-40 Decision Making ................................................................................................... 41-42 Finance, Contracts and Legal Matters ..................................................................... 43 Review and Revision of the Constitution ............................................................... 44 Suspension, Interpretation and Publication of the Constitution ......................... 45 Description of Executive Arrangements ................................................................ 46 Part 3 Responsibility for Functions, Terms of Reference, Membership and Scheme of Delegation .................................................................................................................................. 47 Responsibility for Functions ....................................................................................................... 48-49 Terms of Reference of The Cabinet and Committees ............................................................ 50-71 Scheme of Delegation................................................................................................................ 72-104 Part 4 Rules of Procedure ................................................................................................................................. 105 Council Procedure Rules ......................................................................................................... 106-127 Access to Information Procedure Rules ............................................................................... 128-135 Budget and Policy Framework Procedure Rules ................................................................. 136-138 Cabinet Procedure Rules ......................................................................................................... 139-142 Overview and Scrutiny Procedure Rules .............................................................................. 143-150 Non-Executive and Regulatory Committee Procedure Rules ........................................... 151-167 Substitute Members Scheme........................................................................................................... 168 Financial/Contracts Procedure Rules ................................................................................... 169-213 Officer Employment Procedure Rules.................................................................................. 214-234 Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) Part 5 Codes and Protocols ................................................................................................................................. 235 Councillors Code of Conduct................................................................................................. 236-241 Protocol for Member and Officer Relationships................................................................. 242-248 Planning Codes of Practice ..................................................................................................... 249-264 Health Scrutiny Code of Practice ........................................................................................... 265-268 Part 6 Members’ Allowance Scheme .................................................................................................................. 269 Members’ Allowance Scheme ................................................................................................. 270-273 Part 7 Management Structure .............................................................................................................................. 274 Management Structure..................................................................................................................... 275 Appointment of Officers ................................................................................................................... 276-281 Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) INTRODUCTION East Riding of Yorkshire Council operates a Leader and Cabinet Executive model of decision making. This system consists of: The Council which sets the overall budget and policy framework of the Council; Overview and Scrutiny Committees/Sub-Committees which advise on policy formulation and hold The Cabinet to account in relation to specific matters. They may also review areas of Council activity which are not the responsibility of The Cabinet or matters of wider local concern such as the health service; An executive consisting of a Leader and Cabinet, which make decisions within this framework. Decisions may be delegated to individuals in The Cabinet, officers, area committees, joint arrangements or other authorities, or may be contracted out; although this Council has decided not to give any delegated authority to individual Cabinet Members including the Leader and all decisions are made collectively; Most regulatory decisions are made by the non-executive Committees of the Council; There is a Standards Committee to promote high standards of conduct and support Members’ observation of their Code of Conduct; The intention of these arrangements is to deliver visible, accountable leadership for councils and transparent, efficient decision making which reflects high standards of conduct. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 4 PART 1 SUMMARY AND EXPLANATION Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 5 PART 1 - SUMMARY AND EXPLANATION The Council’s Constitution East Riding of Yorkshire Council has agreed a 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 the law, while others are a matter for the Council to choose. The Constitution is divided into 16 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? Article 1 of the Constitution provides the aims and objectives of the Council and commits it to an accountable, efficient and effective scheme of representation and decision making. Articles 2-15 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 (Article 4). Chairing the Council (Article 5). The Overview Management Committee and its Sub-Committees (Article 6). The Cabinet (Article 7). Regulatory and other Non-Executive Committees (Article 8). The Standards Committee (Article 9). Area Planning Sub-Committees (Article 10). Joint Arrangements (Article 11). Officers (Article 12). Decision Making (Article 13). Finance, Contracts and Legal Matters (Article 14). Review and Revision of the Constitution (Article 15). Suspension, Interpretation and Publication of the Constitution (Article 16). Aims and Objectives of the Council The Council has established a set of Corporate Priorities which are:Corporate Priorities Maximising our Potential Valuing our Environment Supporting Vulnerable People, Reducing Inequalities Promoting Health, Wellbeing and Independence Reducing costs, raising performance. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 6 How the Council Operates The Council is composed of 67 Councillors elected every four years. Councillors are democratically accountable to residents of their ward. The overriding duty of Councillors is to the whole community, but they have a special duty to their electors, including those who did not vote for them. Councillors 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. All Councillors meet together as the Council. Meetings of the Council are normally open to the public. Here Councillors decide the Council’s overall policies and set the budget each year. The Council will appoint the Leader of the Council for a period of four years. The Leader of Council then appoints Members of The Cabinet and Cabinet Portfolio Holders although they are not given any powers to make individual Executive decisions. The Council will normally meet on 10 occasions each year including a special meeting to fix the budget. The Council will establish the Policy Framework and will make all decisions on new policy or changes to existing policy. Leader of the Council Councillor Parnaby, OBE Deputy Leader of the Council Councillor Owen Portfolio Portfolio Holder Children, Young People and Education Councillor Abraham Planning, Highways and Transportation Councillor A Burton Civic Wellbeing and Culture Councillor R Burton Council Corporate Services and Performance Councillor Cracknell Economic, Investment and Inequalities Councillor Evison Asset Management, Housing and Environment Councillor Fraser Adult and Carer Services Councillor Harrap Community Involvement and Local Partnerships Councillor Horton How Decisions are Made The Cabinet The Cabinet is the part of the Council which is responsible for most day-to-day decisions. The Cabinet is made up of a Leader elected by the Council and nine Cabinet Members appointed by the Leader, one of whom will be designated Deputy Leader. When major decisions are to be made, these are published in The Cabinet’s Forward Plan insofar as they can be anticipated. The Cabinet 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. The Cabinet has decided that all its decision making meetings will be open to the public except where exempt or confidential matters are discussed. The Cabinet will also have periodic briefings by officers which are held in private. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 7 Overview and Scrutiny There is one Overview and Scrutiny Committee, the Overview Management Committee and four Overview and Scrutiny Sub-Committees which support the work of The Cabinet and the Council as a whole. The Committee and Sub-Committees can produce reports and recommendations which advise The Cabinet and the Council as a whole on its policies, budget and service delivery. The SubCommittees also monitor the decisions of The Cabinet. They can ‘call-in’ a decision or a recommendation which has been made by The Cabinet but has not yet been implemented or confirmed. This enables them to consider whether the decision or recommendation is appropriate. They may recommend that The Cabinet reconsider the decision or recommendation. They may also be consulted by The Cabinet or the Council on forthcoming decisions. To support the Community Leadership role it is envisaged that the Overview Management Committee and its Sub-Committees will also examine the impact of outside bodies on the needs of the community and in particular matters relating to the other partners in the LSP. The Council’s Staff 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 protocol governing the relationship between officers and Councillors is set out in Part 5 of this Constitution. All officers are responsible for supporting the Council as a whole. Area Planning Sub-Committees The Council has two Area Planning Sub-Committees which are responsible for determining relevant planning applications and associated matters. They have no other function. Citizens’ Rights 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. Citizens have the right to: vote at local elections if they are registered; contact their local Councillor 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, exempt or confidential matters are being discussed; attend decision making meetings of The Cabinet except where exempt or confidential matters are being discussed; record meetings of the Council, Cabinet and Committees except where exempt or confidential matters are being discussed; petition to request a referendum on a mayoral form of Executive; find out from The Cabinet’s Forward Plan, what major decisions are to be discussed by The Cabinet or decided by The Cabinet or officers, and when; see public reports and background papers, and any record of decisions made by the Council, The Cabinet and any Committee; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 8 complain to the Council using the Council’s adopted complaints procedure; 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 Committee if they have evidence which they think shows that a Councillor has not followed the Council’s Code of Conduct; inspect the Council’s accounts and make their views known to the external auditor; speak at the Planning Committees and its Sub-Committees, and put questions to the Council meeting. The Council welcomes participation by its citizens in its work. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 9 PART 2 ARTICLES OF THE CONSTITUTION Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 10 PART 2 - ARTICLES OF THE CONSTITUTION ARTICLE 1 - THE CONSTITUTION 1.01 Powers of the Council The Council will exercise all its powers and duties in accordance with the law and this Constitution. 1.02 The Constitution This Constitution, and all its appendices, is the Constitution of East Riding of Yorkshire Council. The purpose of the Constitution is to:- 1.03 enable the Council to provide clear leadership to the community in partnership with citizens, businesses and other organisations; support the active involvement of citizens in the process of local authority decisionmaking; help Councillors represent their constituents more effectively; enable decisions to be taken efficiently and effectively; create a powerful and effective means of holding decision-makers to public account; ensure that no one will review or scrutinise a decision in which they were directly involved; ensure that those responsible for decision making are clearly identifiable to local people and that they explain the reasons for decisions, and provide a means of improving the delivery of services to the community. Interpretation and Review of the Constitution Where the Constitution permits the Council to choose between different courses of action, the Council will always choose that 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 15. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 11 ARTICLE 2 - MEMBERS OF THE COUNCIL 2.01 2.02 Composition and Eligibility (a) Composition. The Council comprises 67 Members, otherwise called Councillors. One or more Councillors will be elected by the voters of each ward (b) Eligibility. Only registered voters of the area or those living or working there will be eligible to hold the office of Councillor. Election and Terms of Councillors Election and Terms. The regular election of Councillors will be held on the first Thursday in May every four years. The terms of office of Councillors will start on the fourth day after being elected and will finish on the fourth day after the date of the next regular election. 2.03 Roles and Functions of All Councillors (a) (b) Key roles. All Councillors will:(i) Collectively be the ultimate policy-makers and carry out a number of strategic and corporate management functions; (ii) actively encourage community participation and citizen involvement in decision making; (iii) represent their communities and bring their views into the Council’s decisionmaking process; (iv) deal with individual casework and act as an advocate for constituents in resolving particular concerns or grievances; (v) respond to constituents’ enquiries fairly and impartially; (vi) participate in the governance and management of the Council; (vii) be available to represent the Council on other bodies, and (viii) maintain the highest standards of conduct and ethics. Rights and Duties (i) Councillors 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) Councillors will not make public, information which is exempt or confidential without the consent of the Council or divulge information given in confidence to anyone other than a Councillor or officer entitled to know it. (iii) For these purposes, “confidential information” and “exempt information” are defined in Access to Information Rules in Part 4 of this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 12 2.04 Conduct Councillors will at all times observe the Members’ Code of Conduct, other codes of practice as approved from time to time by the Council and the Protocol on Councillor/Officer relations as set out in Part 5 of this Constitution. 2.05 Allowances Councillors will be entitled to receive allowances in accordance with the Councillors Allowances Scheme set out in Part 6 of this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 13 ARTICLE 3 - CITIZENS AND THE COUNCIL 3.01 Citizens’ Rights Citizens have the following rights. Their rights to information and to participate are explained in more detail in the Access to Information Procedure Rules in Part 4 of this Constitution. 3.02 (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) record meetings of the Council, Cabinet and Committees except where confidential or exempt information is likely to be disclosed and the meeting is therefore held in private; (iii) attend all decision making meetings of The Cabinet except where confidential or exempt information is likely to be disclosed; (iv) find out from the Forward Plan what key decisions will be taken by The Cabinet or Council and when; (v) see reports and background papers, and any records of decision made by the Council, The Cabinet or any Committee, and (vi) inspect the Council’s accounts and make their views known to the external auditor. (c) Participation. Citizens have the right to contribute to investigations by the Overview Management Committee and its Sub-Committees when requested and to contribute to the review of Council policies through the submission of comments via the website. They also have the right to submit petitions and deputations to the Council, ask questions at Council meetings and speak at the Planning Committee and its Sub-Committees in line with the Council’s Scheme for Public Speaking. (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; (iii) the Monitoring Officer about a breach of Councillor’s Code of Conduct. Citizens’ Responsibilities Citizens must not be violent, abusive or threatening to Councillors or officers and must not wilfully harm things owned by the Council, Councillors or officers. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 14 ARTICLE 4 - THE COUNCIL 4.01 4.02 Meanings (a) Policy Framework. The Council has determined that the Policy Framework shall comprise all major corporate plans, strategies and objectives of the Council, this includes the Statement of Licensing Policy. Decisions on those matters are reserved for the Full Council following receipt of advice from The Cabinet. In the case of any doubt or uncertainty as to whether or not a matter falls within this definition, the matter shall be determined by the Council’s Monitoring Officer. (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 requirements, the control of its capital expenditure and the setting of virement limits. 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 and the budget; (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) appointment of the Leader of the Council; (e) election of the Chairman and Vice Chairman of the Council; (f) agreeing and/or amending the terms of reference for Committees, deciding on their composition and making appointments to them, with the exception of the terms of reference of the Licensing Act 2003 Committee; (g) appointing representatives to outside bodies unless the appointment is an Executive function or has been delegated by the Council; (h) adopting the Councillors allowances scheme; (i) changing the name of the area, conferring the title of honorary alderman or freedom of the borough; (j) appointment of the Head of Paid Service and the designation of the Monitoring Officer and the Chief Finance Officer; (k) making, amending, revoking, re-enacting or adopting bylaws and promoting or opposing the making of local legislation or personal Bills; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 15 4.03 (l) all local choice functions set out in Part 3 of this Constitution which the Council decides should be undertaken by itself rather than The Cabinet or one of its Committees, and (m) 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 and they will be conducted in accordance with the Council Procedure Rules in Part 4 of the Constitution. 4.04 Responsibility for Functions The Council will maintain the details in Part 3 of this Constitution setting out how the Council’s functions which are not the responsibility of The Cabinet will be discharged. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 16 ARTICLE 5 - CHAIRING THE COUNCIL 5.01 Role and Function of the Chairman The Chairman will be elected by the Council annually. The Chairman of the Council, and in his/her absence, the Vice-Chairman, will have the following roles and functions:- 5.02 to uphold and promote the purposes of the Constitution, and to interpret the Constitution where necessary on advice from the Chief Executive; to preside over meetings of the Council so that its business can be carried out efficiently and with regard to the rights of Councillors and the interests of the community; to ensure that the Council meeting is a forum for the debate of matters of concern to the local community and the place at which Councillors (who are not in The Cabinet) are able to hold The Cabinet to account; to promote public involvement in the Council’s activities; to be the conscience of the Council; to attend such civic and ceremonial functions as the Council and he/she determines appropriate, and to agree matters of special urgency to the extent permitted by the Local Authorities (Executive Arrangements) (Meetings and Access to Information) (England) Regulations 2012 as amended. to agree that a meeting of The Cabinet may take place at which the public may be excluded in accordance with Paragraph 11.1 of the Access to Information Procedure Rules where compliance with regulation 5 of the Local Authority (Executive Arrangements) (Meetings and Access to Information) (England) Regulations 2012 is impracticable. Eligibility to be Chairman or Vice Chairman A Member of the Cabinet may not be elected as Chairman or Vice Chairman. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 17 ARTICLE 6 - OVERVIEW MANAGEMENT COMMITTEE AND ITS SUBCOMMITTEES 6.01 The Council will at its Annual Meeting appoint an Overview Management Committee and Sub-Committees to discharge the functions conferred by Section 9F of the Local Government Act 2000. 6.02 The Overview and Scrutiny Committee and Sub-Committees currently appointed by the Council are detailed below and their functions are to review the general policies of the Council and scrutinise individual decisions relating thereto in the following areas and reflect the Council’s corporate priorities:- 6.03 Overview Management Committee - To co-ordinate the Overview and Scrutiny function Plan, allocate and monitor reviews Approve additions and amendments to the work programmes Corporate scrutiny (Finance, Human Resources, Administration and Property and ICT) Children and Young People Sub-Committee - Education including Community Education Social and Care Services - Children Child Poverty Youth and Family Support Safer and Stronger Communities Sub-Committee - Police, Crime and Anti-Social Behaviour, Drug Action Community Cohesion Public Protection Housing Environment and Regeneration Sub-Committee - Economic Development and Regeneration Tourism Culture, Leisure, Libraries and Museums Planning and Forward Planning Transport and Highways The Environment and Flood Risk Management Waste and Recycling Employment - Social and Care Services - Adults Health Services Accident Reduction Public Health Health Care and Wellbeing Sub-Committee Role The role of Overview and Scrutiny shall be: Scrutiny and review of The Cabinet decisions. Scrutiny and review of policy implementation. To advise on policy development and review as requested by The Cabinet. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 18 6.04 External/cross cutting scrutiny of services and policy including the performance of other public bodies and specifically in relation to its statutory responsibilities regarding the Health Service. To provide advice and make recommendations, where appropriate, to The Cabinet before decisions are made. Monitor performance in the areas contained in their terms of reference. Exercise the right of call-in of decisions and recommendations made but not yet implemented by The Cabinet or Council. Assist the Council and The Cabinet in the development of the budget and policy framework. Make recommendations to The Cabinet, Council or appropriate Committee arising out of the scrutiny process. To advise The Cabinet on Scrutiny Reviews undertaken by individual Review Panels. Scrutiny Review Panels Scrutiny Reviews will be undertaken by Review Panels which will be appointed on a time limited basis to undertake a particular review. These Panels will meet in private and report through to the relevant Sub-Committee. Panels will comprise a core voting membership of six Members and any other Members or other persons as a Panel considers appropriate in a non-voting capacity. Scrutiny Review Panels will not be established for the purpose of developing new Policy proposals unless requested to do so by The Cabinet. 6.05 Principles The basic principles governing the operation of the Overview and Scrutiny functions are:(a) The process must be Member led. (b) Subject to (c) and (d) below, the responsibility for identifying and determining items of business to be considered by the Overview Management Committee and its SubCommittees, rests with the Members of each Committee. This will include the “calling in” of Cabinet decisions or recommendations and identification of issues being considered by The Cabinet which they may wish to examine. Such action must be undertaken within the Terms of Reference set by the Full Council. (c) Monitoring reports (eg OFSTED) will be submitted to the relevant Sub-Committee and reports requiring a decision (eg District Audit) will be submitted to The Cabinet. (d) The Cabinet will refer business to and seek advice from the Overview Management Committee or its Sub-Committees as it considers appropriate. Such referrals will be accompanied by an indication of its preliminary view on the matter under consideration. Recommendations for referral shall not be made by officers. (e) The Overview Management Committee and its Sub-Committees shall not consider any business of an operational nature, unless it is part of a review of how a policy has been implemented or part of a Value for Money Review and shall not look to develop new Policy proposals unless requested to do so. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 19 (f) 6.06 Councillors are encouraged to feed in the views of the electorate. Ground Rules The Council has agreed that the following Ground Rules will guide the operation of the Overview and Scrutiny function:(a) Chairmen and Vice-Chairmen of the Overview Management Committee and its SubCommittees will be appointed mainly from the Conservative Group, with the exception of the Overview Management Committee. (b) The construction of agendas will be agreed with Chairmen and Vice-Chairmen prior to distribution. This will take the form of an Agenda setting meeting. Any Member will be able to propose items for inclusion on the Agenda. (c) Officers will respond to requests for information on areas being scrutinised by a Committee or Sub-Committee through the submission of such information in the form of a report to Committee or Sub-Committee but will not, with the exception of (d) below, generate business through the submission of reports not requested by the Committee, or Sub-Committee. (d) Joint Directors’ reports will be submitted periodically to update the Overview Management Committee and its Sub-Committees on progress towards achieving the Council’s Corporate Priorities. Such reports shall deal only with specific matters either currently being scrutinised by the Committee or Sub-Committee or scheduled for future scrutiny. Monitoring and Value for Money reports will also be submitted as appropriate. (e) Reports for information will not be submitted and information will be disseminated to Members through regular newsletters and seminars. (f) One Member of the Corporate Management Team shall be allocated to oversee each Overview and Scrutiny Sub-Committee. Directors will also be responsible for determining which officers represent their Directorate at meetings, although this will not preclude attendance by other officers at the request of the Committee or SubCommittee. General co-ordination will be the responsibility of Democratic Services through the Overview and Scrutiny Team Leader. (g) Other Members of the Council, or representatives of external organisations may, with the agreement of the Chairmen and Vice-Chairmen, be requested to attend to provide information on a particular subject, and such agenda items shall be brought forward on the Agenda as appropriate. (h) In the event of a tied vote occurring, the Chairman of that particular meeting shall exercise his or her casting vote. (i) All Review Panels established by the Overview Management Committee will have a ratio of either four Conservatives and one Liberal Democrat and one Labour Member or four Conservative, one Labour and one Independent Member. Review Panels can co-opt other Members from all groups if they wish in a non-voting capacity. (j) Individual decisions of regulatory or Non-Executive Committees are not subject to the call-in procedure, although the Overview Management Committee and its SubCommittees may make reports on such functions as part of a policy review. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 20 6.07 Proceedings The Overview Management Committee and its Sub-Committees shall conduct their proceedings in accordance with the procedure rules set out in Part 4 of this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 21 ARTICLE 7 - THE CABINET 7.01 Role The functions of The Cabinet shall be:- 7.02 (a) Subject to (b) below, to implement, within policy, all the functions of the Council with the exception of the matters referred to in Article 8 of the Constitution in accordance with the provisions of appropriate legislation. (b) To advise the Council on all corporate policies, plans and strategies, including the fixing of the budget, Council Tax levels, establishment of any level of reserves and provisions which remain the responsibility of that body, and all matters requiring a decision outside previously approved policies. Meetings All decision making meetings of The Cabinet will be held in public except when exempt or confidential matters are discussed. 7.03 Form and Composition The Cabinet comprises ten Members. The form and composition will be determined by the Leader of the Council annually. The scheme of delegation to The Cabinet will be as set out in Part 3 of this Constitution. 7.04 Leader The Council will appoint a Councillor as Leader of the Council at the Annual Meeting following the local elections for a period of four years. No executive power shall be delegated to the Leader. 7.05 Deputy Leader The Leader will appoint a Councillor as Deputy Leader of the Council at the Annual meeting following the local elections for a period of four years. The Deputy Leader will assume the duties and responsibilities of the Leader in his/her absence. No executive powers shall be delegated to the Deputy Leader. 7.06 Other Cabinet Members The Leader of the Council will appoint Cabinet Members at the Annual Meeting. 7.07 Term of Office The Leader and Deputy Leader will hold office for a period of four years or until: he/she resigns from the office; or he/she is removed as Leader on resolution of the Council; or he/she is no longer a councillor; or the Deputy Leader is removed from office by the Leader of the Council; or Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 22 the Annual meeting of the Council following the local elections. A Cabinet Member will hold office until:- 7.08 he/she resigns from the office; or he/she is no longer a councillor; or the next Annual meeting of the Council save that the Council or the Leader as appropriate may remove them from office at an earlier date. Portfolios The Deputy Leader and Portfolio Holders will be appointed by the Leader of the Council. The current portfolios are:Portfolio Portfolio Holder Children, Young People and Education Councillor Abraham Planning, Highways and Transportation Councillor A Burton Civic Wellbeing and Culture Councillor R Burton Council Corporate Services and Performance Councillor Cracknell Economic, Investment and Inequalities Councillor Evison Asset Management, Housing and Environment Councillor Fraser Adult and Carer Services Councillor Harrap Community Involvement and Local Partnerships Councillor Horton Portfolio holders have no delegated powers. 7.09 Ground Rules The following ground rules will apply to the operation of The Cabinet: All decisions will be made collectively with no power to make decisions being given to individuals. Non Cabinet members may attend meetings and remain for the consideration of exempt business unless The Cabinet decides otherwise. No such members shall speak unless invited to do so by The Cabinet. No substitutes are permitted. Meetings will be chaired by the Leader. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 23 7.10 Proceedings The Cabinet will conduct its proceedings in accordance with the procedure rules set out in Part 4 of this Constitution. 7.11 A list will be maintained in Part 3 of this Constitution setting out the responsibilities for the exercise of executive functions. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 24 ARTICLE 8 COMMITTEES 8.01 REGULATORY AND OTHER NON-EXECUTIVE Committees The Council’s regulatory and other Non-Executive Committees are:Membership 8.02 Planning Committee 12 Members 2 x Area Planning Sub-Committees 12 Members Staff Terms and Conditions Committee 7 Members Licensing Committee 9 Members Licensing Act 2003 Committee 10 Members Licensing Act 2003 Sub-Committee 3 Members Pensions Committee 10 Members Audit Committee 8 Members Appointments Committee 4 Members 2 Appeals Committees for: Housing Matters Education Grants 3 Members Standards Committee 8 Members Health and Wellbeing Board 5 Members Method of Dealing with Matters All matters which are not the responsibility of The Cabinet will be dealt with by one of the above Committees or, where there is no appropriate Committee, through one of the following:- 8.03 Officer delegations; by the Council following receipt of advice from The Cabinet. Ground Rules The following ground rules will apply to meetings of regulatory and Non-Executive Committees: Chairmen and Vice-Chairmen will be appointed at the Annual Council Meeting mainly from the Conservative Group, with the exception of the Standards Committee where the Chair will be rotated on a ratio of 4/1/1/1 (Conservative/Labour/Liberal Democrat/Independent/UKIP). Except in the case of a Committee or Sub-Committee exercising a quasi-judicial function or of anybody interviewing candidates for staff appointments, non-Members may attend meetings of Committees and may, unless the Committee decides otherwise, remain for the consideration of any item of exempt business. No such Member shall speak unless invited to do so by the Committee or Sub-Committee concerned. The Chairman of any meeting will use his/her casting vote in the event of a tied vote occurring with the exception of voting on an amendment. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 25 8.04 All working groups established by Non-Executive Committees have a ratio of three Conservatives and one Member from another group. Such Working Groups are permitted to co-opt other Members if they wish. Proceedings Regulatory or Non-Executive Committees will conduct their proceedings in accordance with the procedure rules set out in Part 4 of this Constitution. 8.05 Terms of Reference The terms of reference and functions of these Committees are set out in Part 3 of this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 26 ARTICLE 9 - THE STANDARDS COMMITTEE 9.01 The Council has established a Standards Committee, an Assessment Sub-Committee and a Hearing Committee. 9.02 Composition 9.03 The Committee consists of eight Members of East Riding of Yorkshire Council, three independent members and three Parish Council representatives. The independent members and Parish representatives will be appointed by the Standards Committee. Only one East Riding of Yorkshire Council Member shall be a Member of its Cabinet and the Leader of the Council shall not be that Member. No substitute Members will be permitted. The Chairmanship will rotate on a ratio of 4/1/1/1/1 (Conservative/Labour/Liberal Democrat/Independent/UKIP). Role and Functions of the Committee To monitor the operation of and compliance with the Local Codes of Conduct/Practices. All matters arising from or relating to the Local Codes of Conduct/Practices. Advising the Council on the adoption or revision of a local Code of Conduct. To consider and determine allegations and make arrangements under which allegations about Members’ conduct can be investigated and arrangements under which decisions on allegations about Members’ conduct can be made under Section 28(6) of the Localism Act 2011. Issues relating to Member training on matters relating to standards of conduct. The monitoring of and issues relating to the declaration of interests and offer/receipt of gifts and hospitality by Members. Issues arising from breaches of confidentiality and the disclosure of exempt information by Members. Any matter raised by the District Auditor in relation to matters within the remit of the Committee. The breach of the Council’s Constitution relating to the conduct of Members at meetings of the Council and its Committees/Sub-Committees. To deal with issues relating to a breach by Councillors of the Council’s Drug and Alcohol policy. The Committee will also act as the Standards Committee in relation to the Parish Councils wholly in its area and the Members of those Parish Councils. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 27 9.04 Role and Functions of the Sub-Committees An Assessment Sub-Committee has been established with the following function: To receive and determine whether complaints about Councillors’ conduct should be investigated or other action taken. A Hearing Committee has been established with the following function: 9.05 To determine complaints referred for investigation where it is recommended by the Monitoring Officer that a breach of the Code of Conduct has been established or where the Standards Committee considers that a breach of the Code of Conduct has been disclosed. Composition of Sub-Committee/Hearing Committee The Assessment Sub-Committee and Hearing Committee will comprise three East Riding of Yorkshire Council Members (to be selected from at least two different political groups from the membership of the Standards Committee), one parish council representative and one independent member - to be selected on a meeting by meeting basis by the Director of Corporate Resources, with the Chairmanship rotating on the same allocation as the full Committee. 9.06 Meetings The Committee, Sub-Committee and Hearing Committee meet as and when required and at least annually. 9.07 9.08 Quorum The Quorum for meetings of the Standards Committee is three Members. Three East Riding of Yorkshire Council Members have to be present at the SubCommittee/Hearing Committee. Proceedings The Standards Committee will determine its own procedures. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 28 ARTICLE 10 - AREA PLANNING SUB-COMMITTEES 10.01 Planning Sub-Committees The Council has appointed two Area Planning Sub-Committees to deal with planning and associated matters only within their respective areas. 10.02 Composition The Area Planning Sub-Committees are:Name Membership Wards Eastern Area 12 Members Beverley Rural, Bridlington Central and Old Town, Bridlington North, Bridlington South, Driffield and Rural, East Wolds and Coastal, Mid Holderness, Minster and Woodmansey, North Holderness, South East Holderness, South West Holderness and St. Mary’s. Western Area 12 Members Cottingham North, Cottingham South, Dale, Goole North, Goole South, Hessle, Howden, Howdenshire, Pocklington Provincial, Snaith, Airmyn and Rawcliffe and Marshlands, South Hunsley, Tranby, Willerby and Kirk Ella and Wolds Weighton 10.03 Terms of Reference The terms of reference and functions of the Committees are set out in Part 3 of this Constitution. 10.04 Proceedings Area Planning Sub-Committees will conduct their proceedings in accordance with the regulatory and non-executive procedure rules set out in Part 4 of this Constitution. 10.05 Area Committees The Cabinet has not delegated any executive functions to Area Committees. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 29 ARTICLE 11 - JOINT ARRANGEMENTS 11.01 At Councillor level the Council currently has joint arrangements with Kingston upon Hull North East Lincolnshire and North Lincolnshire on the Humber Local Transport Body. 11.02 The Council also has joint working arrangements at officer level regarding emergency planning and purchasing and supplies with its neighbouring Unitary Authorities. 11.03 Arrangements to Promote Well-being The Council or The Cabinet, in order to promote the economic, social or environmental well-being of its area, may: enter into arrangements or agreements with any person or body; co-operate with, or facilitate or co-ordinate the activities of, any person or body, and exercise on behalf of that person or body any functions of that person or body. 11.04 Joint Arrangements The Council may establish joint arrangements with one or more local authorities to exercise functions which are not Executive functions in any of the participating authorities, or to advise the Council. The Cabinet 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. Except as set out below, The Cabinet may only appoint Cabinet Members to a joint committee and those members need not reflect the political composition of the local authority as a whole. The Cabinet may appoint members to a joint committee from outside The Cabinet if 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 Cabinet may appoint to the joint committee any Councillor 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. Details of any joint arrangements including any delegations to joint committees will be found in the Scheme of Delegation in Part 3 of this Constitution. 11.05 Access to Information The Access to Information Rules in Part 4 of this Constitution apply. If all the Members of a joint Committee are Members of The Cabinet in each of the participating authorities then its Access to Information regime is the same as that applied to The Cabinet. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 30 If the joint Committee contains Members who are not on The Cabinet of any participating authority then the Access to Information rules in Part VA of the Local Government Act 1972 will apply. 11.06 Delegation to and from other local authorities The Council may delegate non-executive functions to another local authority or, in certain circumstances, The Cabinet of another local authority. The Cabinet may delegate Executive functions to another local authority or The Cabinet of another local authority in certain circumstances. The decision whether or not to accept such a delegation from another local authority shall be reserved to the Council. 11.07 Contracting out The Council (for functions which are not Cabinet functions) and The Cabinet (for Cabinet functions) may contract out to another body or organisation functions which may be exercised by an officer and which are subject to an order under section 70 of the Deregulation and Contracting Out Act 1994, or under contracting arrangements where the contractor acts as the Council’s agent under usual contracting principles. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 31 ARTICLE 12 – OFFICERS 12.01 General. The Council may engage such staff (referred to as ‘officers’) as it considers necessary to carry out its functions. 12.02 Directors. The Council will engage persons for the following posts, who will be designated Head of Paid Service and Directors. These officers, together with the Chief Finance Officer, will comprise the Council’s Corporate Management Team. Post Functions and areas of responsibility Chief Executive (and Head of Paid Service) Overall corporate management and 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 and advising the Standards Committee. Representing the Council on partnerships and external bodies (as required by statute or the Council). Managerial responsibility for the following functions:Corporate Policy Chair of Corporate Management Team (All Directors) Director of Corporate Resources Provision of legal and other relevant professional advice to all parties in the decision making process. Managerial responsibility for the following functions:Legal and Democratic Services Finance Services Human Resources and Support Services Customer Services NOTE: In certain circumstances the Council’s Planning and Development Management functions will be exercised by this Director. Director of Corporate Strategy and Commissioning Provision of advice on matters relating to Corporate Policy and Strategy Management responsibility for:Business Management Resource Strategy Performance and Strategic Partnerships Public Health Adult Services Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 32 Post Functions and areas of responsibility Director of Public Health Responsibility for functions under:National Health Service Act 2006 Health and Social Care Act 2012 Public Health Director of Children, Families and Schools Managerial responsibility for the following functions:Children and Young People, Education and Schools Children and Young People, Support and Safeguarding Children and Young People, Specialist Services Director of Environment and Neighbourhood Services Provision of all customer related services. Managerial responsibility for the following functions:Housing, Transport and Public Protection Culture and Information Streetscene Services Infrastructure and Facilities Director of Planning and Economic Regeneration Managerial responsibility for the following functions:Economic Development Planning and Development Management Asset Strategy NOTE: In certain circumstances the Planning and Development Management functions will be exercised by the Director of Corporate Resources. 12.03 Specific Designations The Council has designated the following posts: Head of Paid Service Monitoring Officer Chief Finance Officer - Chief Executive Head of Legal and Democratic Services Head of Finance 12.04 Management Structure The overall management structure is as set out in Part 7 of this Constitution. 12.05 Functions of the Head of Paid Service Discharge of functions by the Council. The Head of Paid Service will report to the 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. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 33 Restrictions on functions. The Head of Paid Service may not be the monitoring officer but may hold the post of chief finance officer if a qualified accountant. 12.06 Role and Functions of the Monitoring Officer Functions and Responsibilities The principal functions and responsibilities of the Monitoring Officer are:(a) to report to the Council and The Cabinet in any case where he/she is of the opinion that any proposal or decision would give rise to any illegality, maladministration or breach of statutory code under Sections 5 and 5(a) of the Local Government and Housing Act 1989: such matters to be referred to as ‘reportable incidents’; (b) in conjunction with the Chief Executive to act as the Principal Adviser to the Standards Committee. The Monitoring Officer shall not act as adviser to the Committee in cases where he/she has been involved in an investigation or where a conflict arises; (c) to maintain the register of Members’ Interests; (d) to ensure the preparation, publication and retention of records of decisions taken by or on behalf of the Council, The Cabinet and other Committees; (e) to deal with Ombudsman complaints; (f) to be responsible for arranging investigations into allegations of breaches of Codes of Conduct in respect of Parish and Town Councils within the area of the Authority, and (g) to make arrangements in conjunction with the Standards Committee for the provision of advice and training to Members of the Council and Members of Parish and Town Councils on the ethical framework. (h) grant dispensations pursuant to S33 Localism Act 2011. Resources For the purposes of carrying out these functions, the Monitoring Officer shall have:(a) the right of access to all documents held on behalf of the Council. This does not extend to documents and information held by or on behalf of any political party; (b) the right of access to any meetings of officers or Members of the Council. This does not extend to any meetings held by or on behalf of any political party; (c) the right to require the assistance of any officer of the Council in undertaking the role of Monitoring Officer; (d) authority to agree a local resolution of any complaint of maladministration or breach of the Council’s Code in consultation with the Chief Executive including power to agree a compensation payment of up to £5,000 in any one case; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 34 (e) authority, after consultation with the Chief Executive and Head of Finance, to notify the Police and other regulatory agencies of concern in respect of any matter; (f) the right to obtain at the Council’s expense external legal advice. Discharge of Functions and Responsibilities The Monitoring Officer’s functions and responsibilities will be discharged in the following ways:(a) he or she should be routinely informed and consulted in respect of any new policy proposals being formulated by other officers; (b) officers should seek advice on appropriate matters, should any matter be progressed by officers contrary to that advice the Monitoring Officer will consider whether or not a public report is required; (c) where a complaint of a potential reportable incident is received, the Monitoring Officer shall seek to resolve the matter amicably by ensuring that any illegality, failure of process or breach of the Council’s Code of Conduct is avoided or rectified; (d) in appropriate cases, the Monitoring Officer may rely upon existing processes within the Authority, such as internal appeals procedures or insurance arrangements to resolve any potential reportable incident, and (e) in appropriate cases, the Monitoring Officer shall be entitled to add his or her written advice to the report of any other officer of the Council. Conflicts Where the Monitoring Officer is in receipt of a complaint and is aware of a potential reportable incident relating to a matter on which he/she has previously advised, he/she shall consult the Chief Executive, who may then refer the matter to another officer for investigation and report back to the Chief Executive. 12.07 Role and Functions of the Chief Finance Officer The principal functions and responsibilities of the Chief Finance Officer are:(a) to ensure lawfulness and financial prudence of decision making in consultation with the Chief Executive and the Monitoring Officer and to report to the Council, The Cabinet or external auditor as appropriate including any report under Section 114 of the Local Government and Finance Act 1988; (b) to have responsibility for the proper administration of the financial affairs of the Council in accordance with Section 151 of the Local Government Act 1972 and the Accounts and Audit Regulations 2015 and to lead and manage an effective and responsible financial service; (c) to contribute to the corporate management and leadership of the Council, in particular to provide professional financial advice as set out in the statutory guidance issued by the Secretary of State under the Local Government Act 2000; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 35 (d) to advise all Members and officers about statutory powers, maladministration, financial impropriety and probity, budget, reserves and policy framework issues as set out in the statutory guidance issued by the Secretary of State under the Local Government Act 2000; (e) to provide financial information to the media, members of the public and the community as set out in the statutory guidance issued by the Secretary of State under the Local Government Act 2000. Resources For the purpose of carrying out these functions, the Chief Finance Officer shall have: the necessary staff, systems, accommodation and other resources to allow his or her duties to be performed; the right of access to all documents held by or on behalf of the Council; this does not extend to any documents or information held by or on behalf of any political party; the right of access to all Members both individually and collectively and to the Council, Cabinet, Audit Committee, Overview and Scrutiny and any other Committees; this does not extend to any meetings held by or on behalf of any political party; membership of the Corporate Management Team; direct access to the Chief Executive, where this is necessary to discharge his or her functions and responsibilities; direct access to the Council’s internal audit function and the ability to control and influence both the work programme of internal audit to support his/her statutory duties and the quantity and quality of staff available to undertake the relevant internal audit projects; direct access to external audit and the inspectorates to ensure that they have a good understanding and complete, up to date information about financial arrangements in operation in the Authority. Discharge of Functions and Responsibilities The Chief Finance Officer’s functions and responsibilities will be discharged in the following ways in order to fulfil the statutory and public interest responsibilities of the role. The Chief Finance Officer will:(a) Contribute to the development and implementation of the Council’s strategy and ensure that its objectives are resourced and are delivered sustainably and in the public interest. In discharging this function, the Chief Finance Officer will: Contribute to the effective leadership of the Authority, maintaining focus on its purpose and vision through rigorous analysis and challenge. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 36 Contribute to the effective corporate management of the Authority, including strategy implementation, cross organisational issues, integrated business and resource planning, risk management and performance management. Support the effective governance of the authority through the development of: corporate governance arrangements; the risk management and reporting framework; and corporate decision making arrangements. Lead the development of the Medium Term Financial Strategy and the annual budgeting process to ensure financial balance and a monitoring process to ensure its delivery. (b) Be actively involved in, and able to bring influence to bear on, all material business decisions to ensure immediate and longer term implications, opportunities and risks are fully considered, and alignment with the authority’s overall financial strategy. In discharging this function the Chief Finance Officer will: Maintain a long term financial strategy to underpin the Authority’s financial viability within the agreed performance framework. Implement financial management policies to underpin sustainable long-term financial health and review performance against them. Appraise and advise on commercial opportunities and financial targets. Develop and maintain an effective resource allocation model to deliver the Council’s corporate priorities. Lead on balance sheet management. Co-ordinate the financial planning and budgeting processes. Ensure that opportunities and risks are fully considered and decisions are aligned with the overall financial strategy. Provide professional advice and objective financial analysis, enabling Members and officers to take timely and informed decisions. Ensure that efficient arrangements are in place and sufficient resources available to provide accurate, complete and timely advice to support the development of strategy by Members. Ensure that clear, timely, accurate advice is provided to the Cabinet and Council in setting the budget. Ensure that the authority’s capital projects are chosen after appropriate value for money analysis and evaluation, using relevant professional guidance. Check at an early stage that innovative financial approaches comply with regulatory requirements. Monitor and report on financial performance, identifying any necessary corrective decisions. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 37 Prepare timely management accounts. (c) Lead the promotion and delivery by the whole authority of good financial management so that public money is safeguarded at all times and used appropriately, economically, efficiently and effectively. In discharging this function, the Chief Finance Officer will: Actively promote financial literacy throughout the authority. Ensure that policy and operational proposals with financial implications are signed off by the finance function. Apply strong internal controls in all areas of financial management, risk management and asset control. Establish budgets, financial targets and performance indicators to help assess delivery. Implement effective systems of internal control that include standing financial instructions, operating manuals, and compliance with codes of practice to secure probity. Ensure that the authority has put in place effective arrangements for internal audit of the control environment and systems of internal control, as required by professional standards and in line with CIPFA’s Code of Practice. Ensure that delegated financial authorities are respected. Promote arrangements to identify and manage key business risks, including safeguarding assets, risk mitigation and insurance. Apply discipline in financial management, including managing cash and banking, treasury management, debt and cash flow, with appropriate segregation of duties. Ensure the effective management of cash flows, borrowings and investments of the authority’s own funds and the pension and trust funds it manages on behalf of others; ensuring the effective management of associated risks; pursuing optimum performance or return consistent with those risks. Implement appropriate measures to prevent and detect fraud and corruption. Establish proportionate business continuity arrangements for financial processes and information. Ensure that any partnership arrangements are underpinned by clear and well documented internal controls. Report the financial performance of both the authority and its partnerships to the Cabinet and other parties as required. Ensure that financial information presented to members of the public, the community and the media covering resources, financial strategy, service plans, targets and performance is accurate, clear, relevant, robust and objective. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 38 Support and advise the Audit Committee and Overview Management Committee and Sub-Committees. Ensure that clear, timely, accurate advice is provided to the Cabinet and the Overview Management Committee and its Sub-Committees on what considerations can legitimately influence decisions on the allocation of resources, and what cannot. Prepare published budgets, annual accounts and consolidation data for government-level consolidated accounts. Ensure that the financial statements are prepared on a timely basis, meet the requirements of the law, financial reporting standards and professional standards as reflected in the Code of Practice on Local Authority Accounting in the United Kingdom developed by the CIPFA/LASAAC Joint Committee. Certify the annual statement of accounts. Ensure that arrangements are in place so that other accounts and grant claims meet the requirements of the law and of partner organisations and meet the relevant terms and conditions of schemes. Liaise with the external auditor. (d) Lead and direct a finance function that is resourced to be fit for purpose In discharging this function, the Chief Finance Officer will: Lead and direct the finance function so that it makes a full contribution to, and meets the needs of, the business. Determine the resources, expertise and systems for the finance function which are required to meet the Council’s needs and negotiate these within the overall financial framework. Implement robust processes for the recruitment of finance staff and/or outsourcing of functions. Seek continuous improvement in the finance function and review its performance, to ensure that the services provided are in line with the expectations and needs of its stakeholders. Identify, and equip finance staff, managers and the Corporate Management Team with, the financial competencies and expertise needed to manage the Council, both currently and in the future. Act as the head of profession for all finance staff in the Authority and the final arbiter on the application of professional standards. 12.08 Duty to Provide Sufficient Resources to the Monitoring Officer and Chief Finance Officer The Council will provide the Monitoring Officer and Chief Finance Officer with such officers, accommodation and other resources as are in their opinion sufficient to allow their Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 39 duties to be performed including those under Section 114 of the Local Government and Finance Act 1998 12.09 Conduct Officers will comply with the Officers’ Code of Conduct set out in Part 4 of the Constitution and the Protocol on Member/ Officer Relations set out in Part 5 of this Constitution. 12.10 Employment The recruitment, selection and dismissal of officers will comply with the Officer Employment Procedure Rules set out in Part 4 of this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 40 ARTICLE 13 - DECISION MAKING 13.01 Responsibility for Decision Making The Council will issue and keep up-to-date a record of what part of the Council or which individual has responsibility for particular types of decisions or decisions relating to particular areas or functions. This record is set out in Part 3 of this Constitution. 13.02 Principles of Decision Making All decisions of the Council will be made in accordance with the following principles:(a) proportionality (ie the action must be proportionate to the desired outcome); (b) due consultation and the taking of professional advice from officers; (c) respect for human rights; (d) a presumption in favour of openness, and (e) clarity of aims and desired outcomes. 13.03 Types of Decision (a) Decisions Reserved to the Council. Decisions relating to the functions listed in Article 4.02 will be made by the Council and not delegated. (b) Key Decisions (i) A Key Decision is an Executive decision to be taken by The Cabinet which falls within the following definition approved by the Council: Any decision relating to the approval of or variation to the Council’s policy framework or budget which is reserved in the Council’s constitution for determination by Full Council on a recommendation from The Cabinet (Any recommended to Council item), or Any decisions made in the course of developing proposals to the Full Council to amend the policy framework. This includes decisions made to amend draft policies for the purposes of consultation. Any decision which will result in income, expenditure or savings with a gross full year effect of £500,000 or greater whether or not the item has been included in the relevant approved budget with the exception of expenditure which is required for the day to day provision of services (eg day to day supplies, payment of energy bills etc.), or Any decision which is likely to have a significant impact on people living or working in communities in two or more Wards with the exception of decisions that involve two or more Wards simply because of the carrying out of a programme of works. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 41 (ii) A decision taker may only make a key decision in accordance with the requirements of The Cabinet Procedure Rules set out in Part 4 of this Constitution. 13.04 Decision Making by the Council Subject to Article 13.08, the Council meeting will follow the Council Procedure Rules set out in Part 4 of this Constitution when considering any matter. 13.05 Decision Making by The Cabinet Subject to Article 13.08, The Cabinet will follow The Cabinet Procedure Rules set out in Part 4 of this Constitution when considering any matter. 13.06 Decision Making by the Overview Management Committee and its Sub-Committees The Overview Management Committee and its Sub-Committees will follow the Overview and Scrutiny Procedure Rules set out in Part 4 of this Constitution when considering any matter. 13.07 Decision Making by Other Committees and Sub-Committees Established by the Council Subject to article 13.08 other Council Committees and Sub-Committees, with the exception of the Licensing Act 2003 Committee, will follow the regulatory and non-executive procedure rules set out in Part 4 of this Constitution. The principles of those procedure rules together with the principles of the Access to Information procedure rules which are also set out in Part 4 of this Constitution will however be applied to the Licensing Act 2003 Committee wherever possible. The procedure adopted by the Licensing Act 2003 Committee for the regulation of business conducted by the Licensing Act 2003 Sub-Committee are set out in the regulatory and nonexecutive procedure rules. 13.08 Decision Making by Council Bodies Acting as Tribunals The Council, a Committee or a Councillor or an officer acting at a tribunal or in a quasijudicial manner or determining/considering (other than for the purposes of giving advice) the civil rights and obligations or the criminal responsibility of any person will follow a proper procedure which accords with the requirements of natural justice and the right to a fair trial contained in Article 6 of the European Convention on Human Rights. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 42 ARTICLE 14 - FINANCE, CONTRACTS AND LEGAL MATTERS 14.01 Financial Management The management of the Council’s financial affairs will be conducted in accordance with the Financial Procedure Rules set out in Part 4 of this Constitution. 14.02 Contracts Every contract made by the Council will comply with the Contracts Procedure Rules set out in Part 4 of this Constitution. 14.03 Legal Proceedings The Director of Corporate Resources or other person authorised by him/her 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. 14.04 Authentication of Documents Where any document is necessary to any legal procedure or proceedings on behalf of the Council, it will be signed by the Director of Corporate Resources 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. 14.05 Common Seal of the Council The Common Seal of the Council will be kept in place in the custody of the Director of Corporate Resources. A decision of the Council, or of any part of it, will be sufficient authority for sealing any documentation necessary to give effect to the decision. The Common Seal will be affixed to those documents which in the opinion of the Director of Corporate Resources should be sealed. The affixing of the Common Seal will be attested by the Director of Corporate Resources or some other person authorised by him/her. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 43 ARTICLE 15 - REVIEW AND REVISION OF THE CONSTITUTION 15.01 Duty to Monitor and Review the Constitution The Chief Executive and the Monitoring Officer will monitor and review the Constitution to ensure that its aims and principles are given full effect. Those officers will, where necessary, report to The Cabinet which will then advise the Council. 15.02 Review of the Constitution by the Monitoring Officer and the Chief Executive A key role for the Chief Executive and 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 task the Chief Executive or 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. 15.03 Changes to the Constitution Changes to the Constitution will only be approved by the Full Council following receipt of advice and a recommendation from The Cabinet. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 44 ARTICLE 16 - SUSPENSION, INTERPRETATION AND PUBLICATION OF THE CONSTITUTION 16.01 Suspension of the Constitution The Articles of this Constitution may not be suspended. 16.02 Suspension of Procedure Rules With the exception of the procedure rules outlined in Paragraph 28 of the Council procedure rules (Part 4 of the Constitution) any such rules may be suspended subject to the procedure in Article 16.03 below. Procedure rules for The Cabinet and other Committees may not be suspended. 16.03 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 Councillors 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. 16.04 Publication The Chief Executive/Director of Corporate Resources will give a printed 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. The Chief Executive/Director of Corporate Resources will ensure that copies are available for inspection on the Council’s website and 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. The Chief Executive/Director of Corporate Resources will ensure that the summary of the Constitution is made widely available within the area and is updated as necessary. 16.05 Interpretation The ruling of the Chairman of the Council as to the construction or application of this Constitution or as to any proceedings of the Council shall not be challenged at any meeting of the Council. Such interpretation will have regard to the purposes of this Constitution contained in Article 1. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 45 SCHEDULE 1 : DESCRIPTION OF EXECUTIVE ARRANGEMENTS The following parts of this Constitution constitute the executive arrangements:Article 6 - Overview Management Committee and its Sub-Committees and the Scrutiny Procedure Rules Article 7 - The Cabinet and The Cabinet Procedure Rules Article 10 - Area Committees - where area committees have functions delegated to them by The Cabinet. Article 13 - Decision Making and the Access to Information Procedure Rules Part 3 - Responsibility for Functions Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 46 PART 3 RESPONSIBILITY FOR FUNCTIONS, TERMS OF REFERENCE, MEMBERSHIP AND SCHEME OF DELEGATION Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 47 PART 3 - RESPONSIBILITY FOR FUNCTIONS, TERMS OF REFERENCE, SCHEME OF DELEGATION AND MEMBERSHIP RESPONSIBILITY FOR FUNCTIONS 1 Local Choice Functions 1.1 The following matters shall be dealt with as Non-Executive functions:- 1.2 Town and Country Planning and Development Control Licensing and Registration Registration concerning the individual Protection of the environment Elections Issues relating to the name and status of areas and individuals The making, amending or revocation of byelaws Promotion or opposition to local or personal bills Local Government Pension Scheme Determination of appeals against the Authority Making arrangements for the determination of appeals relating to school exclusion and school admission decisions Arrangements for answering questions on police and fire matters at Council Appointment of first and second tier officers Staff Terms and Conditions Such other matters as determined by the Local Authorities (Functions and Responsibilities) (England) Regulations 2000 as amended Audit Decisions relating to the functions referred to in 1.1 above shall be made in one of the following ways: By officers in accordance with the scheme of delegation outlined in Part 3 of this Constitution. By one of the Regulatory or Non-Executive Committees listed in Article 8 of this Constitution. Where there is unlikely to be sufficient business to warrant the establishment of a Non-Executive Committee, by the Full Council following the receipt of advice from The Cabinet. Where any matter involves amendments to a corporate policy or strategy by the Council following the receipt of advice from the relevant Non-Executive Committee and The Cabinet. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 48 2 Council Functions The full Council will be responsible for all decisions outlined in Article 4 of this Constitution which will include:- 3 4 Approval or amendment of all corporate plans, policies and strategies and objectives of the Council including the Statement of Licensing Policy. All matters relating to the finances of the Council including budgets, Council Tax levels and financial regulations. Appointments of the Leader and Deputy Leader of the Council, Committees and Membership of Committees. Amendments to the Constitution. Decisions outside previously approved policy. Cabinet Functions The Cabinet will make all decisions within policy and budget on all the Council’s functions except those referred to in Section 1 of Part 3 of this Constitution and those where authority is delegated to an officer to make the decision. The Cabinet will advise the Full Council in the formulation or amendment of the policy framework and budgets. All decisions of The Cabinet will be made collectively at public meetings regardless of whether or not those decisions are Key Decisions. Individual Members of The Cabinet have no decision making powers. The Cabinet will deal with all urgent matters where there is no meeting of a Committee or Sub-Committee with appropriate delegated powers scheduled prior to a decision being needed. The Cabinet will establish such Committees or Working Groups as it considers appropriate to provide advice and assist in the discharge of executive functions. Overview and Scrutiny Functions The functions of the Overview Management Committee and its Sub-Committees are set out in Article 6 of this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 49 TERMS OF REFERENCE The terms of reference of The Cabinet, the Standards Committee, Overview and Scrutiny and Regulatory and Non-Executive Committees and Sub-Committees and the Overview Management Committee are as follows:THE CABINET Terms of Reference To guide the Council in the formulation of its policy framework, including the setting of the Budget and Council Tax levels. To discharge in accordance with the Council’s policy framework all those functions not discharged either by Non-Executive Committees or through delegations to officers. Advisory Functions To advise the Council on: All matters relating to the formulation of major corporate plans, strategies and objectives of the Council including the fixing of the budget, Council Tax levels, establishment of any level of reserves and provisions. All matters requiring a decision outside of the Council’s adopted policy framework. Delegated Functions To deal with all matters, within policy, other than those delegated either to Non-Executive Committees or to officers. To determine action to be taken on matters which, in the opinion of the Chief Executive, are of an urgent nature which must be dealt with before confirmation, approval of and adoption by the Council and when there is no meeting of a Committee or Sub-Committee with appropriate delegated powers scheduled to take place prior to a decision being needed. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 50 HEALTH AND WELLBEING BOARD Under the Health and Social Care Act 2012, local authorities are required to have in place and service a Health and Wellbeing Board. Terms of Reference 1. 2. To advance the health and wellbeing of the residents of the area. To encourage organisations which arrange for the provision of health and social care services to work closely together and with the Board to improve the health and wellbeing of residents of the area. To provide advice and assistance to encourage the making of arrangements under S75 National Health Service Act 2006. To undertake an annual assessment of health and social care needs in the East Riding. To agree an overarching Health and Wellbeing Strategy to inform local commissioning. To assess and publish a Pharmaceutical Needs Assessment for the East Riding. 3. 4. 5. 6. Delegated Powers 1. To prepare a Joint Strategic Needs Assessment (JSNA) 2. To prepare a joint Health and Wellbeing Strategy 3. To respond to consultations from Clinical Commissioning Groups (CCGs) on their draft commissioning plans and amendments to those plans 4. To respond to consultations from Clinical Commissioning Groups (CCGs) on their annual reports 5. To respond to consultations from NHS England in a performance assessment in relation to a Clinical Commissioning Group (CCG) 6. To assess and publish a Pharmaceutical Needs Assessment for the East Riding 7. To approve and monitor the Better Care Fund plan The Board will not: Area of Activity Focus on the delivery of specific health and wellbeing services Scrutinise the detailed performance of services Take responsibility for the outputs and outcomes of specific services Be the main vehicle for the patient voice Body Responsible Overview & Scrutiny Overview & Scrutiny Overview & Scrutiny Healthwatch Note - Membership of the Board will comprise: Five Portfolio Holders The Director of Children, Families and Schools The Director of Adult Services The Director of Public Health A representative nominated by Healthwatch A representative of the Vale of York Clinical Commissioning Group Three representatives of the East Riding Clinical Commissioning Group A representative of NHS England Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 51 CABINET COMMITTEE - ACCEPTANCE OF TENDERS Terms of Reference To deal with the urgent acceptance of tenders for contracts where an ordinary meeting of The Cabinet is not scheduled to be convened. CABINET WORKING GROUP - PLANNING POLICY To advise The Cabinet on the Local Development Framework and other Planning Policy issues. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 52 OVERVIEW MANAGEMENT COMMITTEE Terms of Reference To review the general policies and performance of the Council and external organisations in relation to the following areas:- Finance Human Resources Administration Property ICT To scrutinise individual Cabinet decisions relating to the above areas. To monitor the Council’s performance in the above areas. To co-ordinate the Overview and Scrutiny function. To plan scrutiny reviews including fixing a timetable for completion. To allocate scrutiny reviews to Overview and Scrutiny Sub-Committees. To monitor progress of scrutiny reviews. To approve mid-year additions and amendments to overview and scrutiny work programmes. To share experiences from Overview and Scrutiny Sub-Committees and Review Panels. To feedback on Review Panel reports prior to their submission to The Cabinet/partner organisations. To consider draft reports from Overview and Scrutiny Sub-Committees/Review Panels prior to them being finalised to offer any practical advice on improvement prior to their consideration by the Cabinet. ADVISORY FUNCTIONS To advise the Cabinet on: The development of the Policy Framework and budget. Policy implementation. Matters relating to Performance and Value for Money. Scrutiny Reviews undertaken by individual Review Panels. Note: These terms of reference are designed to enable the Committee to play a major role in supporting the Council’s actions to achieve its corporate priorities. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 53 SAFER AND STRONGER COMMUNITIES OVERVIEW AND SCRUTINY SUBCOMMITTEE Terms of Reference To review the general policies and performance of the Council and external organisations in relation to the following areas:- Police, Crime and Anti-Social Behaviour Public Protection Drug Action Community Cohesion Housing To scrutinise individual Cabinet decisions relating to the above areas. To monitor the Council’s performance in the above areas. Statutory responsibilities in respect of scrutiny of Crime and Disorder Reduction Partnerships. To act as the Council’s Crime and Disorder Committee pursuant to S19 Police and Justice Act 2009. ADVISORY FUNCTIONS To advise the Cabinet on: The development of the Policy Framework and budget. Policy implementation. Matters relating to Performance and Value for Money. Scrutiny Reviews undertaken by individual Review Panels. Note: These terms of reference are designed to enable the Sub-Committee to play a major role in supporting the Council’s actions to achieve its corporate priorities. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 54 ENVIRONMENT AND REGENERATION OVERVIEW AND SCRUTINY SUBCOMMITTEE Terms of Reference To review the general policies and performance of the Council and external organisations in relation to the following areas:- Economic Development and Regeneration Tourism Culture, Leisure, Libraries and Museums Planning and Forward Planning Transport and Highways The Environment and Flood Risk Management Waste and Recycling Employment To scrutinise individual Cabinet decisions relating to the above areas. To monitor the Council’s performance in the above areas. ADVISORY FUNCTIONS To advise the Cabinet on: The development of the Policy Framework and budget. Policy implementation. Matters relating to Performance and Value for Money. Scrutiny Reviews undertaken by individual Review Panels. Note: These terms of reference are designed to enable the Sub-Committee to play a major role in ensuring the Council achieves its corporate priorities. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 55 HEALTH, CARE COMMITTEE AND WELLBEING OVERVIEW AND SCRUTINY SUB- Terms of Reference To review the general policies and performance of the Council and external organisations in relation to the following areas:- Social and Care Services - Adults Health services Accident Reduction Public Health To scrutinise individual Cabinet decisions relating to the above areas. To monitor the Council’s performance in the above areas. Statutory responsibilities in respect of scrutiny of the NHS. ADVISORY FUNCTIONS To advise the Cabinet on: The development of the Policy Framework and budget. Policy implementation. Matters relating to Performance and Value for Money. Scrutiny Reviews undertaken by individual Review Panels. Note: These terms of reference are designed to enable the Sub-Committee to play a major role in ensuring the Council achieves its corporate priorities. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 56 CHILDREN AND YOUNG PEOPLE OVERVIEW AND SCRUTINY SUBCOMMITTEE Terms of Reference To review the general policies and performance of the Council and external organisations in relation to the following areas:- Education including Community Education Social and Care Services - Children Child Poverty Youth and Family Support To scrutinise individual Cabinet decisions relating to the above areas. To monitor the Council’s performance in the above areas. ADVISORY FUNCTIONS To advise the Cabinet on: The development of the Policy Framework and budget. Policy implementation. Matters relating to Performance and Value for Money. Scrutiny Reviews undertaken by individual Review Panels. Note: These terms of reference are designed to enable the Sub-Committee to play a major role in ensuring the Council achieves its corporate priorities. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 57 STANDARDS COMMITTEE Terms of Reference To guide the Council on the promotion of high standards of conduct for Members. Functions To monitor the operation of and compliance with the Local Codes of Conduct/ practices. All matters arising from or relating to the Local Codes of Conduct/practices. Advising the Council on the adoption or revision of a Local Code of Conduct. To consider and determine allegations and make arrangements under which allegations about Members’ conduct can be investigated and arrangements under which decisions on allegations about Members’ conduct can be made under Section 28(6) of the Localism Act 2011. Issues relating to Member training on matters relating to standards of Councillor conduct. The monitoring of and issues relating to the declaration of interests and offer/receipt of gifts and hospitality by Councillors. Issues arising from breaches of confidentiality and the disclosure of exempt information by Councillors. Any matter raised by the District Auditor in relation to matters within the remit of the Committee. The breach of the Council’s Standing Orders relating to the conduct of Members at meetings of the Council and its Committees/Sub-Committees. To deal with issues relating to a breach by Councillors of the Council’s drug and alcohol policy. Parish Matters The Committee will provide advice and training for Parish Councils in relation to the matters outlined in the above terms of reference and will be the Standards Committee for those authorities. STANDARDS COMMITTEE - ASSESSMENT SUB-COMMITTEE Terms of Reference To receive and determine whether complaints about Councillors’ conduct should be investigated or other action taken. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 58 LICENSING COMMITTEE Delegated Function To deal with all of the Council’s licensing and registration functions other than under the Licensing Act 2003, including the making of associated plans. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 59 LICENSING ACT 2003 COMMITTEE Terms of Reference Advisory To make recommendations via The Cabinet to the Council as ‘licensing authority’ on a Statement of Licensing Policy, Gambling Statement of Principles and policy not to permit casinos and any subsequent review thereof. To make recommendations via The Cabinet to the Council as ‘appropriate authority’ on policies relating to the licensing of establishments under Schedule 3 of the Local Government (Miscellaneous Provisions) Act 1982, as amended by Section 27 of the Policing and Crime Act 2009, including standard conditions where appropriate, and any subsequent reviews thereof. To refer to the Council any matter where the Licensing Act 2003 Committee is unable to discharge a function delegated to it because of the number of Members unable to take part in the consideration or discussion of any matter or vote on any question in respect of it. Delegated Powers To exercise all the functions of the ‘licensing authority’ under the Licensing Act 2003 and Gambling Act 2005, except the approval of the Statement of Licensing Policy and Gambling Statement of Principles. To exercise all the functions of the ‘appropriate authority’ under Schedule 3 of the Local Government (Miscellaneous Provisions) Act 1982, as amended by Section 27 of the Policing and Crime Act 2009, except the approval of any policies relating to the licensing of establishments under that Act, as amended. To determine the terms of reference and delegated powers of the Licensing Act 2003 SubCommittee as required by the Licensing Act 2003, Gambling Act 2005 and in exercising functions under Schedule 3 of the Local Government (Miscellaneous Provisions) Act 1982, as amended by Section 27 of the Policing and Crime Act 2009. To determine which functions under the Licensing Act 2003, Gambling Act 2005 and Schedule 3 of the Local Government (Miscellaneous Provisions) Act 1982, as amended by Section 27 of the Policing and Crime Act 2009, should be delegated to officers. To receive regular reports on decisions made by officers under delegated powers with regard to applications under the Licensing Act 2003, Gambling Act 2005 and Schedule 3 of the Local Government (Miscellaneous Provisions) Act 1982, as amended by Section 27 of the Policing and Crime Act 2009, so that the Committee can maintain an overview of the general situation. To receive reports from time to time when appropriate on the needs of the local tourist economy. To receive reports of the employment situation in the area and the need for new investment and employment where appropriate. To provide regular reports to the Planning Committee on the situation regarding licensed premises in the area. To determine the procedures to be followed at Licensing Act 2003 Sub-Committee hearings when hearing applications made under the Licensing Act 2003, Gambling Act 2005 and Schedule 3 of the Local Government (Miscellaneous Provisions) Act 1982, as amended by Section 27 of the Policing and Crime Act 2009. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 60 LICENSING ACT 2003 SUB-COMMITTEE Delegated Functions To determine applications under the Licensing Act 2003 as set out below: Application for personal licence If a representation is made and not withdrawn Application for personal licence with relevant unspent convictions All cases Application for premises licence/club premises certificate If a representation is made and not withdrawn Application for provisional statement If a representation is made and not withdrawn Application to vary premises licence/club premises certificate If a representation is made and not withdrawn Application to vary designated premises licence holder If a police representation is made and not withdrawn Application for transfer of premises licence If a police representation is made and not withdrawn Applications for interim authorities If a police representation is made and not withdrawn Application to review premises licence/club premises certificate All cases Application for summary review All cases Determination of a temporary Event Notice /Determination of an objection submitted by the Police or a relevant person to a Temporary Event Notice If a valid objection notice has been received and the notice has not been withdrawn Determination of application to vary premises licence at community premises to include alternative licence condition If police objection To determine applications under the Gambling Act 2005 as set out below: Application for Premises Licence Application for a provisional statement Application to vary a Premises licence Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) If a representation is made and not withdrawn or it is proposed to attach a condition under section 169(1)(a) of the Gambling Act 2005 or to exclude a condition under section 169(1) (b) of that Act. If a representation is made and not withdrawn or it is proposed to attach a condition under section 169(1)(a) of the Gambling Act 2005 or to exclude a condition under section 169(1) (b) of that Act. If a representation is made and not withdrawn or it is proposed to attach a condition under section 61 169(1)(a) of the Gambling Act 2005 or to exclude a condition under section 169(1) (b) of that Act. Application for the transfer of a Premises If a representation is made by the Gambling licence Commission and not withdrawn or it is proposed to attach a condition under section 169(1)(a) of the Gambling Act 2005 or to exclude a condition under section 169(1) (b) of that Act. Application for the reinstatement of a lapsed If representation is made licence Review of a premises licence - section 201 All cases Consideration of a temporary use notice If an objection is made and not withdrawn Decision to give a counter notice to a All cases temporary use notice Application for a Club gaming/club machine Where objections have been made and not permits withdrawn Cancellations of Club gaming/club machine permits All cases Refusal of an application to register as a small society lottery Where it has been identified, following a hearing, that the grounds detailed in paragraphs 47 or 48 of Schedule 11 of the Gambling Act 2005 apply Revocation of a registration as a small society lottery Where it has been identified that grounds exist which would have resulted in a refusal to register if the application were made anew To make an order under Section 284 of the Gambling Act 2005 removing the exemption of either the right to provide equal chance gaming in ‘on sale’ alcohol licensed premises or the entitlement to provide two gaming machines in ‘on sale’ alcohol licensed premises Where it has been determined that: (i) Allowing the exemption would not be reasonably consistent with the licensing objectives (ii) Where gaming has taken place on a premises in breach of a condition of either section 279 or section 282 (iii) Where the premises are mainly used for gaming (iv) Where an offence has been committed under the Act on the premises To determine applications under Schedule 3 of the Local Government (Miscellaneous Provisions) Act 1982, as amended by section 27 of the Policing and Crime Act 2009, as set out below: Refusal of application for a sex establishment licence All cases Refusal of an application to renew a licence All cases Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 62 Refusal of an application to transfer a licence All cases Refusal of an application to vary a licence All cases Revocation of a sex establishment licence All cases Application for the grant of a licence for a Sex Establishment If a relevant objection received or the Director of Environment and Neighbourhood Services has concerns in respect of the application or characteristics of the locality. Application for the renewal of a Licence for a Sex Establishment If a relevant objection received or the Director of Environment and Neighbourhood Services has concerns in respect of the application or characteristics of the locality. Application for the transfer of a Licence for a Sex Establishment If a relevant objection received or the Director of Environment and Neighbourhood Services has concerns in respect of the application or characteristics of the locality. Application for a variation to a Sex Establishment Licence If a relevant objection received or the Director of Environment and Neighbourhood Services has concerns in respect of the application or characteristics of the locality. Application for Waiver of Licence in respect of any type of Sex Establishment Licence. All cases Where conditions allow written consent to amend restrictions in relation to opening hours, external appearance, etc. If a relevant objection received or Officers have concerns Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 63 APPEALS COMMITTEE Delegated Functions To hear and determine all appeals against officer decisions of the Council (where such appeals are permitted) in respect of the following matters:(a) Housing To determine appeals under the Housing Allocation system and in particular: (i) to grant admissions to the Housing Register (ii) to act as final arbitrator on the reasonableness of an offer of accommodation (iii) to award additional re-housing points for exceptional “social need” applicants/ transferees. (b) To determine appeals by tenants against the application of the conditions of consent to carry out tenants’ improvements in cases where the matter cannot be resolved by the Director of Environment and Neighbourhood Services. To determine appeals against a refusal to grant a second or subsequent succession of a Council home tenancy. To determine appeals from unsuccessful or dissatisfied applicants for Home Improvement Grants. * A fixed membership of three Members to be chosen from the Health, Care and Wellbeing Overview and Scrutiny Sub-Committee. Education To determine appeals in respect of grants to students, including those relating to clothing and transport. * A fixed membership of three Members to be chosen from the Children and Young People Overview and Scrutiny Sub-Committee. NOTES: the Director of Corporate Resources is authorised to include a Member of The Cabinet in appropriate circumstances; Members should not hear an appeal relating to their own Ward or where they know the appellant; the Council’s substitute scheme applies as normal to meetings; Members may attend Appeals Committees either in support of or as a representative of an appellant. If they do however, they must act in a private capacity and not in their capacity as a Councillor. In those circumstances no contact must be made with any other Member who may sit on the Committee. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 64 PLANNING COMMITTEE Terms of Reference To guide the Council in the formulation of its policies relating to Town and Country Planning. To exercise the powers and duties of the Council as Planning Authority in relation to development control under the Town and Country Planning Act 1990 and related legislation. Advisory Functions To advise The Cabinet on: Policies relating to Town and Country Planning, including preparation of Regional Planning Guidance, the Joint Structure Plan and Local Plans. Delegated Functions To determine applications under the Town and Country Planning Act 1990 and related legislation in relation to the following:(a) Planning applications for mineral extraction or waste disposal unless in respect of small-scale works which are ancillary to an existing mineral working or waste disposal facility. (b) Planning applications accompanied by an Environmental Impact Statement. (c) Planning applications which represent a significant departure from Structure Plan or Local Plan Policy. (d) Planning applications which, by their scale, nature or location, have implications which extend beyond the limits of the area in which they are situated. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 65 AREA PLANNING SUB-COMMITTEES Terms of Reference To determine planning applications and related planning matters for each Sub-Committee area as laid down in the approved Scheme of Delegation in accordance with adopted Development Plan Policy, Supplementary Planning Guidance and such other guidelines as may be agreed by the Council. Where an Area Planning Sub-Committee wishes to take a decision which is contrary to the framework of approved Development Planning Policy, Supplementary Planning Guidance, or other guidelines established by the Council, such decision shall be referred to the Planning Committee for confirmation or otherwise. Advisory Functions To advise the Planning Committee on: Applications relating to part of the Sub-Committee’s area which the Planning Committee is to determine but which have been referred to the Sub-Committee for comment. Delegated Functions To determine applications under the Town and Country Planning Act 1990 and related legislation as laid down in the approved Scheme of Delegation to officers, other than those requiring a decision by the Planning Committee. To alter names of streets pursuant to Section 18 of the Public Health Act 1925 in accordance with the Approved Procedure. To object to proposed street names pursuant to Section 17 of the Public Health Act 1925. To confirm, revoke or modify Tree Preservation Orders. To authorise the making of orders and agreements in relation to public rights of way under the relevant legislation within each Sub-Committee’s area. To authorise the making of applications to the Magistrates’ Court for the diversion or stopping up of highways pursuant to Section 116 of the Highways Act 1980 within each Sub-Committee’s area. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 66 PENSIONS COMMITTEE To advise the Council on:Arrangements for dealing with the Pension Fund in conjunction with other bodies who contribute to the Fund in accordance with the Local Government Pension Scheme Regulations 1997 and associated legislation. Delegated Functions To make arrangements for the investment and management of the Pension Fund. To make arrangements for and award contracts for the appointment of Investment Managers, Advisors and Custodians to the Pension Fund. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 67 APPOINTMENTS COMMITTEE Delegated Functions To appoint Directors and second tier officers only. NOTE: For Directors Membership to comprise the Leader and Deputy Leader of the Council, the relevant Portfolio Holder and the Leader of the Labour Group (or their substitutes). For Second Tier Officers Membership to be appointed on an Ad Hoc Basis with the agreement of The Cabinet, comprising four Members in the ratio of three Conservatives and one Labour. No Members of the Council to be involved in appointments below second tier level. In the event of a tied vote the Chairman will exercise a second or casting vote. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 68 STAFF TERMS AND CONDITIONS COMMITTEE Delegated Functions Staff Terms and Conditions matters arising from major changes to Departmental Structures. To determine other staff terms and conditions matters which fall outside the delegations granted to the Director of Corporate Resources. To approve staff retention packages and incentives. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 69 AUDIT COMMITTEE Terms of Reference To assist the Council by Providing independent assurance on the adequacy of internal control and governance arrangements within the Council Recommending the adoption of the Council’s Annual Governance Statement Reviewing and approving the financial statements Internal Audit To consider the head of internal audit’s annual report and opinion, and a summary of internal audit activity (actual and proposed) and the level of assurance it can give over the Council’s corporate governance arrangements. To consider the internal audit plan and receive reports on progress against the plan. To consider a report from internal audit on agreed recommendations not implemented within a reasonable timescale. External Audit To consider the External Auditor’s annual letter, relevant reports, and the report to those charged with governance. To consider the external audit plan and monitor progress against the plan. To consider the Audit Commission’s proposals to appoint the Council’s external auditor. To review implementation of recommendations made by the External Auditor. Financial Reporting To review and approve the Council’s Statement of Accounts including those of the Pension Fund. To advise the Council on the accounting policies, accounts and annual report of the Council. Corporate Governance To monitor the Council’s policies on countering fraud and corruption, whistle-blowing and the fraud response plan. To consider the Council’s arrangements for corporate governance and review the Council’s Code of Corporate Governance on an annual basis. Provide assurance on the risk management framework to inform the Annual Governance Statement. Treasury Management To review the Treasury Management Policy and Strategy and gain assurance that the controls and procedures in place within the Treasury Management function are effective. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 70 HUMBER LOCAL TRANSPORT BODY Terms of Reference To act as the LTB for the Humber Area and in particular in relation to strategic decisions relating to ports, rail, roads and airports. Delegated Functions (a) The setting of the local major transport scheme programme for the Humber Area, in accordance with the Prioritisation Methodology as set out in Part 2 (Prioritisation). (b) The allocation of funding to schemes within the local major transport scheme programme. (c) In relation to local major transport schemes in the Humber area (‘the programme’): To ensure that value for money is achieved in relation to spending on schemes; To identify a prioritised list of investments within the available budget; To make decisions on approval of individual schemes, investment decision making and release of funding including scrutiny of individual scheme business cases; To monitor progress of scheme delivery and spend; To manage the scheme budget and programme; To respond to changes in circumstances (such as scheme slippage and cost increases); and To ensure effective delivery of the programme. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 71 SCHEME OF DELEGATION 1.1 The Scheme of Delegation to officers sets out the decisions that can be made by officers without reference to the Council, The Cabinet or other Committee. Those decisions will involve both Executive and Non-Executive functions. 1.2 It is not anticipated that any of these delegations will involve an officer making a key decision on behalf of the Authority. 1.3 General Instructions All delegations to Committees and officers are subject to general instructions which contain the framework within which such delegations must be exercised as follows: All powers and duties of The Cabinet, Non-Executive Committees and Sub-Committees, and authorisations to officers shall be exercised and performed on behalf of and in the name of the Council. All delegated powers and duties and authorisations shall be:(i) exercised in accordance with the policies of the Council and The Cabinet or Non-Executive Committees/Sub-Committees; (ii) subject to the directions of the Council and of The Cabinet or Non-Executive Committees/Sub-Committees as appropriate; (iii) subject to the powers and duties reserved for confirmation by the Council; and (iv) exercised within the limits of the approved budget. The specific delegation of any power or duty to any Non-Executive Committee or Sub-Committee or any authorisation to an officer shall override any general grant of power or duty, provided that an officer may refer any matter within an authorisation to him to The Cabinet or Non-Executive Committee or Sub-Committee as appropriate; In any such case the matter so referred shall be within the delegated powers and duties of The Cabinet, the Non-Executive Committee or Sub-Committee to which it is referred. 1.4 A reference to an Act of Parliament in this Schedule includes a reference to any amendment of that Act. Officers The Chief Executive may, after consultation with the Leader and Deputy Leader of the Council, refer a matter direct to the Overview Management Committee or one of its SubCommittees for its consideration and advice before reporting the matter to The Cabinet. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 72 Any decision that a conflict exists between the Planning and Building Control functions and the Economic Development and Rural Policy and/or the Estate Management and Property functions of the Director of Planning and Economic Regeneration will be made jointly by the Director of Planning and Economic Regeneration and the Director of Corporate Resources and will be recorded in writing. The Monitoring Officer (Head of Legal and Democratic Services) shall determine (i) any conflict between the decisions of any two or more officers acting under any authorisations, (ii) whether any matters involves a question of overall or major policy, and (iii) any dispute regarding whether or not a conflict exists between the Planning and Building Control functions and the Economic Development and Rural Policy and/or the Estate Management and property functions of the Director of Planning and Economic Regeneration. The Monitoring Officer (Head of Legal and Democratic Services) shall, in any case of uncertainty, determine whether any matter falls within the powers and duties delegated to The Cabinet, a Non-Executive Committee or Sub-Committee or within an authorisation to an officer. Nothing in this Schedule shall derogate from any statutory powers or duties conferred or imposed directly on an officer of the Council. Any authority granted to the Chief Executive, a member of the Corporate Management Team, unless otherwise indicated, may be exercised by an officer with appropriate qualifications authorised by the Chief Executive or a member of the Corporate Management Team in writing for that purpose. Where the Chief Executive or a member of Corporate Management Team is unable to act for any reason, any authority granted to him or her may be exercised by such other officer as may be named by him or her in writing. The express authorisations to officers herein contained are in addition to the normally accepted powers of officers to deal with matters of routine occurrence falling within the scope of their departmental responsibilities. Where the exercise of any power, duty or authorisation involves any matter of a politically sensitive or contentious nature, the Chief Executive and members of the Corporate Management Team shall consult with appropriate Councillors/Committees. The Head of Legal and Democratic Services be the Senior Responsible Officer for the Regulation of Investigatory Powers Act. Contract Procedure Rules take priority in all cases, these cannot be overridden by Director delegations. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 73 TO THE CHIEF EXECUTIVE, ALL DIRECTORS AS DETAILED IN ARTICLE 12 AND THOSE HEADS OF SERVICE, TEAM MANAGERS AND OTHER OFFICERS IDENTIFIED IN WRITING BY THE CHIEF EXECUTIVE OR RELEVANT DIRECTOR (Within the purview of their respective responsibilities) 1 The hiring of rooms on an hourly or daily basis in buildings under their control. 2 To incur revenue expenditure within estimates subject to:(i) (ii) 3 To incur capital expenditure provided that:(i) (ii) 4 compliance with the Procedure Rules and Financial Regulations of the Council; and the consent of The Cabinet where the proposed expenditure is in respect of any new purpose or in pursuance of a new policy or an extension of an existing policy involving a continuing financial commitment, unless the expenditure was specifically approved in the annual revenue estimates. the project is included in the approved Capital Programme; and the Procedure Rules and Financial Regulations of the Council have been complied with; and To transfer budgetary amounts between one part of the approved budget to another, provided that:(i) (ii) each item or the total of related items does not exceed £100,000; and the Head of Finance has given his/her approval. 5 To appoint Consultants and other external advisers from lists approved by the Council. 6 To sign contracts (except for the acquisition or disposal of land or of any interest in land) provided that:(i) (ii) (iii) (iv) the Director of Corporate Resources has confirmed in writing that the contract does not have to be under seal; and the Procedure Rules and Financial Regulations of the Council have been complied with; and the Council’s Scheme of Delegations has not been exceeded; and the Director of Corporate Resources has approved the form of contract as appropriate for the type of contract concerned. 7 The disposal of surplus or obsolete equipment up to a value of £10,000. 8 To approve price variations under contracts containing a fluctuation clause in conjunction with the Director of Corporate Resources. 9 To implement the Council’s scheme for removal expenses. 10 To grant special leave for urgent, personal or domestic reasons or for magisterial duties. 11 In consultation with the Director of Corporate Resources, to grant car allowances and loans. 12 To approve training courses for staff not exceeding fourteen days in any one year or in accordance with an agreed programme. 13 To make ex-gratia payments to employees for loss or damage to property (in exceptional circumstances to include motor vehicles) up to a maximum of £250. 14 To make compensation payments arising from complaints regarding a lack of or poor service, up to a maximum of £1,000. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 74 15 To deal with lost or uncollected property. 16 In respect of functions exercisable through their Directorates, the appointment or authorisation of officers. 17 To sign indemnities relating to loss or injury suffered by employees in their directorate or pupils or students undergoing training or work experience, providing the Director of Corporate Resources has approved the form of indemnity and it does not exclude liability for loss or injury caused by the negligence of the body or person providing the training or work experience. 18 To authorise out-of-district visits by officers not exceeding three days. 19 To authorise the transfer or continuance of car loans to officers transferring to undesignated posts, whether within the Council’s service or from another authority, and the grant of new loans to previous borrowers at an earlier date than is provided under the loan in consultation with the Director of Corporate Resources. 20 To approve the continued repayment of a car loan at a commercial rate of interest of an employee who has left the Council’s employment. 21 To determine charges to the public for services. 22 To ensure the proper implementation of all Health and Safety and Welfare matters concerning the Council as an employer. 23 To ensure the proper implementation of the Council’s responsibilities relating to equal opportunities. 24 The giving of expressions of interest and the preparation and submission of bids for the supply of goods and services and the carrying out of work for public bodies. 25 To determine applications from outside/other bodies for financial assistance of up to and including £100,000. 26 To respond to consultation documents submitted to this Council from Government Departments, statutory bodies and other such organisations. 27 To authorise action including directed surveillance and the use of covert human intelligence sources pursuant to sections 28, 29 and 30 of the Regulation of Investigatory Powers Act 2000. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 75 TO THE CHIEF EXECUTIVE AND THOSE DIRECTORS HEADS OF SERVICE, TEAM MANAGERS AND OTHER OFFICERS IDENTIFIED IN WRITING BY THE CHIEF EXECUTIVE 1 To take any action necessary in connection with an emergency or disaster in the District. 2 The approval and issue of all official publicity, press statements and official publications. 3 To execute a power delegated to any officer when that officer is unable or unwilling to act. 4 To deal with requests or permission to reproduce the coat of arms or logo of the Council. 5 Approval of ex-gratia payments proposed by Directors to employees up to a maximum of £500. 6 To grant leave for trade union purposes, for service as a member of another local or joint authority, service as a Justice of the Peace and service on Whitley Councils or other joint negotiating bodies. 7 To make ex-gratia payments arising from Ombudsman complaints up to a maximum of £5,000. 8 All matters relating to the promotion of the image of the Council and the area. 9 To publish information about the discharge of the Council’s functions as required by legislation. 10 Civic affairs. 11 To authorise works to protect life or property in the event of an emergency subject to the submission of a report to a subsequent meeting of The Cabinet, the cost of such works not to exceed £75,000 (to be exercised in consultation with the Director of Corporate Resources). 12 Authorisation of overseas travel. 13 Attendance of Members at conferences, seminars, courses and meetings of outside bodies in consultation with the Leader of the Council. 14 To determine applications from organisations with charitable status in relation to the use of rooms in buildings under the control of the Council. 15 To make Closure Orders under section 40 in respect of noisy licensed premises. 16 To authorise Environmental Health Officers (under section 41) to make Closure Orders in respect of noisy premises. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 76 SUBSTITUTE OFFICERS FOR THE CHIEF EXECUTIVE’S DELEGATED POWERS In the event of the Chief Executive being for any reason unavailable or unable to act or his post being vacant the substitute officers set out below are appointed to act in his stead. Substitute Officer (a) To take any action necessary in connection with an emergency or disaster in the District. Director of Corporate Resources (b) The approval and issue of all official publicity, press statements and official publications. The appropriate Member of the Corporate Management Team (c) In consultation with the Leader of the Council, to authorise overseas travel. Director of Corporate Resources (d) In consultation with the Leader of the Council, attendance of Members at conferences, seminars and meetings with outside bodies. Director of Corporate Resources Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 77 TO THE DIRECTOR OF CORPORATE RESOURCES AND THOSE HEADS OF SERVICE, TEAM MANAGERS AND OTHER OFFICERS IDENTIFIED IN WRITING BY THE DIRECTOR OF CORPORATE RESOURCES LEGAL AND ADMINISTRATIVE FUNCTIONS 1 To institute or defend criminal or civil proceedings or take any step in the resolution or settlement thereof. 2 To take all steps incidental to completing or obtaining the confirmation of any order or other formal proceedings made by the Council. 3 To obtain Counsel’s opinion on any matter. 4 To enter into Compromise Agreements. 5 To serve any notice or requisition for information under any act requiring the owner or occupier of or any person having an interest in or managing any land or premises to give information to the local authority. 6 To make applications for repayment of unclaimed compulsory purchase compensation. 7 The maintenance of the Land Charges Register and the response to Local Searches. 8 Registration Service Matters. 9 The granting of approvals and renewals (with or without conditions) and revocation of approvals to permit Civil Marriages to take place on premises provided no objections have been received. 10 Following a recommendation from any other Director concerned, the power to take all necessary steps to secure the removal of any person or persons from land. 11 To take all necessary action regarding accident claims. 12 To accept or reject blight notices in respect of new or existing highway proposals (with the concurrence of the Director of Environment and Neighbourhood Services). 13 To commence or defend proceedings relating to secure tenancies, including proceedings for possession, and proceedings relating to the right to buy. 14 To serve notices of intention to apply for closure orders in respect of premises or stalls at which a food business is carried on the recommendation of the Director of Environment and Neighbourhood Services. 15 The certification of the date when evidence came to the Council’s notice for the purpose of health and safety at work prosecutions 16 Registration of common land and village greens and the exercise of protective powers under the relevant legislation. 17 To take all necessary proceedings to secure the removal of persons in need of care and attention on recommendation of the Director Children, Family and Adult Services. 18 To appeal against any decision of a Court relating to the Council’s child care functions. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 78 19 Following a recommendation from the Director of Children, Family and Adult Services:(i) (ii) to commence and defend family proceedings within the limit of the Council’s statutory powers; to commence all proceedings in relation to the Council’s powers, duties and responsibilities for children. 20 To confirm Statutory Orders where no objections have been received. 21 To deal with requests from Charities requesting the Council to join in the sale of property to convey the legal estate where the Council is Custodian Trustee and has no financial interest in the property. 22 To protect and review the Council’s shareholdings in any Companies in which it has an interest and to determine how its interest as shareholder is to be represented at Company General Meetings. 23 The operation of civil defence and emergency planning. 24 To liaise with Fire and Police Authorities. 25 To oversee the Coroner’s Service. 26 To make orders as necessary under Section 21 of the Town Police Clauses Act 1847 relating to the conduct of street parties on sites not forming part of the highway. 27 To approve with the Director of Children, Families and Schools, new or amended School Instruments of Government in consultation with the relevant Portfolio Holder. FINANCE FUNCTIONS Housing Benefit and Council Tax Benefit 28 To give additional Housing Benefit and Council Tax Benefit in exceptional circumstances. 29 To back date entitlement to Housing Benefit and Council Tax Benefit in accordance with Department of Work and Pensions Guidance as to good cause. Business Rates 30 To grant rate relief to charities. 31 To determine applications for discretionary rate relief (including rural rate relief). Recovery 32 To take all necessary action to recover non-domestic rates, general rates, community charge and council tax on behalf of the Council. 33 To authorise the service of notices seeking possession of Council dwellings and notices to quit in respect of Council garages on the grounds of non-payment of rent. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 79 Budgetary Control 34 To make certifications to the Homes and Community Agency and bidding applications with respect to Local Authority Social Housing Grant funded schemes. (GA1 certificates) and bidding applications. 35 To determine the Local Average Interest Rate to be charged on outstanding housing mortgages under the Housing Act 1985. 36 To act as Receiver for the property of the mentally ill, in the absence of an appropriate person. 37 To determine new rents and service charges for Council dwellings. Pension Fund 38 To appoint the ‘appointed’ person under the Local Government Pensions Scheme Regulations in consultation with the Chairman of the Pensions Committee. 39 To authorise entry to the East Riding Pension Fund of all applicant admission bodies that satisfy the requirements of the LGPS regulations and meet the specified criteria in consultation with the Chairman of the Pensions Committee. 40 To write off overpayments of pension to a maximum of £5,000 where recovery is not possible or inappropriate. PERSONNEL FUNCTIONS 41 To approve the establishment and grading of posts in consultation with the appropriate Member of the Corporate Management Team. 42 To approve the terms and conditions of staff below second tier in consultation with the appropriate Member of the Corporate Management Team. 43 To approve arrangements for employee training and development. 44 To approve sick pay and other employee allowances. 45 To approve the early retirement of employees below second tier in the cases of redundancy, ill health or under the 85 year pension rule for the benefit of the efficiency of the service, and subject to the details of each case being submitted to The Cabinet on a quarterly basis for monitoring purposes. 46 To grant additional maternity leave beyond eighteen weeks in the case of female officers and female manual employees with one year’s but less than two years’ continuous service. 47 To approve the payment of honoraria/ex gratia payments for higher grade work in consultation with the appropriate Member of the Corporate Management Team. 48 To establish and maintain effective consultation and negotiation procedures with employees and their recognised representatives. 49 To determine posts defined as politically restricted. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 80 50 To monitor the implementation of and report on all health and safety and welfare matters concerning the Council as an employer. 51 To monitor the implementation of and report on the promotion and practice of equal opportunities. 52 To settle industrial disputes in consultation with Leader of the Council and the Chief Executive. 53 To issue notices under Employment Legislation and to undertake formal consultations with the Trade Unions as appropriate in respect of any possible redundancies. PLANNING AND DEVELOPMENT MANAGEMENT FUNCTIONS 54 To authorise the issue and service of planning contravention notices, breach of condition notices, enforcement notices, listed building enforcement notices, conservation area enforcement notices and notices under S215 of the Town and Country Planning Act 1990 on the recommendation of the Director of Planning and Economic Regeneration. 55 To authorise the service and Stop Notices and temporary Stop Notices on the recommendation of the Director of Planning and Economic Regeneration. 56 To authorise the issue of notices under the Hedgerow Regulations 1997 on the recommendations of the Director of Planning and Economic Regeneration. 57 To authorise the service of Advertisement Discontinuance Notices on the recommendations of the Director of Planning and Economic Regeneration. In addition to the above where there is a conflict between the planning and development management functions and the economic development and rural policy functions and/or the estate management and property functions of the Director of Planning and Economic Regeneration the following planning and development management functions will be exercised by the Director of Corporate Resources. 58 To determine all applications made to the Council for planning permission (and including related applications - eg Listed Building Consent, Conservation Area Consent and Advertisement Consent) in accordance with the approved Scheme of Delegation. 59 To determine applications for approval of “reserved matters” and any items required by a condition of a planning application. 60 Determinations under the “Prior Notification” procedure. 61 To make determinations as to whether planning permission is required. 62 Approval of minor amendments to planning permissions already granted. 63 Approval of variation of conditions except where the variation would significantly alter a decision taken by the Planning Committee or Area Planning Sub-Committee. 64 To determine applications for Certificates of Lawful Use or Development. 65 Responses to proposals for overhead electricity lines up to 33Kv. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 81 66 To comment on consultations by neighbouring local planning authorities about development outside but close to the Council boundary or by the Crown in respect of Crown Development. 67 To make objections on environmental grounds to proposals for operating centres for goods vehicles submitted to the licensing authority. 68 To deal with all matters pertinent to and arising from the Building Regulations, the Building (Approved Inspections) Regulations, the Building (Prescribed Fees) Regulations and the Building Act 1984. 69 To make administrative and procedural decisions relating to the processing of applications, including decisions about their validity, fees, publicity, consultation and extensions of timescale for determination. 70 To make directions restricting permitted development under the Town and Country Planning General Development Order, subject to a report of the action taken being submitted to the Planning Committee. 71 To authorise the service of Building Preservation Notices. 72 To authorise the making (but not confirmation) of provisional Tree Preservation Orders. 73 To determine applications to fell or prune trees included in a Tree Preservation Order. 74 To authorise revocation or modification of consent to fell or prune trees included in a Tree Preservation Order. 74 To revoke or vary existing Tree Preservation Orders where a new Order is being made. 75 To authorise the service of Waste Land Notices. 76 The power to remove or obliterate posters and placards displayed in contravention of the Advertisement Regulations. 77 To determine applications for consent to fell or prune trees in a Conservation Area. 78 Powers to deal with dangerous or dilapidated buildings or structures and dangerous trees and dangerous excavations on land accessible to the public. 79 To serve notice under S16 of the Local Government (Miscellaneous Provisions) Act 1976 requiring information under any Act relating to building control matters. 80 To determine whether any intended planning application should be accompanied by an Environmental Statement under the Town and Country Planning (Assessment of Environmental Effects) Regulations 1999. 81 To respond on behalf of the Council to consultations about Environmental Statements under Regulation 14 of the Town and Country Planning (Assessment of Environmental Effects) Regulations 1999. 82 To authorise the making of agreements under section 106 of the Town and Country Planning Act 1990 in association with planning applications determined in accordance with the approved Scheme of Delegation. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 82 83 To approve applications for the revocation or modification of agreements under section 106 of the Town and Country Planning Act 1990 (or section 52 of the Town and Country Planning Act 1971) except where revocation or modification would significantly alter a decision taken by the Planning Committee or Area Planning Sub-Committee. 84 To make application to the Secretary of State to include a building in the Statutory List under Section 1 of the Listed Buildings Act 1990. 85 To exercise the Council’s powers in respect of high hedges (Part 8). 86 To issue retention Notices on important hedgerows in response to Notices submitted under the Hedgerow Regulations 1997. TRANSPORT FUNCTIONS 87 To determine whether action is urgently required for the purpose of maintaining an existing public transport service or securing the provision of a service in place of one which has ceased to operate and in appropriate cases to enter into agreements for that purpose as authorised by Section 91 of the Transport Act 1985. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 83 TO THE DIRECTOR OF CHILDREN FAMILIES AND SCHOOLS AND THOSE HEADS OF SERVICE, TEAM MANAGERS AND OTHER OFFICERS IDENTIFIED IN WRITING BY THE DIRECTOR OF CHILDREN FAMILIES AND SCHOOLS To Exercise the powers and duties of the Council in the following areas: 1 Education services - the Council’s powers and duties under the Education Acts, as defined in the Education Act 1996, S578 as amended, other than the power to provide education for persons over 19 under S15B Education Act 2006. 2 To represent the Council at the North and East Yorkshire Sub-Regional Group 16 - 19 Provision and to take all decisions on behalf of the Council at meetings of and in connection with the group. 3 Social services - the Council’s social services powers and duties within the meaning of the Local Authority Social Services Act 1970 under the following Acts and associated secondary legislation:(a) (b) (c) (d) (e) (f) (g) Children and Young Persons Act 1933 Children and Young Persons Act 1963 Social Work (Scotland) Act 1968 Children and Young Persons Act 1969 Adoption Act 1976 Children Act 1989 Adoption and Children Act 2002 4 To consent to marriage of children in care under Marriage Act 1949. 5 To lay information pursuant to S43 Sexual Offences Act 1956. 6 Duty to make provision for secure accommodation for young persons under Criminal Justice Act 1991. 7 Duties and powers of Local Authority under Protection of Children Act 1999. 8 Duties and powers of Local Authority under Children Act 2004. OTHER RESPONSIBILITIES 9 To nominate at least one children’s social worker and at least one educational professional to work within the Youth Offending Team as required by s.39(5) of the Crime and Disorder Act 1998. 10 Promote the educational achievement of looked after children. This function is set out in section 22(3A) of the Children Act 1989 as amended by section 52 Children Act 2004; 11 Provide the Secretary of State if she so directs an authority, with information on individual children. This function is set out in section 83(4A) of the Children Act 1989 as amended by section 52 Children Act 2004. 12 To make arrangements for the investigation of complaints relating to Social Services functions discharged by the Children, Family and Schools Directorate including discretion to reimburse expenditure incurred by complainants where complaints are upheld by Panel Reviews up to a maximum of £500 in any one case. 13 To authorise members of the Youth Offending Team to enter into parenting contracts with the parents of a child who has engaged or is likely to engage in criminal or anti-social behaviour. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 84 14 To authorise members of the Youth Offending Team to apply to Court for parenting orders in respect of the parents of a child who has engaged in criminal conduct or anti-social behaviour. FINANCIAL DELEGATIONS 15 The payment of reasonable out-of-pocket expenses to individual voluntary workers undertaking relevant services at the request of the Directorate in providing for the welfare of persons towards whom the Council has responsibility. 16 Approving financial assistance for personal aids, adaptations in the home, telephones, radios, televisions and holidays, and other similar matters, up to a maximum cost of £10,000 in any one case. 17 The making of special grants of up to £5,000 in any one case in respect of children in care to promote their welfare. 18 To make payments in accordance with Schedule 2(16) and (20) of the Children Act 1989 to enable parents or other persons to visit children looked after or to attend their funerals. 19 To approve payments made in accordance with Section 17(6) or Section 23 of the Children Act 1989 of up to £5,000 in any one case. 20 Aid or rent guarantees to promote the welfare of children up to £500 per family per year. 21 Boarding-out foster children and payment of allowances and making special payments in accordance with approved scales. 22 To deal with assistance to voluntary organisations including funding if under £1,000. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 85 TO THE DIRECTOR OF ENVIRONMENT AND NEIGHBOURHOOD SERVICES AND THOSE HEADS OF SERVICE, TEAM MANAGERS AND OTHER OFFICERS IDENTIFIED IN WRITING BY THE DIRECTOR OF ENVIRONMENT AND NEIGHBOURHOOD SERVICES GENERAL 1 To exercise the powers and duties of the Council, other than policy matters within the purview of other Directors:(a) as Highway Authority under the Highways Act 1980 and related legislation; (b) as Road Safety Authority under the Road Traffic Act 1988 and related legislation; (c) under the Road Traffic Regulation Act 1984 and related legislation (d) under the Traffic Management Act 2004 and related legislation (e) under the Housing Act 2004 and related legislation (f) under the Humberside Act 1982 (g) under the Public Health Act 1925 (h) as Waste Collection Authority and Waste Disposal Authority under the Environmental Protection Act 1990 and related legislation; (i) as Street Works Authority under the New Roads and Street Works Act 1991; (j) as Licensing Authority under the Licensing Act 2003, Gambling Act 2005, the Local Government (Miscellaneous Provisions) Act 1976 and the Scrap Metal Dealer (k) in relation to the provision of leisure and recreational amenities under the Local Government (Miscellaneous Provisions) Act 1976 and related legislation; (l) in relation to Markets; (m) under the Transport Act 1985 and related legislation. 2 To exercise the functions of the Council in relation to the agency arrangements with any outside bodies. 3 To incur revenue and capital expenditure in order to implement approved programmes and schemes for the provision, improvement, repair and maintenance of all Council land and property, highways, housing and leisure facilities in consultation where appropriate with the relevant Director. 4 To be the responsible person for the budget associated with the Proceeds of Crime Act 2002 and officers accredited as Financial Investigators (ACI) be authorised to carry out investigations and to seize cash using the powers available under the Proceeds of Crime Act 2002. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 86 PUBLIC PROTECTION FUNCTIONS 5 To exercise the powers and duties of the Council under Environmental Health and related legislation including:(a) food safety and hygiene; (b) the control of shops; (c) the health, safety and welfare of persons at work; (d) the control of pollution and other nuisances; (e) Public health. 6 To exercise the powers and duties of the Council in relation to Trading Standards and Consumer Protection. 7 To exercise all licensing powers and functions not within the scope of responsibilities of the Licensing Committee or the Licensing Act 2003 Committee. 8 To exercise the enforcement powers and duties of the Council in relation to Environmental Health, Health and Safety, Licensing, Anti-Social Behaviour, Trading Standards and Consumer Protection and public health functions. 9 To serve any notice or requisition for information under any Act relating to an environment health or private sector housing matter and requiring the owner or occupier of, or any person having an interest in, or managing any land or premises, to give information to the local authority. 10 To approve and refuse housing grants and approve loan applications and payments with consideration to the terms of the Council’s Housing Assistance Policy. 11 The service of notices, certificates of disrepair etc. under the Rent Acts. 12 To grant licences for Houses in Multiple Occupation and properties subject to Licensing Schemes declared under the Housing Act 2004. 13 To vary, revoke or end licences issued under the Housing Act 2004 where there is agreement with the licence holder. 14 The service and execution of notices and orders under legislation relating to housing relating to unfit houses (but not prohibition or demolition orders), overcrowded houses, houses in disrepair and houses in multiple occupation (including work in default). 15 To arrange for the reconnection or continuation of water, gas or electricity supply to private sector premises. 16 The power to approve but not to refuse applications for relaxation or dispensation of statutory controls relating to the height of chimneys. 17 The power to serve notices in connection with the control of emission of dust etc. from building operations. 18 The power to authorise an application to the Magistrates’ Court for an order requiring alterations to chimneys emitting gas, vapour or fumes. 19 The security of unoccupied derelict buildings. 20 The appointment of Inspectors, Authorised Officers and Proper Officers under legislation relating to health and safety at work, public health including health protection, food safety, Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 87 licensing, environmental protection, trading standards or the sale of tobacco to children and young persons and smoking in enclosed public spaces, identifying the powers each Inspector or Authorised Officer and Proper Officer is empowered to exercise (including the signature and service of formal notices and seizure of unsound food and articles) and the variation or termination of such appointment. 21 The signature and service of formal notices, procuring of samples, seizure of unsound food and execution of work to be carried out in default under the legislation relating to environmental and public health including nuisances and health protection, private sewers, drains, soil pipes and associated apparatus, control of diseases, control of pests, food safety, health and safety at work, environmental protection, licensing, pollution control and smoking in enclosed public spaces. 22 The making of grants under clean air legislation. 23 To authorise officers to issue and process fixed penalty notices under Section 59 of the Clean Neighbourhoods and Environment Act 2005. 24 To exercise the Council’s powers and duties in relation to the Environmental Damage (Prevention and Remediation) Regulations 2009. 25 Registration and licensing under public health, licensing and trading standards powers including hairdressers, barbers, acupuncturists, tattooists, ear piercers, electrolysists, employment agencies, dealers in rag flock, scrap metal dealers, dealers in poisons, dealers in second hand goods, etc. 26 To exercise the powers and duties of the Council under the Sunbeds (Regulation) Act 2000. 27 To approve all applications for statutory licences and consents falling within the scope of responsibilities of the Licensing Committee where no objection has been submitted in writing by a consultee or a member of the public. 28 To exercise the powers and duties of the Council under the Anti-Social Behaviour Crime and Policing Act 2014. 29 The registration of food premises under food safety legislation, including the refusal of butchers’ licences. 30 The licensing of dangerous wild animals and all other animal related establishments including pet shops, animal boarding establishments, zoos, dog breeders, etc. and to attach any conditions recommended by the inspecting Veterinary Practitioner and/or considered prudent and reasonable having regard to the public interest and the needs of the animal in each application. 31 The issue of certificates as to compliance with the requirements of closure orders in respect of premises or stalls at which a food business is carried on. 32 The powers as to the safety of unoccupied houses, unsanitary houses, sanitary facilities at betting offices, places where food and drink are sold and other places of public resort and obstructions to private sewers under the Local Government (Miscellaneous Provisions) Act 1976. 33 The registration of food hawkers and their premises and the issue of consents for street trading. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 88 34 The control of pests and vermin including the power to carry out treatments and undertake works. 35 The power to authorise persons to seize, detain and destroy dogs including the powers relating to guard dogs and dangerous dogs. 36 To authorise officers for the issue of fixed penalty notices under S4 of The Dogs (Fouling of Land) Act 1996 and Health Act 2006. 37 To determine Demolition Orders under Part IX of the Housing Act 1985. 38 The exercise of powers conferred on the Council by The Humberside Act 1982. 39 The power to serve notices in connection with the closure of unsanitary food premises and stalls. 40 The power to serve notices requiring information as to the quality, value and origin of goods on sale in markets. 41 The power to authorise the service of notices of intention to making closing orders in respect of take-away food shops. 42 The functions of the Council under the safety of reservoirs legislation, including power to apply to a Justice of the Peace for power of entry. 43 The power to serve a suspension notice under Section 14 of the Consumer Protection Act 1987 and under section 55A and 92A of the Licensing Act 2003 to suspend a premises licence and club premises certificate for non-payment of licence fees. 44 The powers as to the movement and treatment of farm animals and livestock under the Protection of Animals Acts. 45 The power to grant but not refuse the permit to operate a prescribed activity under the Environmental Permitting (England and Wales) Regulations 2007. 46 The service of notices under Section 80 of the Control of Pollution Act 1974. 47 The making of objections to HGV operators’ licences. 48 To exercise the powers of the Council as a local Weights and Measures Authority. 49 To exercise the powers of the Council relating to agricultural products, animal feeding stuffs, animal health and welfare, business names, harassment of debtors, mock auctions, overloaded vehicles, price controls and displays, poisons and dangerous substances, trading representations and trading stamps. 50 The maintenance of any registers that the Council is statutorily obliged to keep under legislation relating to public health, licensing and environmental health. 51 To exercise the powers of entry under the Safety of Sports Grounds Legislation. 52 Burial or cremation of persons, other than those in the care of the local authority, where no other person takes responsibility. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 89 53 To grant exemptions to the application of vehicle specification in appropriate circumstances in relation to Hackney Carriages and Private Hire Vehicles. 54 To act as authorised counter signatory under the Disclosure and Barring Service and undertake confidential criminal records checks in connection with applications for Hackney Carriage and Private Hire drivers’ licences and process basic criminal record checks for Street Trader Applications. 55 With the agreement of the Director of Corporate Resources to issue formal cautions against those committing an offence in relation to Environmental Health, Health and Safety, consumer protection, licensing and housing functions in the appropriate circumstances. 56 To submit objections to applications to vary the conditions of road service licences if considered necessary. 57 To determine applications under the appropriate legislation for the late night opening of shops in the pre- Christmas period. 58 In consultation with the Chairman or Vice Chairman of the Licensing Committee, to determine all immediate suspensions/revocations where public safety is deemed to be at risk. 59 In consultation with the Chairman or Vice Chairman of the Licensing Committee, to end a suspension if it is discovered that an allegation is unfounded and no further formal action is taken by the relevant body, or the matter is successfully appealed at the Magistrates’ Court, each case determined on its own merits. 60 To refuse new applications for consent to trade:(i) where the application fails to meet the criteria set out in Schedule 4 of the Local Government (Miscellaneous Provisions) Act 1982; (ii) where there is insufficient space for an applicant to engage in trading without causing undue interference or inconvenience to persons using the street; (iii) where the activities of the applicant would have an adverse effect on residents or business through noise, odour or other nuisances; (iv) where the type of sales activity proposed by the applicant is already adequately met by existing business in the locality, and (v) where the application has raised objections or adverse comments from the Development Control Section, the Traffic Management Section or the Police. HOUSING FUNCTIONS 61 To exercise the powers and duties of the Council under legislation relating to Housing. 62 Allocation of dwellings and garage lettings in accordance with the Council’s approved letting policies and procedures. 63 Power to determine inheritance disputes. 64 Power to grant or refuse consent to sub-letting. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 90 65 Power to grant or refuse consent to improvements. 66 Power to compensate for these improvements. 67 In cases where the accommodation is designed for special needs and the person(s) left in possession would not normally be allocated such a dwelling in accordance with the allocation policies of the Council, then every endeavour be made by negotiation and agreement to transfer quickly the person(s) to suitable alternative accommodation. In the event that no such arrangement can be agreed, then the Director of Environment and Neighbourhood Services shall have delegated powers to commence proceedings for possession, if suitable grounds are available. 68 Organisation of repairs to dwellings. 69 Rehousing of families rendered homeless due to fire, storm damage or the structure of dwellings becoming dangerous. 70 Approval of transfers and mutual exchanges. 71 To exercise the Council’s powers and duties in relation to harassment of private tenants and illegal eviction by private landlords. 72 To make certifications to the Housing Corporation with respect to Social Housing Grant funded schemes (schemework and Grant claims). 73 Organisation of repairs to empty dwellings and commissioning of planned work. 74 To offer a transfer applicant a tenancy ahead of the applicant on the waiting list with the most points for that property, where the offer would result in better use of the Council’s housing. 75 To deal with applications for the rehousing of tenants of agricultural tied dwellings who are required to vacate those premises. 76 The Council’s functions with regard to the housing of homeless persons. 77 Adaptations of Council dwellings for people who are physically disabled. 78 The following functions under the right to buy and rents to mortgages legislation:(i) power to determine whether or not dwellinghouses are excluded from the right to buy and rents to mortgages being dwellinghouses for physically disabled persons; (ii) power to determine whether or not dwellinghouses are excluded from the right to buy and rents to mortgages being groups of dwellinghouses with a Social Services or special facility; (iii) power to determine whether or not dwellinghouses for the elderly can be exempted from the right to buy and rents to mortgages and determination as to whether or not a dwellinghouse comes within this category; (iv) the power to extend a tenant’s time for service of a Notice deferring completion or claiming his right to a mortgage; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 91 (v) the enforcement of the Council’s rights in respect of completion notices and rent arrears; (vi) power to serve all appropriate notices on Council house sales and rents to mortgages and other appropriate notices required under the legislation; (vii) power to extend the period in which a tenant is allowed to give notice in writing to the Council of his intention to take up a mortgage; (viii) power to accept a statutory declaration in cases where it is considered that there is insufficient evidence to corroborate a tenant’s claim under the Right to Buy or rents to mortgages. 79 Determination of whether applicants are eligible for assistance in respect of defective dwellings. 80 To compensate tenants for a lack of, or poor service by a sum of up to and including £100. 81 To authorise the service of notices of seeking possession of Council dwellings on all grounds except the non-payment of rent. 82 With the concurrence of the Director of Corporate Resources to backdate entitlement to Housing Benefit, Council Tax Benefit and Community Charge Benefit in accordance with DSS guidance as to “good cause”. 83 To authorise proceedings to secure the removal of squatters from Council dwellings. 84 The power to determine Closing Orders and Prohibition Orders. 85 To engage professional witnesses or private investigators where this is considered necessary in applying the Council’s firm action in dealing with anti-social behaviour on Council estates. 86 To determine whether to demand the repayment of a Home Improvement Grant made under the Local Government and Housing Act 1989 or granted in accordance with the Council’s Housing Assistance or Private Sector Renewal Policy in cases where there are exceptional personal circumstances. 87 To offer Council accommodation under temporary licence to Staying Put Clients unable to provide their own alternative housing. SAFER COMMUNITIES 88 To issue fixed penalty notices in respect of night time noise where warnings are unheeded. 89 To enforce powers in relation to the offence of selling spray paint to under 16s. 90 To exercise powers for local authorities to provide CCTV coverage of any land within their own area for the purpose of crime prevention or victim welfare. LEISURE AND LIBRARIES FUNCTIONS 91 To exercise the powers and duties of the Council in relation to the provision of libraries and cultural services. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 92 92 To exercise the powers and duties of the Council in relation to the provision of leisure and recreational amenities. 93 The acceptance or refusal of gifts of works or exhibits for museums. 94 To loan exhibits or works of museums to bona-fide museums, galleries and other heritage institutions using the Ripley loan agreement or modification of the same, any such modification to be agreed by the Director of Corporate Resources, and in accordance with the procedures laid down in this Council’s Museums Service’s Collection Management Plan. 95 To approve applications for the use of land or premises including halls and game facilities in parks (in consultation where appropriate with the Director of Corporate Resources). 96 Power to apply to the Magistrates’ Court for public and dancing licences, liquor licences and occasional licences of a similar nature. 97 To authorise contracts for the engagement of parties and entertainers in consultation where appropriate with the Director of Corporate Resources. 98 Arrangements for hours of opening or closing of establishments according to seasonal or maintenance demands. HIGHWAYS AND ENVIRONMENTAL SERVICES FUNCTIONS 99 The powers as to removal of projections over highways from buildings. 100 The powers to prevent doors opening outwards on to highways. 101 The power to prohibit gates opening outwards on to highways. 102 The powers as to vegetation overhanging highways. 103 The powers to require removal of barbed wire from highways. 104 The powers as to dangerous land adjoining streets. 105 The powers as to buildings and other structures dangerous to persons in streets. 106 The regulation of the deposit of building materials in highways. 107 The power to require removal or alteration of work not conforming with byelaws. 108 The power to require angles of new buildings to be rounded off. 109 The power to require gas and water pipes to be moved. 110 The power to execute works on behalf of other persons. 111 The power as to removal of obstructions on highways. 112 The cutting or felling of dangerous trees near highways. 113 The temporary prohibition or restriction of traffic on roads. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 93 114 The erection of street nameplates. 115 The dedication of cellar areas under highways. 116 The authorisation or construction of vehicular crossings over footways or verges. 117 The service of notices concerning the culverting of watercourses crossing land being developed. 118 The service of notices in relation to abandoned vehicles on highways. 119 To exercise the enforcement powers, duties and responsibilities (except prosecution) of the Council in relation to the removal of abandoned vehicles and duly authorise relevant officers. 120 To exercise the enforcement powers, duties and responsibilities of the Council in relation to litter and duly authorise relevant officers. 121 The powers as to signs, trees, structures or works on highways. 122 The power to determine applications in respect of street parties. 123 The power to approve applications under Section 178 of the Highways Act 1980. 124 Following consultation with the Director of Corporate Resources, to cancel notices of offence under the car parking pay and display system and to write off debts arising therefrom where it is considered expedient to do so. 125 To approve or refuse applications for permits at existing authorised parking places for doctors. 126 To approve and arrange for the wall mounting of street lights in accordance with such guidelines as the Council may approve. 127 The issue of licences for scaffolding, skips etc on highways. 128 To grant or refuse requests from charitable organisations for assistance in erecting banners across any highway. 129 To serve notices under Section 18 of the Land Drainage Act 1976 and Section 264 of the Public Health Act 1936 (or any similar provision). 130 Approval of notices and plans with regard to operations within, upon, over or under the highway. 131 All matters relating to the adoption of highways. 132 To determine, after consultation with Ward Members, the placement or removal of public seats. 133 To decide whether or not to accept offers of sponsorship for planting on highway land, after consultation with Ward Members. 134 To designate protected streets, streets with special engineering difficulties and traffic sensitive streets under Sections 61, 63 and 64 respectively of the New Roads and Street Works Act 1991 (or any subsequent enactment). Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 94 135 To issue licences under the New Roads and Street Works Act 1991. 136 To authorise agreements whereby an applicant agrees to finance or carry out works of improvement to the public highway to facilitate a proposed development and to approve the terms of such agreements including such incidental provisions as the Director of Corporate Resources considers to be appropriate. 137 To extend the period in which reinstatement of a disturbed footpath must take place by up to 28 days. 138 To authorise the making of an Order to permit the disturbance of a footpath or bridleway, for up to three months, in relation to any excavation or engineering work that is reasonably necessary for the purposes of agriculture and to make an Order for the temporary diversion of the path where necessary. 139 The control and removal of skips. 140 The service of notices in relation to abandoned vehicles except vehicles abandoned on the highways. 141 To authorise civil proceedings against persons responsible for parking on grass verges. 142 To determine requests for the temporary use of car spaces in Council-owned car parks for the siting of skips and the like. 143 To modify the opening times of the barriers on all Council-owned car parks in the Authority’s area. 144 To set trade refuse charges for sacks and wheeled bins for individual customers depending on such factors as volume of business, travelling distance and discounts for new businesses. 145 To negotiate terms including the wording of advertisements with companies interested in advertising on the Council’s refuse sacks, pay and display parking tickets etc. 146 The letting of market stalls and the determination of requests for minor variations to their user clauses. 147 The approval of minor highway improvement schemes to be funded from the highway revenue allocation and not estimated to exceed £75,000 in consultation where appropriate with the relevant Member of the Corporate Management Team. 148 To authorise the making of orders for traffic regulations in accordance with the approved procedure. 149 To authorise the making of orders and entering of agreements in relation to public rights of way under the relevant legislation and in accordance with the approved procedure. 150 To authorise the making of applications to the Magistrates’ Court for the diversion or stopping up of highways pursuant to Section 116 of the Highways Act 1980 and in accordance with the approved procedure. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 95 151 Power to exclude persons from the Council’s cemeteries and to prohibit the erection of memorials by persons where it is considered desirable for the proper management, regulation and control of the cemeteries. 152 The granting of exclusive rights of burial. 153 To approve the terms of allotment agreements. 154 To issue fixed penalty notices in respect of minor graffiti and fly-posting offences (section 43). 155 To enforce section 55 of the Anti-Social Behaviour Act 2003 and the amended powers under the Control of Pollution (Amendment) Act 1989, whereby delegated officers who reasonably believe controlled waste is being transported in contravention of section 1 of the Act may stop any person engaged in such activity, search such vehicles involved in the transportation of controlled waste and conduct any necessary tests on that vehicle. Application to a Justice of the Peace can also be made for seizure of any suspected vehicle. 156 To authorise the service of notices under Section 220 of the Highways Act 1980, to settle the terms of the agreement under Section 38 of that Act, to accept or reject Bonds and agreements for the works in the Highways under Section 62 of that Act. 157 To accept land dedications for highway purposes. 158 The power to require the numbering of buildings in streets. 159 To object to proposed street names pursuant to s17 of the Public Health Act 1925. 160 To determine whether payments are required to be made by owners of new buildings in respect of street works under Section 219 of the Highways Act 1980. 161 To authorise the use of specified highways by an applicant and to approve the terms and conditions of agreements for such use including such incidental provisions as are considered appropriate. ESTATE MANAGEMENT AND PROPERTY FUNCTIONS 162 To carry out works required to address the health, safety and security of Council owned buildings and operations where the estimated cost is not likely to exceed £10,000. 163 The day-to-day management of caravan sites for gypsies and travellers including the letting of sites. 164 The provision and maintenance of Gypsy sites. 165 To exercise the powers and duties of the Council relating to the provision of social, education, physical and recreational facilities for the youth service in particular and, where educational facilities are involved, the community in general. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 96 TO THE DIRECTOR OF CORPORATE STRATEGY AND COMMISSIONING AND THOSE HEADS OF SERVICE, TEAM MANAGERS AND OTHER OFFICERS IDENTIFIED IN WRITING BY THE DIRECTOR OF CORPORATE STRATEGY AND COMMISSIONING 1 To develop and monitor Corporate Policy and Strategy in relation to the following functions:ICT Commissioning and Initiatives Customer Strategy and Digital Service Value for Money Service Redesign Workforce Development Forward Planning/Local Plan Health and Wellbeing Adult Social Care Commissioning Public Health 2 In addition to the services listed above to be responsible for the monitoring and review of all policies. 3 To be responsible for all matters relating to Performance Management. 4 To act as the Council’s link with the Local Strategic Partnership. 5 To lead and support the Council’s Business Transformation Programme. 6 To determine neighbourhood planning area applications in consultation with the relevant portfolio holder. ADULT SOCIAL CARE FUNCTIONS 7 Social Services - the Council’s Social Services powers and duties within the meaning of the Local Authority Social Services Act 1970 under the following Acts and associated secondary legislation:(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k) (l) (m) (n) (o) (p) 8 National Assistance Act 1948. Disabled Persons (Employment) Act 1958. Mental Health Act 1959. Health Services and Public Health Act 1968. Chronically Sick and Disabled Persons Act 1970. Mental Health Act 1983. Disabled Persons (Services Consultation and Representation) Act 1986. National Health Service and Community Care Act 1990. Carers (Recognition and Services) Act 1995. Community Care (Direct Payments) Act 1996. Carers and Disabled Children Act 2000. Health and Social Care Act 2001. Community Care (Delayed Discharges, etc) Act 2005. Carers (Equal Opportunities) Act 2004. Mental Capacity Act 2005. Care Act 2014. Health services - any health related functions exercised on behalf of an NHS body under the National Health Service Act 2006. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 97 9 10 11 12 Duties and powers of Local Authorities under the Disabled Persons (Employment) Act 1944. Duties and powers of Local Authorities under the National Assistance (Amendment) Act 1951. Duties and powers of Local Authorities under the Health and Social Services and Social Security Adjudications Act 1985. Duties and powers of Local Authority under the Health Act 1999. 13 To make arrangements for the investigation of complaints relating to Social Services functions discharged by the Corporate Strategy and Commissioning Directorate including discretion to reimburse expenditure incurred by complainants where complaints are upheld by Panel Reviews up to a maximum of £600 in any one case. 14 Burial or cremation of persons in the care of the local authority where no other person takes responsibility. 15 Arrangements for admission to and approval of training allowances or remuneration, as appropriate, relating to sheltered workshops, training centres, day centres and granting retirement allowances for sheltered workshops’ employees in accordance with approved scales. 16 The payment of reasonable out-of-pocket expenses to individual voluntary workers undertaking relevant services at the request of the Directorate in providing for the welfare of persons towards whom the Council has responsibility. 17 Approving financial assistance for personal aids, adaptations in the home, telephones, radios, televisions and holidays, and other similar matters, up to a maximum cost of £10,000 in any one case. 18 Approving assistance for adaptation works for disabled persons under the Chronically Sick and Disabled Persons Act 1970 up to a maximum cost of £25,000 in any one case. 19 Arrangements for admission of blind and partially sighted persons to approved Schemes and the payment of augmentation grants within approved scales, and for the making of grants towards working accommodation, tools, equipment, materials and similar matters, up to £2,500 in any one case. 20 To deal with assistance to voluntary organisations including funding if under £1,000. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 98 TO THE DIRECTOR OF PUBLIC HEALTH AND THOSE HEADS OF SERVICE, TEAM MANAGERS AND OTHER OFFICERS IDENTIFIED IN WRITING BY THE DIRECTOR OF PUBLIC HEALTH To exercise the powers and duties of the Council in the following areas: 1 The responsibilities of the Council as set out in the National Health Service Act 2006, as amended, in particular: (a) The exercise by the Council of its functions under section 2B of the National Health Service Act 2006 (functions of Local Authorities and Secretary of State as to improvement of public health) (b) The exercise by the Council of its functions under section 111 of the National Health Service Act 2006 (Dental Public Health) (c) The exercise by the Council of its functions under section 249 of the National Health Service Act 2006 (Joint working with the prison service) (d) The exercise by the Council of its functions under Schedule 1 of the National Health Service Act 2006 (e) The exercise by the Council of its functions by virtue of section 6C(1) or (3) of the National Health Service Act 2006 (Regulations as to the exercise by local authorities of certain public health functions) (f) Anything done by the Council in pursuance of arrangements under section 7A of the National Health Service Act 2006 (Exercise of Secretary of State’s public health functions). 2 The functions of the Council under section 325 of the Criminal Justice Act 2003 (Arrangements for assessing etc risks posed by certain offenders). 3 Such other functions of the Council as may be prescribed, to be carried out by the Director of Public Health. 4 Prepare an annual report on the health of the people in the area of the Council under section 73B(5) of the Health and Social Care Act 2012. 5 Responsibility for the Council’s public health response as a responsible authority under the Licensing Act 2003 (as amended) such as making representations about licensing application S(section 5(3), 13(4), 69(4) and 172B(4) of the Licensing Act, as amended). 6 The functions of the Council conferred by the Healthy Start and Welfare Food Regulations 2005, as amended. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 99 TO THE DIRECTOR OF PLANNING AND ECONOMIC REGENERATION AND THOSE HEADS OF SERVICE, TEAM MANAGERS AND OTHER OFFICERS IDENTIFIED IN WRITING BY THE DIRECTOR OF PLANNING AND ECONOMIC REGENERATION ECONOMIC DEVELOPMENT AND RURAL POLICY FUNCTIONS 1 To act on behalf of the Council in any matters relating to applications for European, National, Regional, Rural Development and other grant schemes. 2 To exercise the powers and duties of the Council in relation to the promotion of economic development. ESTATE MANAGEMENT AND PROPERTY FUNCTIONS 3 To grant, determine or vary the terms of leases, tenancies or licences, including the agreement of rent reviews. 4 To settle the terms for the disposal of land and property approved by the Council, including the acceptance of tenders provided that the tender is the most economically advantageous. 5 To settle terms for the making of Advance Payments of statutory compensation and to agree terms of compensation payments subject to the terms being within the Council’s approved budget provision. 6 To deal with consents for assignment, sub-letting, alterations, change of use etc. under leases. 7 To deal with the service of notice to quit for the purpose of negotiating the rent or terms of leases or for terminating leases. 8 The granting of easements and wayleaves and the taking of easements and rights of access. 9 The determination of dilapidation claims and compensation payments. 10 To dispose of the Council’s reversionary interest in all leased land and properties. 11 To deal with applications for holding fairs, displays, minor functions etc. on land under the control of the Council. 12 The declaration of land and premises not exceeding £100,000 in value surplus to the requirements of the Council. 13 The declaration of individual Housing Revenue Account properties surplus to the requirement of the Council. 14 To settle terms for the acquisition of land, property, licenses and interests in land and property subject to the terms being within the Council’s approved budget provision. 15 To settle terms for the grant, release or variation of legal charges, restrictive covenants or other constraints on the use of land, property or premises owned or disposed of by the Council. 16 To agree terms for the disposal of land by lease to Town and Parish Councils for sporting and recreational purposes only and for use primarily by residents in their respective parishes. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 100 17 To declare land and property within the smallholding estate surplus to Council requirements. PLANNING AND BUILDING CONTROL FUNCTIONS 18 To determine all applications made to the Council for planning permission (and including related applications - eg Listed Building Consent, Conservation Area Consent and Advertisement Consent) in accordance with the approved Scheme of Delegation. 19 To determine applications for approval of “reserved matters” and any items required by a condition of a planning application. 20 Determinations under the “Prior Notification” procedure in respect of agricultural buildings and works, demolition of dwelling-houses and telecommunications equipment. 21 To make determinations as to whether planning permission is required. 22 Approval of minor amendments to planning permissions already granted. 23 Approval of variation of conditions except where the variation would significantly alter a decision taken by the Planning Committee or Area Planning Sub-Committee. 24 To determine applications for Certificates of Lawful Use or Development. 25 Responses to proposals for overhead electricity lines up to 33Kv. 26 To comment on consultations by neighbouring local planning authorities about development outside but close to the Council boundary or by the Crown in respect of Crown Development. 27 To make objections on environmental grounds to proposals for operating centres for goods vehicles submitted to the licensing authority. 28 To deal with all matters pertinent to and arising from the Building Regulations, the Building (Approved Inspections) Regulations, The Building (Local Authority Charges) Regulations 1998 and the Building Act 1984. 29 To make administrative and procedural decisions relating to the processing of applications, including decisions about their validity, fees, publicity, consultation and extensions of timescale for determination. 30 To make directions restricting permitted development under the Town and Country Planning General Development Order, subject to a report of the action taken being submitted to the Planning Committee. 31 To authorise the service of Building Preservation Notices. 32 To authorise the making of and confirmation of provisional Tree Preservation Orders (unless objections are made to the Order). 33 To determine applications to fell or prune trees included in a Tree Preservation Order. 34 To authorise revocation or modification of consent to fell or prune trees included in a Tree Preservation Order. 35 To revoke or vary existing Tree Preservation Orders where a new Order is being made. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 101 36 To authorise the service of the Tree Replacement Notices. 37 To authorise the service of Waste Land Notices. 38 The power to remove or obliterate posters and placards displayed in contravention of the Advertisement Regulations. 39 To determine applications for consent to fell or prune trees in a Conservation Area. 40 Powers to deal with dangerous or dilapidated buildings or structures and dangerous trees and dangerous excavations on land accessible to the public. 41 To serve notice under S.16 of the Local Government (Miscellaneous Provisions) Act 1976 requiring information under any Act relating to building control matters. 42 To determine whether any intended planning application should be accompanied by an Environmental Statement under the Town and Country Planning (Assessment of Environmental Effects) Regulations 1999. 43 To respond on behalf of the Council to consultations about Environmental Statements under Regulation 14 of the Town and Country Planning (Assessment of Environmental Effects) Regulations 1999. 44 To authorise the making of agreements under section 106 of the Town and Country Planning Act 1990 in association with planning applications determined in accordance with the approved Scheme of Delegation. 45 To approve applications for the revocation or modification of agreements under section 106 of the Town and Country Planning Act 1990 (or section 52 of the Town and Country Planning Act 1971) except where revocation or modification would significantly alter a decision taken by the Planning Committee or Area Planning Sub-Committee. 46 To make application to the Secretary of State to include a building in the Statutory List under Section 1 of the Listed Buildings Act 1990. 47 To exercise the Council’s powers in respect of high hedges (Part 8). 48 To issue retention notices on important hedgerows in response to Notices submitted under the Hedgerow Regulations 1997. NOTE: Where there is a conflict between the Planning and Development Management functions and the Economic Development and Rural Policy functions and/or the Estate Management and Property functions of the Director, the above functions will not be exercised by the Director but by the Director of Corporate Resources. SUSTAINABLE DEVELOPMENT FUNCTIONS 49 To be responsible for all matters relating to the Sustainable Development function including authority to bid for funds and enter into appropriate contracts following consultation with the Director of Corporate Resources. 50 To exercise the powers and duties of the Council in relation to coastal erosion. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 102 SCHEME OF OFFICER APPLICATIONS DELEGATION FOR DETERMINING PLANNING The Director of Planning and Economic Regeneration is authorised to determine all applications made to the Council for planning permission (and including related applications - eg Listed Building Consent, Conservation Area Consent and Advertisement Consent) except in the following circumstances:(i) where it is proposed to approve an application which would involve a significant departure from the Development Plan or any adopted planning policy of the Council; (ii) where the proposed development is for Council purposes or involves Council owned land or property (except where the application is for minor works to existing property, where the use is not to be changed and where there is no consequent proposal to dispose of the property). In any circumstances where a conflict exists between the various functions of the Planning and Economic Regeneration Directorate that Director’s Planning and Development Management functions shall transfer to the Director of Corporate Resources; (iii) where the application is submitted by, or on behalf of, a Member of the Council, a Principal Officer at or above Scp 49, any member of staff reporting or providing direct support to the Head of Planning and Development Management (or any other member of staff at the discretion of the Director of Planning and Economic Regeneration) or any planning officer formerly employed by this Authority (or any of its predecessor authorities) for a period of five years from the termination of his employment. (iv) where any Member of the Council has requested in writing that the application is referred to the relevant Committee. (Any request from a Member to be made within 14 days from the date on which the information is circulated, or such later date as may be agreed by the Head of Planning and Development Management where there are special circumstances, and to include reasons for the request which will be included in the report to the Committee). (v) The proposed decision is contrary to a representation made on planning grounds b a statutory consultee other than a Town or Parish Council. (vi) The proposed decision is contrary to a view expressed by a Town or Parish Council in relation to an application and that view is stated by the Town and Parish Council to be strongly held, and in the case of a householder application (for works or an extension to an existing dwelling) where the view is supported by good and compelling material planning or local amenity reasons. (vii) where the Director of Planning and Economic Regeneration considers that it would be appropriate to refer the application to the Sub-Committee having regard to: - the nature and scale of the proposed development the planning implications of the proposed development any representations received any other material planning considerations. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 103 ADULT EDUCATION 51 Functions in respect of education for persons over 19 under Education Act 2006. ASSET STRATEGY 52 Functions in respect of education for persons over 19 under Education Act 2006. 5 To approve variations to schemes within the approved Capital Programme together with the proposed available funding source (in consultation with the appropriate Member of the Corporate Management Team) and to subsequently report such variations to The Cabinet in the revised programme. 53 To determine priorities for the Repair and Maintenance programme for premises under the control of each department (in consultation with the appropriate Member of the Corporate Management Team). 54 The urgent letting of Education contracts both for construction works and other matters where the value is in excess of the Member of Corporate Management Team’s own delegations, in consultation with the Director of Corporate Resources. 55 To review and amend, in consultation with the Director of Environment and Neighbourhood Services, the reclassification of the bands of charging in which each Council car park falls as a result of the applied car parking matrix as necessary and as part of the budget setting process. 56 To review car parking charges annually as part of the budget process in consultation with the Director of Environment and Neighbourhood Services. 57 To deal with applications for and maintain the lists of assets of community value under the Localism Act 2011. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 104 PART 4 RULES OF PROCEDURE Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 105 FULL COUNCIL CONTENTS RULE PAGE 1 Annual Meeting .................................................................................................................................... 107 2 Ordinary Meeting......................................................................................................................... 107-108 3 Extraordinary Meetings ...................................................................................................................... 108 4 Notice of and Summons to Meeting ................................................................................................ 109 5 Quorum ................................................................................................................................................. 109 6 Duration of Meeting............................................................................................................................ 109 7 Questions by Electors ................................................................................................................. 109-111 8 Questions by Councillors ........................................................................................................... 111-112 9 Petitions, Deputations and Public Speaking ............................................................................ 112-113 10 Minutes .................................................................................................................................................. 114 11 Cabinet/Committee Minutes ..................................................................................................... 114-115 12 Manner of Dealing with Cabinet/Committee Minutes.......................................................... 115-116 13 Excepted Items .................................................................................................................................... 116 14 Portfolio Holder Reports and Notices of Motion .................................................................. 116-118 15 Motions and Amendments without Notice ............................................................................. 118-119 16 Rules of Debate............................................................................................................................ 119-122 17 Point of Order .............................................................................................................................. 122-123 18 Personal Explanations......................................................................................................................... 123 19 Councillors’ Conduct .................................................................................................................. 123-124 20 Voting ............................................................................................................................................ 124-125 21 Filming, Photographing and Recording ................................................................................... 125-126 22 Attendance ............................................................................................................................................ 126 23 Formal Matters ..................................................................................................................................... 126 24 Exclusion of the Public ....................................................................................................................... 126 25 Application to The Cabinet and Committees and Sub-Committees............................................ 126 26 Variation or Revocation of Procedure Rules .................................................................................. 126 27 Suspension of Procedure Rules ......................................................................................................... 126 28 Conflict Resolution.............................................................................................................................. 127 Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 106 COUNCIL MEETINGS 1 ANNUAL MEETING The Council will hold its Annual Meeting at a place and time and on a day in May which it will decide annually in January. In the absence of decision or statutory provision to the contrary, the day will be the second Thursday in May, but, in an election year, the second Thursday after the Council elections. The business to be dealt with at the Annual meeting will be as follows:- 2 (i) election of Chairman; (ii) election of Vice-Chairman; (iii) to approve the minutes of the last meeting; (iv) to receive announcements from the Chairman and/or Chief Executive; (v) to elect the Leader; (vi) to receive details of the Leaders’ appointments to The Cabinet including the Deputy Leader and allocation of portfolios; (vii) to appoint such Overview and Scrutiny Committees and Sub-Committees, Non-Executive Committees as the Council considers appropriate including the size and terms of reference of those Committees and Sub-Committees, subject to the terms of reference of the Licensing Act 2003 Committee being as required by statute; (viii) to receive nominations of Councillors to serve on each Committee, including the appointment of Chairmen and Vice-Chairmen; (ix) to review and agree the Constitution; (x) to approve a programme of ordinary Council meetings for the year; (xi) to make appointments to outside bodies except where appointments to those bodies has been delegated to The Cabinet; (xii) to consider any other business set out in the notice convening the meeting. ORDINARY MEETING Ordinary Meetings will be held at approximately six weekly intervals at such place and time as the Council may determine at its Annual Meeting. The Order of Business at Ordinary Meetings will be:(i) to choose a person to preside if the Chairman and Vice-Chairman are absent, this cannot be a Member of The Cabinet; (ii) to deal with any item required by statute to be done before any other item; (iii) to approve as a correct record and sign the Minutes of the last Meeting of the Council; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 107 (iv) Petitions, Deputations and Questions by Electors; (v) to receive such communications as the Chairman or Chief Executive may desire to lay before the Council; (vi) to dispose of business (if any) remaining from a previous Meeting; (vii) to consider the Minutes of Committees and receive, approve and adopt such minutes and recommendations, as appropriate; (viii) to answer questions by Councillors asked under Procedure Rule 8; (ix) to answer questions by Councillors relating to Humberside Fire Authority; (x) to answer questions by Councillors relating to Outside Bodies; (xi) issues for debate; (xii) to consider Motions under Procedure Rule 14 in the order received, and (xiii) other business, if any, specified in the summons. (xiv) The Order of Business may be altered by the Chairman of the Council, or by a resolution following a motion moved, seconded and put to the Meeting without debate. 3 EXTRAORDINARY MEETING 3.1 Calling Extraordinary Meetings The Chief Executive may be requested to call Council meetings in addition to the Ordinary Meetings by the following: 3.2 The Council by resolution. The Chairman. Any five Councillors if they have signed a requisition presented to the Chairman and he/she has failed to call a meeting within seven days of the presentation of the requisition. Business Only the business specified in the summons may be transacted. 3.3 Time and Place of Extraordinary Meetings The time and place of extraordinary meetings will be determined by the Chief Executive. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 108 4 NOTICE OF AND SUMMONS TO MEETING The Chief Executive will give notice to the public of the time and place of any meeting in accordance with the Access to Information Procedure 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 Councillor 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. 5 QUORUM The quorum at a Meeting of the Council is 17. If the Meeting lacks a quorum its business shall be adjourned to a fixed date and time, or to the next Ordinary Meeting. 6 DURATION OF MEETING 6.1 All meetings commencing in the afternoon must end before 7.30 p.m. and all meetings commencing in the morning must end before 4.00 p.m. The times can be extended by the majority of Councillors present voting to continue provided that any extension must not exceed one hour. Remaining business shall be considered at the end of the next ordinary meeting of the Council. 6.2 All meetings must incorporate a break for refreshments at approximately two hourly intervals unless the Council decides otherwise. 7 QUESTIONS BY ELECTORS 7.1 General Any elector registered within the area may ask a question of the Leader of the Council or Chairman of any Overview and Scrutiny or Non-Executive Committee or Sub-Committee at ordinary meetings of the Council. 7.2 Notice of Question Questions must be submitted in writing to the Chief Executive not less than five clear working days before the meeting. 7.3 Record of Questions The Chief Executive shall date and number each question on receipt and enter it into a register which anyone may inspect. 7.4 Supplementary Questions One supplementary question will be allowed, provided that it is relevant to the original question and does not introduce a new subject matter. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 109 7.5 Scope of Questions (a) (b) 7.6 The Chief Executive, in consultation with the Chairman of the Council will disallow any question which is either: not relevant to the functions of The Cabinet or Committee defamatory or offensive, or duplicates other questions received. No question may be asked which: relates to any non-determined planning application; cannot be answered without disclosing material which is exempt or confidential within the meaning of the Local Government Act 1972 as amended; is of a purely personal nature. Time Limit The period allowed for putting and answering questions shall be ten minutes. This period may be extended by a Motion moved by any Councillor. Such a Motion shall be moved, seconded and voted on without discussion. 7.7 Order of Questions Questions shall be put and answered in the order they were received by the Chief Executive. 7.8 Reference of Questions to The Cabinet or a Committee There shall be no discussion upon the question or answers by any Councillor. A Councillor may move that a matter raised by the question be referred to The Cabinet or appropriate Committee or Sub-Committee. Such a Motion shall be moved, seconded and voted on without discussion. 7.9 Answers A person to whom a question has been put may: give a direct oral answer; where the desired information is contained within a publication of the Council or in any Report or Minutes previously submitted to Council, refer to that document; give a reply in writing; decline to answer. (The answer shall distinguish between the policies of the Council and any personal views of the Member answering). Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 110 7.10 Councillors No Councillor shall be permitted to ask questions under this procedure rule. 8 QUESTIONS BY COUNCILLORS 8.1 General A Councillor may:(i) ask the Leader of the Council or the Chairman of any Committee/Sub-Committee a question on any matter within the powers and duties of The Cabinet or a Committee; (ii) ask questions of a nominated Councillor in relation to the activities of: 8.2 8.3 Humberside Fire Authority Any outside body to which the Council appoints a representative Notice of Question (a) Questions in relation to 8.1 (i) above must be submitted to the Chief Executive in writing before 4.00 p.m. on the third day before the day of the Council meeting, ie where the Council meeting is on a Wednesday, the Friday of the previous week. (b) The requirement to give the notice referred to in 8.2 (a) above shall not apply to any matter relating to a decision of The Cabinet or Committee/Sub-Committee which meets after the Council Summons has been despatched to Councillors. (c) Questions in relation to 8.1 (ii) above must be submitted to the Chief Executive in writing at least six clear days before the Council meeting (ie if the meeting is on a Wednesday this means the Monday of the preceding week). Record of Questions The Chief Executive will give a copy of each question to every Councillor attending the meeting. 8.4 Supplementary Questions In relation to the questions referred to in 8.1 (i) above:(a) The Councillor submitting the question shall be permitted one supplementary question and a second supplementary question will be allowed from one other Councillor provided both are relevant to the original question and do not introduce any new material. (b) No supplementary questions shall be permitted in relation to the questions referred to 8.1 (ii) above. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 111 8.5 Scope of Question Any question which, in the opinion of the Chief Executive is unsuitable in form, frivolous or derogatory to the dignity of the Council, shall be disallowed by him/her following consultation with the Chairman. 8.6 8.7 Time Limit (a) No Councillor shall speak for more than five minutes in answer to any question, and (b) Councillors shall not use the right to ask a question to make a speech. Order of Questions Questions will be asked in the following order:- 8.8 (a) Questions relating to a resolution or recommendation which is before the Council. (b) Questions not relating to a resolution or recommendation before the Council. (c) Questions relating to the Fire Authority or an Outside Body. Answers (a) Questions will be answered without discussion. (b) The person to whom the question is addressed may decline to answer. (c) Answers may be given:- (d) 8.9 orally; by reference to published material which is readily available; in writing with copies to be circulated to Group Offices within three days. The Leader of the Council may nominate a Portfolio Holder to answer all or part of any question. Number of Questions Each Councillor shall be limited to asking one question in each category at each meeting and multiple point questions shall not be permitted. 9 PETITIONS AND DEPUTATIONS 9.1 General Any petition must be in writing and signed by at least 10 Local Government electors of the area. 9.2 Notice of Petition Petitions must be submitted to the Chief Executive and if requested that it be considered by Committee it must be received not less than five clear working days before the meeting to which it is to be presented. 9.3 Record of Petitions The Chief Executive shall date and number each petition on its receipt and enter it into a register which anyone may inspect. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 112 9.4 Scope of Petitions No petition shall relate to matters of a personal nature. 9.5 Presentation of Petition (a) 9.6 If it has been requested that the petition be considered by Members it will be presented in the following ways:(i) Where it involves a major issue affecting the whole of the Council’s area and which is not in the remit of The Cabinet or any Committee or SubCommittee, at the Council meeting. (ii) In all other cases to the next meeting of the appropriate Overview and Scrutiny Sub-Committee or Non-Executive Committee or Sub-Committee. (b) The Petitioners and Local Ward Councillors shall be informed of the date, time and venue of the meeting at which the petition is to be considered. (c) One elector who is a signatory to the petition may speak for not more than five minutes at the meeting at which it is presented. (d) Paragraphs (a) - (c) do not apply to petitions relating to planning applications. (e) No Councillor shall speak on a petition other than one Local Ward Councillor at the discretion of the Council, Committee or Sub-Committee concerned. Deputations Paragraph 9.5 (a) - (f) shall also apply to request for Deputations, except that:- 9.7 a Deputation must be made personally, ie may not be presented by a Councillor or officer; the Spokesperson for the Deputation may speak for five minutes upon the subject matter of the Deputation, and this period may not be extended; a Deputation shall not be made by less than three persons nor by more than ten persons, although more than this number may appear as signatories to the request for the Deputation; No Deputation may be made in relation to any planning application. Time Limit No petition or deputation shall be accepted where one with the same or similar subject has been considered within the previous six months. 9.8 Public Speaking at Planning Committees Members of the public will be allowed to speak at the Planning Committee and Area Planning Sub-Committees in accordance with the protocol for public speaking at planning meetings as outlined in paragraph 8 of the Non-Executive Committee procedure rules elsewhere in this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 113 10 MINUTES 10.1 Signing the Minutes The Chairman of the Council will move that the Minutes be approved and signed as a correct record. 10.2 Accuracy of the Minutes Only the accuracy of the Minutes may be discussed and then only by Motion. As soon as any Motion has been disposed of (or if no Motion is moved) the Chairman will sign the Minutes subject to any amendment set out in any Motion approved by the Council. 10.3 Submission to Next Meeting Minutes shall be submitted to and signed at the next meeting of the Council unless that next meeting is an Extraordinary Meeting. 11 CABINET/COMMITTEE MINUTES 11.1 Decisions Required from the Council 11.2 (a) Decisions required from the Full Council will be made by the consideration of recommendations from The Cabinet or Committees. (b) Such recommendations shall normally be submitted in the form of minutes. (c) Notwithstanding (b) above, the Chief Executive is authorised to submit a full and detailed report to the Council where he/she considers it appropriate or where a matter is referred to The Council by The Cabinet or a Committee without a recommendation. Circulation of Minutes The Chief Executive shall arrange for all minutes of The Cabinet and Committees to be circulated to every Councillor not less than five clear working days before the meeting of the Council at which such minutes are to be submitted for receipt, or approval and adoption. 11.3 Form of Minutes (a) The minutes of The Cabinet, Non-Executive Committees or Sub-Committees shall clearly indicate the matters in respect of which they have made a decision in the exercise of their powers and those matters in respect of which they are making a recommendation to a Committee or to the Council. The minutes of SubCommittees shall be received by the appropriate Committee and shall appear as part of the minutes of that Committee. (b) The minutes of the Overview Management Committee and its Sub-Committees shall reflect the fact that such Committee or Sub-Committees have no delegated power to make operational decisions. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 114 1.4 Reports Considered by The Cabinet/Committees/Sub-Committees All written reports received by all Committees at their meetings shall be made available for perusal by all Councillors but shall not otherwise be circulated to Councillors unless the Chairman presiding at any Committee or the Chief Executive considers that circulation of an individual report would either: assist Councillors in reaching a decision on any item being reported as a recommendation, or is otherwise desirable in the interests of keeping Councillors informed on any item. Copies of all reports received by The Cabinet shall be circulated to all Councillors. 12 MANNER OF DEALING WITH CABINET/COMMITTEE MINUTES 12.1 Order of Minutes 12.2 (a) Minutes of Committees shall be dealt with in the order in which they appear in the Council Summons, unless varied in accordance with Procedure Rule 2. (b) In dealing with the minutes of The Cabinet, any item of any other Committee which has been considered by The Cabinet shall be dealt with at the same time and in conjunction with the relevant item of The Cabinet. Approval and Adoption of Minutes The reception or approval and adoption of the minutes of The Cabinet and all Committees shall be moved by the Chairman of the Council or any Councillor presiding at the Council meeting. 12.3 Procedure for Receiving Minutes and Adopting Recommendations (a) (b) After the minutes of a Committee have been moved, the procedure shall be as follows: excepted items, as detailed in Procedure Rule 13, shall be moved by the Chairman presiding at the meeting of the Cabinet or relevant Committee and shall be considered in the minute number order in which they appear in the minute book provided that this order may be varied by the consent of the Council ascertained by show of hands without debate. The Chairman may take two or more excepted items together if he/she considers it will assist the Meeting; the Councillor moving the excepted item may either exercise his/her right of reply or call upon another Councillor to reply on his/her behalf. Minutes of The Cabinet may be subject to call in, in accordance with this Constitution; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 115 (c) 13 The only amendments which may be moved on any resolved items are as follows: that it be received with regret at a decision arrived at by The Cabinet, Committee or Sub-Committee, or that it be received with an instruction to a Committee or Sub-Committee as to the future policy to be adopted in relation to such matters. EXCEPTED ITEMS Notice to Except an Item 14 (a) Any Councillor wishing to speak on any minute or move a first amendment to any recommendation must give notice in writing to the Chief Executive by 4.00 p.m. on the second day before the day of the Council (ie before 4.00 pm on Monday if the meeting is held on the Wednesday). (b) Such matters shall be known as “Excepted Items”. (c) All notices must be signed by the Councillor submitting them. (d) Any Councillor may speak without giving notice on any minute, providing that the minute has been formally excepted in accordance with the above. PORTFOLIO HOLDER REPORTS AND NOTICES OF MOTION PORTFOLIO HOLDER REPORTS 14.1 Number of Reports A maximum of two reports from individual portfolio holders will be considered at each Council meeting. 14.2 Scope Reports will seek to inform Members in relation to issues in the area of the portfolio holder’s responsibility. 14.3 Record of Reports The Chief Executive shall set out in the Council Summons the reports to be considered at each meeting. 14.4 Time Limit and Questions The period allowed for the submission of each report shall be ten minutes. At the end of each report a period of five minutes will allowed for the submission of questions by Members of the Council. Questions must relate to issues referred to in the portfolio holder’s report. Each Member will be limited to one question on each report. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 116 14.5 Conclusion At the conclusion of the report and questions there will be no summing up and no decisions will be made. Voting will not be permitted. NOTICES OF MOTION 14.6 14.7 Notice (a) Except for motions which can be moved without notice under Procedure Rule 15, written notice must be given of every motion to the Chief Executive. (b) Notice must be given at least six clear working days before the Council meeting (ie if the meeting is on a Wednesday this means the Monday of the preceding week). (c) The Notice must be signed by the Councillor submitting it. Scope of Motions Motions must relate to matters where the Council has powers or duties or which affect the District. 14.8 Record of Motions The Chief Executive shall:- 14.9 (a) date and number each Notice of Motion on receipt of it and enter it in a book which anyone may inspect; and (b) set out in the summons for the Council meeting all motions in the order they have been received. Procedure for Dealing with Notices of Motion (a) The Council will treat as withdrawn any motion not moved at the meeting at which it appears upon the summons, unless its postponement is agreed. (b) Any motion the subject matter of which comes within the province of any Committee(s) may:- (c) (i) be referred without discussion to such Committee(s), or (ii) be referred without discussion to such other Committee(s) as the Council may decide, or (iii) be dealt with at the meeting at which it is moved if the Council considers that it would be convenient to do so. Any motion the subject matter of which is operational in nature and comes within the province of The Cabinet may:- Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 117 (i) be referred without discussion to The Cabinet; (ii) be referred to The Cabinet with a recommendation for action. Only the mover and seconder of the motion will have the right to speak before any of the amendments referred to in (b) and (c) above are moved and seconded. (d) Any Councillor wishing to move a first amendment to a motion given in accordance with Procedure Rule 14.6 shall notify the Chief Executive of his intention in writing over his signature before 4.00 p.m. on the second day before the day of the Council and particulars of the amendment will be handed to the Chief Executive before it is discussed or put to the Council meeting. (e) The Councillor who has moved the motion must be notified by the Chief Executive of the meeting(s) of The Cabinet/Committee(s) to which is has been referred, and has the right to attend the meeting(s) and to explain the motion. (f) If notice is given of a motion which in the opinion of the Chief Executive is out of order, illegal, irregular or improper, he shall following consultation with the Chairman determine if it is to be accepted and placed on the agenda. In the event of non-acceptance the Chief Executive shall inform the Councillor accordingly. (g) If a motion, notice of which has been given in the Council summons, is not moved by the Councillor who has given notice thereof, such motion may, with the consent of the Council given by a show of hands without debate, be moved by some other Councillor, otherwise it shall be deemed to have been withdrawn and shall not be moved without fresh notice. 14.10 Six Month Rule No Notice of Motion to rescind or amend any resolution as a result of a Notice of Motion passed within the preceding six months, and no motions or amendments to the same effect as one which has been rejected within the preceding six months, shall be proposed unless the notice thereof bears the name of at least 17 Councillors. When any such motion or amendment has been disposed of by the Council, it shall not be open to any Councillor to propose a similar motion within a further period of six months. This procedure rule shall not apply to motions moved in pursuance of a recommendation of The Cabinet or a Committee. 15 MOTIONS AND AMENDMENTS WITHOUT NOTICE The following motions and amendments may be moved without notice:(a) To appoint a Chairman for that Meeting or the remainder of the Meeting. (b) Motions relating to the accuracy of the Minutes. (c) To vary the order of the Agenda. (d) That a recommendation be referred back to a Committee. (e) The appointment of a Committee or Members thereof arising out of consideration of an item on the Agenda. (f) To receive, approve and adopt delegated decisions and recommendations of Committees as appropriate. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 118 (g) To give leave to withdraw a motion. (h) To extend the time limit for speeches. (i) Any motion arising out of the consideration of a report submitted direct to the Full Council. (j) Amendments to motions except where notice is required under Procedure Rule 14.9 (d). (Further Amendments). (k) To move on to the next item on the Agenda. (l) That the vote be taken. (m) To adjourn the debate. (n) To adjourn the Meeting. (o) To suspend one or more Procedure Rules. (p) To refer a Notice of Motion without discussion to a Committee or The Cabinet. (q) To exclude the public from the Meeting under Section 100A of the Local Government Act 1972. (r) Not to hear a Councillor further. (s) By the Chairman to require a Councillor to leave the Meeting. (t) To give any consent required by these Procedure Rules. Reference back of a resolved minute cannot be moved under this procedure rule. 16 RULES OF DEBATE 16.1 Speeches No motion or amendment shall be spoken upon except by the mover until it has been seconded. 16.2 Right to Require Motion in Writing Unless notice of the motion has already been given, the Chairman may require it to be written down and handed to him/her before it is discussed. 16.3 Seconder’s Speech When seconding a motion or amendment, a Councillor may reserve their speech until later in the debate. 16.4 Content and Length of Speeches (a) A Councillor, when speaking, shall stand and address the Chairman and speeches must be directed to the question under discussion or to a personal explanation or point of order. No speech may exceed five minutes without the consent of the Council except for a Councillor moving an original motion who can speak for ten minutes. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 119 16.5 (b) Whilst a Councillor is speaking other Members shall remain seated unless rising to a point of order or personal explanation. (c) These time limits do not apply to a speech by the Councillor (s) moving the Budget, or Council Tax for the ensuing year, but shall apply to his reply. Extension of Time for Speeches The Council can agree to extend the time limits for speeches as follows:- 16.6 Any extra time agreed to by the Council shall be limited to one period of five minutes only. Any proposal to grant extra time may be moved by the speaker, but must be seconded by a Councillor other than the speaker. Speaking Only Once Subject to Procedure Rule 16.7 a Councillor shall not speak more than once on the same motion or amendment. 16.7 When a Councillor may Speak Again A Councillor who has spoken on a motion may not speak again whilst it is the subject of debate, except:- 16.8 (a) to speak once on an amendment moved by another Councillor; (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 Councillor, 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. Withdrawal of Motion A Councillor may withdraw a motion which he/she has moved with the consent of both the meeting and the seconder. The meeting’s consent will be signified without discussion. No Councillor may speak on the motion after the mover has asked permission to withdraw it unless permission is refused. 16.9 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. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 120 (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 mover of an amendment has no right of reply to the debate on his or her amendment. 16.10 Amendments (a) An amendment to a motion must be relevant to the motion and will either be:(i) to refer the matter to an appropriate body or individual for consideration or reconsideration; (ii) to leave out words; (iii) to leave out words and insert or add others, or (iv) to insert or add words as long as the effect of (ii) to (iv) is not to negate the motion. (b) Only one amendment may be moved and discussed at any one time. No further amendment may be moved until the amendment under discussion has been disposed of. (c) If an amendment is not carried, other amendments to the original motion may be moved without notice. (d) If an amendment is carried, the motion as amended takes the place of the original motion. This becomes the substantive motion to which any further amendments are moved. (e) After an amendment has been carried, the Chairman will read out the amended motion before accepting any further amendments, or if there are none, put it to the vote. 16.11 Alteration of Motion (a) A Councillor 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 Councillor 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. 16.12 Next Business A Councillor other than the mover or seconder of a motion or amendment may at any time move “that the Council proceed to the next business of the day”. Such a motion on being seconded shall be put without speech or debate. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 121 16.13 Vote be Taken (a) A Councillor other than the mover or seconder of a motion or amendment may at any time move:“That the vote be taken” (b) On being seconded the motion shall be put without speech or debate. (c) This motion can only be moved once on a debate. (d) Where an amendment is under discussion the motion shall only apply to that amendment. (e) The Chairman may require the vote to be taken at any time if he/she is satisfied any matter has been fully debated. If this occurs, the mover of the original motion will have a right of reply. 16.14 Adjournment (a) A Councillor may move the adjournment of any debate at any time. (b) On such a motion being seconded, all speakers shall limit their observations to the question of adjournment. (c) If such a motion is rejected, another motion for the same or like purpose shall not be moved for 30 minutes without the consent of the Council. That consent should be obtained by show of hands without debate. 16.15 Six Month Rule 17 (a) Subject to (c) below, no decision made by Council within the preceding six months can be rescinded or amended. (b) No motion or amendment to the same effect as one that has been rejected within the preceding six months shall be proposed by any Councillor. (c) The Council, Cabinet, Committee or Sub-Committee can consider rescinding or amending any resolution within that period on receipt of a report from the Chief Executive or appropriate director which must give reasons why such a course of action should be considered. POINT OF ORDER (a) A point of order is a request made by a Councillor to the Chairman of the Council to rule on an alleged irregularity in the Constitution or irregular procedure in the meeting. (b) A Councillor may rise on a point of order at any time and can address the Chairman immediately. (c) The Councillor who raises a point of order must specify immediately a procedure rule or statutory provision, and say how it has been broken or infringed. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 122 18 (d) The Councillor’s speech must be confined to the point of order. (e) The ruling of the Chairman on the advice of the Chief Executive on a point of order is not open to discussion. PERSONAL EXPLANATIONS (a) A personal explanation shall be confined to some material part of an earlier speech by the Councillor named and on which a misunderstanding has occurred. (b) A Councillor may rise on a personal explanation at any time and can address the Chairman immediately. (c) The Councillor’s speech must be confined to the personal explanation. (d) The ruling of the Chairman on the advice of the Chief Executive is not open to discussion. 19 COUNCILLORS’ CONDUCT 19.1 Standing to Speak When a Councillor speaks at the Council he/she must stand and address the meeting through the Chairman. If more than one Councillor stands, the Chairman will ask one to speak and the others must sit. Other Councillors must remain seated whilst a Councillor is speaking unless they wish to make a point of order or a point of personal explanation. 19.2 Chairman Standing When the Chairman stands during a debate, any Councillor speaking at the time must stop and sit down. The meeting must be silent. 19.3 Councillor Not to be Heard Further If a Councillor persistently disregards the ruling of the Chairman by behaving improperly or offensively or deliberately obstructs business, the Chairman or any other Councillor may move that the Councillor be not heard further. If seconded, the motion will be voted on without discussion. 19.4 Councillor to Leave the Meeting If the Councillor named continues his/her misconduct after a motion under Procedure Rule 19.3 has been carried, the Chairman shall:Either - move “that the Councillor named leave the meeting” (in which case, the motion shall be put and determined without seconding or discussion); Or 19.5 - adjourn the meeting for such a period as he/she in his/her discretion shall consider expedient. General Disturbance If there is a general disturbance making orderly business impossible, the Chairman may, without discussion, adjourn the meeting for as long as he/she thinks necessary. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 123 19.6 Removal of a Member of the Public If a member of the public interrupts the proceedings at any meeting, the Chairman may warn him/her. If he/she continues his interruption, the Chairman may order his/her removal from the Council Chamber. In the case of general disturbance in any part of the Chamber open to the public, the Chairman may order that part to be cleared. 20 VOTING 20.1 Majority Unless this Constitution or legislation provides otherwise, any matter will be decided by a simple majority of those Councillors voting and present in the room at the time the question is put. 20.2 Chairman’s Casting Vote If there are equal numbers of votes for and against, the Chairman will have a second or casting vote except when voting on an amendment. There will be no restrictions on how the Chairman chooses to exercise a casting vote. 20.3 Show of Hands Unless a recorded vote is demanded under procedure rule 20.4, the Chairman will take the vote by show of hands, or if there is no dissent, by the affirmation of the meeting. Councillors must be seated when the vote is taken. 20.4 20.5 Recorded Vote (a) If any Councillor, supported by five other Councillors, present at the meeting demands it, the names for and against the motion or amendment or abstaining from voting will be taken down in writing and entered into the Minutes. (b) On the demand for a recorded vote a bell, if available, shall be rung for one minute to enable Councillors to enter the Council Chamber immediately after which the Chairman shall declare the doors to be closed and the names shall then be taken and recorded in the minutes. (c) The name or vote of any Councillor entering the Council Chamber after the Chairman has declared the doors to be closed shall not be recorded. (d) A recorded vote shall always be taken on a budget decision - that is a motion or amendment which resolves any of the following: Calculation of Council Tax requirement Calculation of the basic amount of Council Tax Calculation of Special Items Right to Require Individual Vote to be Recorded Where any Councillor 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. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 124 20.6 21 Appointment to External Offices (a) The voting for the disposal of all external offices and places in the patronage of the Council shall, where there is no contest, be by show of hands. (b) In all other cases voting shall be by voting papers containing the name of the person voted for and signed by each Councillor. (c) The person who obtains the least number of votes shall be struck off as a candidate and a new vote shall take place by voting papers as before, until one candidate has received the votes of a majority of the Council present and voting. (d) Upon a ballot the Chairman shall name such a number of scrutineers as he/she may see fit, to examine and report upon the voting papers so given in. (e) No voting paper shall be altered after it has been delivered to the scrutineers and no alteration of a name in any voting paper made before delivery thereof to the scrutineers shall be valid, unless the initials of the name of the person voting shall be written at the side of the name altered. (f) The voting papers shall be given to the Chief Executive to be kept by him/her for six months for inspection by any Councillor, unless otherwise decided by the Council. FILMING, PHOTOGRAPHING AND RECORDING (a) Subject to paragraph f) below when a meeting is open to the public any person attending it is permitted to report on the meeting. (b) ‘Report’ in this Procedure Rule means:(i) Film, photograph or make an audio recording of the proceedings at a meeting; (ii) Use any other means for enabling persons not present to see or hear proceedings at a meeting as it takes place or later. (iii) Subject to sub section c) below report or provide commentary on proceedings at a meeting, orally or in writing so that the report or commentary is available as the meeting takes place or later to persons not present. (c) Oral reporting or oral commentary on a meeting as it takes place by a person present at the meeting is not permitted. (d) At meetings where public speaking is allowed members of the public will be asked if they wish to be recorded. If they do not wish to be recorded the Chairman will indicate that this is the case and ask any person reporting on the meeting to respect their wishes and not to report that element of the meeting. (e) When members of the public are excluded from a meeting in accordance with the Access to Information Rules in Part 4 of this Constitution persons are not permitted to report on the meeting. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 125 (f) 22 If a person reporting on a meeting does so in a disruptive manner the Chairman may warn them if the person continues to act in a disruptive manner the Chairman may order their removal from the meeting. ATTENDANCE Every Councillor attending a meeting of the Council shall sign his/her name in the attendance book or sheet provided for that purpose. 23 24 FORMAL MATTERS (a) A warning bell, if available, shall be sounded one minute prior to the time appointed for the convening of the Council Meeting. The entrance of the Chairman shall be announced at the commencement of the Council Meeting and all Councillors shall stand. After Prayers, a second warning bell shall be sounded before the commencement of formal business. (b) The allocation of seats to Councillors in the Council Chamber shall be the responsibility of the Chief Executive in consultation with the Group Secretaries. EXCLUSION OF THE PUBLIC 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 Procedure Rule 19.6 (Disturbance by Public). 25 APPLICATION TO THE CABINET AND COMMITTEES AND SUBCOMMITTEES Details of which procedure rules apply to The Cabinet and Committees and Sub-Committees are contained in the procedure rules for those meetings elsewhere in this Constitution. 26 VARIATION OR REVOCATION OF PROCEDURE RULES These Procedure Rules shall not be amended, added to or rescinded unless notice shall have first been given to the Councillors in the Council Summons and such notice shall state the terms and effect of any proposed variation or revocation. The Council may refer the proposal to The Cabinet for consideration and report. These Procedure Rules will also be subject to approval, review and confirmation at the Annual Meeting. 27 SUSPENSION OF PROCEDURE RULES Except in respect of procedure rules 10 (Minutes); 15 (Motions and Amendments without Notice); 16 (Rules of Debate) and 20 (Voting) any Member may, for any stated purpose, move the suspension of any procedure rules of the Council and the motion, on being seconded, shall be put forthwith without speech or debate. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 126 28 CONFLICT RESOLUTION (a) Minutes of the meeting of the Council shall be deposited in hard copy in the Group Offices and made available for public inspection at the Council’s headquarters within five working days following the meeting (by no later than 5.00 p.m. on Wednesday of the following week). (b) In the event of conflict arising between the Council and The Cabinet relating to the policy framework or budget, the following mechanism will apply:- Following the publication of the Council minutes, the Leader of the Council shall have five working days from the last date for the deposit of those minutes to object before a decision takes effect. In the absence of such an objection, the decision shall take effect on the sixth working day after the last date of publication of the minutes. Any notice of objection must be submitted to the Director of Corporate Resources within the prescribed time limit and be signed by the Leader. On receipt of the objection, a special meeting of the Council shall be convened to reconsider the issue in the light of the objection. Following reconsideration of the matter, the Council will make a final decision by a simple majority vote. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 127 ACCESS TO INFORMATION PROCEDURE RULES 1 General Approach The Council will adopt a general approach of openness. The underlying principle for meetings will be to make as much information as public as possible unless there are good reasons as to why it must be treated as “Exempt” or “Confidential”. The Council will wherever possible apply the principles of these procedure rules to all meetings of The Cabinet, all Committees including those to which Section 102 of the Local Government Act 1972 does not apply. 2 Scope Rules 1-12 apply to all meetings of the Council, Overview and Scrutiny Committees and SubCommittees, the Standards Committee, Non-Executive and regulatory Committees and public meetings of The Cabinet (together called ‘meetings’). Rules 13-17 apply only to The Cabinet and any Committees it may establish. 3 Additional Rights to Information These rules do not affect any more specific rights to information contained elsewhere in this Constitution or the law. 4 Rights to Attend Meetings Members of the public may attend all meetings subject only to the exceptions in these rules. 5 Notice of Meeting The Council will give at least five clear working days’ notice of any meeting by posting details of the meeting at County Hall, Cross Street, Beverley. 6 7 Access to Agenda and Reports Before the Meeting (a) The Council will make copies of the Agenda and reports open to the public available for inspection at County Hall, Cross Street, Beverley at least five clear days before the meeting or where a meeting is convened at shorter notice at the time it is convened. (b) The information is also on the Council’s website. 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 Chief Executive thinks fit, copies of any other documents supplied to Councillors in connection with an item, to any person on payment of a charge for postage and any other costs. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 128 8 Access to Agendas, Reports and Minutes After the Meeting The Council will make available for public inspection copies of the following for six years after a meeting:(a) the minutes of the meeting, together with reasons for the decisions taken, for all meetings of the Council, public meetings of The Cabinet and Committees/SubCommittees, excluding any part of the minutes which disclose exempt or confidential information; (b) the agenda for the meeting, and (c) reports relating to items when the meeting was open to the public. 9 Background Papers 9.1 List of Background Papers The officer compiling any report will set out a list of those documents (called “background papers”) relating to the subject matter of the report which in his 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. This does not include published works or those which disclose exempt or confidential information and, in respect of Cabinet reports, the advice of a political advisor. This Council does not employ political advisors. 9.2 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. Arrangements for inspection should be made through the Committee Management Unit in the Directorate of Corporate Resources. 10 Summary of Public’s Rights These procedure rules are deemed to satisfy the Council’s obligations to keep a written summary of the public’s rights to attend meetings and inspect and copy documents. 11 Exclusion of Access by the Public to Meetings 11.1 Confidential Information - Requirement to Exclude Public The public must be excluded from meetings whenever it is likely in view of the nature of the proceedings that confidential information would be disclosed. 11.2 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. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 129 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. 11.3 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 any enactment or Court Order. 11.4 Meaning of Exempt Information Exempt information means information falling into the following seven categories:1 Information relating to any individual. 2 Information which is likely to reveal the identity of an individual. 3 Information relating to the financial or business affairs of any particular person (including the authority holding that information). 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:- 7 (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. Information relating to any action taken or to be taken in connection with the prevention, investigation or prosecution of crime. QUALIFICATIONS: ENGLAND Information falling within paragraph 3 above is not exempt information by virtue of that paragraph if it is required to be registered under:(a) the Companies Acts (as defined in Section 2 of the Companies Act 2006); (b) the Friendly Societies Act 1974; (c) the Friendly Societies Act 1992; (d) the Industrial and Provident Societies Acts 1965 to 1978; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 130 (e) the Building Societies Act 1986, or (f) the Charities Act 1993 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 qualifications outlined above. It is also necessary to carry out a public interest test whereby information is exempt if and so long, as in all circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information. 12 Exclusion of Access by the Public to Reports If the proper officer thinks fit, the Council may exclude access by the public to reports which in his or her opinion relate to items during which the meeting is likely not to be open to the public. Such reports will be marked “Not for publication” together with the category of information likely to be disclosed. 13 14 Cabinet Rules - Meetings to be held in private (a) A ‘private meeting’ of The Cabinet is a meeting or part of a meeting of The Cabinet during which the public are excluded in accordance with Procedure Rule 11 above. (b) The Council is required to provide at least 28 days’ notice on its website of its intention to hold a meeting of The Cabinet in private and a statement of the reasons for that decision. The Council is required to publish a further notice five days prior to the meeting along with the reasons for that decision, details of any representations received by the Council about why the meeting should be open to the public and a statement of its response to any such representations. Procedure Before Taking Key Decisions Subject to Rule 16 (General Exception) and Rule 17 (Special Urgency), a key decision may not be taken unless:- 15 (a) a notice (called here a “Forward Plan”) has been published in connection with the matter in question; (b) at least five clear days have elapsed since the publication of the Forward Plan, and (c) where the decision is to be taken at a meeting of The Cabinet or its Committees, notice of the meeting has been given in accordance with Rule 5 (Notice of Meetings). The Forward Plan Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 131 15.1 Period of Forward Plan Forward Plans will be prepared 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. 15.2 Contents of Forward Plan The Forward Plan will contain matters which are likely to be subject of a key decision to be taken by The Cabinet, a Committee of The Cabinet, 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 insofar as the information is available or might reasonably be obtained:(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 Cabinet 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 proper officer will publish once a year a notice in at least one newspaper circulating in the area, stating: that key decisions are to be taken on behalf of the Council; that a Forward Plan containing particulars of the matter on which decisions are to be taken will be prepared on a monthly basis; that the plan will contain details of the key decisions to be made for the four month period following its publication; that each plan will be available for inspection at reasonable hours free of charge at the Council’s offices; that each plan will contain a list of the documents submitted to the decision takers for consideration in relation to the key decisions of the plan; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 132 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; that other documents may be submitted to decision takers; the procedure for requesting details of documents (if any) as they become available, and the date 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. The Forward Plan is available for inspection as follows:- 16 as part of the supporting papers for The Cabinet Agenda on public deposit on the Council’s website General Exception If a matter is likely to be a key decision but has not been included in the Forward Plan, then, subject to Rule 17 (Special Urgency), the decision may still be taken if:- 17 (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; (b) the proper officer has informed the Chairman of a relevant Overview and Scrutiny Sub-Committee, or if there is no such person, each Member of that Committee in writing, by notice, of the matter on which the decision is to be made. The notice will be in the form of the inclusion of a specific section in The Cabinet Agenda which is circulated to all Councillors, and (c) the proper officer has made copies of that notice available to the public at the offices of the Council. Special Urgency If by virtue of the date by which a decision must be taken Rule 16 (General Exception) cannot be followed, then the decision can only be taken if the agreement of the Chairman of a relevant Overview and Scrutiny Sub-Committee is obtained that the taking of the decision cannot be reasonably deferred. If there is no Chairman of a relevant Overview and Scrutiny Sub-Committee, or if the Chairmen of each relevant Overview and Scrutiny Sub-Committee are unable to act, then the agreement of the Chairman of the Council, or in his/her absence, the Vice-Chairman will suffice. 18 Report to Council 18.1 When an Overview and Scrutiny Sub-Committee can Require a Report If an Overview and Scrutiny Sub-Committee thinks that a key decision has been taken which was not:- Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 133 (a) included in the Forward Plan; or (b) the subject of a general exception procedure; or (c) the subject of an agreement with the relevant Overview and Scrutiny Sub-Committee Chairman, or the Chairmen/Vice-Chairman under Rule 17 the Sub-Committee may require The Cabinet to report to the Council within such reasonable time as the Sub-Committee specifies. The power to require a report rests with the SubCommittee, but is also delegated to the proper officer, who shall require such a report on behalf of the Sub-Committee when so requested (by the Chairman or any five Members). Alternatively, the requirement may be raised by resolution passed at a meeting of the relevant Overview and Scrutiny Sub-Committee. 18.2 Cabinet’s Report to Council The Cabinet will prepare a report for submission to the next available meeting of the Council. However, if the next meeting of the Council is within seven 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 body making the decision and, if The Cabinet is of the opinion that it was not a key decision, the reasons for that opinion. 18.3 Quarterly Reports on Special Urgency Decisions In any event a quarterly report shall be submitted to the Council on The Cabinet decisions taken in the circumstances set out in Rule 17 (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. 19 Record of Decisions After any meeting of The Cabinet or any of its Committees, the Chief Executive will produce a record of every decision taken at that meeting by 5.00 p.m. on the day immediately following the meeting. That record will be circulated to all Councillors and be placed on public deposit. The record will include a statement of the reasons for each decision and any alternative options considered and rejected at that meeting. 20 Cabinet Meetings Relating to Matters which are Not Key Decisions The Cabinet will decide whether meetings relating to matters which are not key decisions will be held in public or private but the presumption will be that they will be in public. 21 Overview Management Committee and Sub-Committee Access to Documents 21.1 Rights to Copies Subject to Rule 21.2 below, the Overview Management Committee (including its SubCommittees and Working Parties) will be entitled to copies of any document which is in the possession or control of The Cabinet or its Committees and which contains material relating to any business transacted at a public or private meeting of The Cabinet. 21.2 Limit on Rights Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 134 The Overview Management Committee or its Sub-Committees 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. 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 Cabinet or its Committees and contains material relating to any business previously transacted at a private meeting unless it contains exempt information falling within paragraphs 1, 2, 3, 5 and 7 of the categories of exempt information. 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 Cabinet or its Committees which relates to any key decision unless rule 22.1 above applies. 22.3 Nature of Rights These rights of a Member are additional to any other right he/she may have. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 135 BUDGET AND POLICY FRAMEWORK PROCEDURE RULES 1 The Framework for Executive Decisions The Council will be responsible for the adoption of its budget and policy framework as set out in Article 4. Once a budget or a policy framework is in place, it will be the responsibility of The Cabinet to implement it. 2 3 The process by which the budget and policy framework shall be developed is:(a) The Cabinet will publicise by including in the Forward Plan, by publishing at the Council’s offices and by other methods - (eg on its website and in the local press), a timetable for making proposals to the Council for the adoption of any plan, strategy or budget that forms part of the budget and policy framework, and its arrangements for consultation after publication of those initial proposals. The Chairmen of the Overview Management Committee and its Sub-Committees will also be notified. (b) Budget consultees will include Parish Councils, Local Strategic Partnership, School Forum, Business Ratepayers, Council Taxpayers, Trade Unions, Housing Tenants, Voluntary Organisations, Political Groups, the Overview Management Committee and it Sub-Committees and such other organisations and persons as are deemed appropriate. (c) At the end of the consultation period, The Cabinet will then draw up firm proposals having regard to the responses to that consultation. If the Overview Management Committee or a relevant Overview and Scrutiny Sub-Committee wishes to respond to The Cabinet in that consultation process, then it may do so. As the Overview Management Committee and its Sub-Committees have responsibility for fixing their own work programme, it is open to the Overview Management Committee or its Sub-Committees to investigate, research or report in detail with policy recommendations before the end of the consultation period. The Cabinet will take any response from the Overview Management Committee or its Sub-Committees into account in drawing up firm proposals for submission to the Council, and its report to the Council will reflect the comments made by consultees and The Cabinet’s response. The role of the Overview and Scrutiny function in the policy development process does not include the ability to establish Review Panels to independently develop new Policy proposals unless requested to do so by The Cabinet. (d) Once The Cabinet has approved the firm proposals, the proper officer will refer them to the Council for decision. (e) If the Council decides to reject or amend The Cabinet’s proposals The Cabinet will be able if it wishes to delay the implementation of the decision and request the Council to reconsider the matter in accordance with the provisions of the conflict resolution procedure outlined in paragraph 29 of the Council Procedure Rules. Decisions Outside the Budget and Policy Framework (a) The Cabinet, Committees of The Cabinet and any officers or joint arrangements discharging Executive functions may only take decisions which are in line with the budget and policy framework. If any of these bodies or persons wishes to make a decision which is contrary to the policy framework, or contrary to or not wholly in accordance with the budget approved by the Council, then that decision may only be taken by the Council, subject to 4 below. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 136 (b) 4 If The Cabinet, Committees of The Cabinet and any officers or joint arrangements discharging Executive functions want to make such a decision, they shall take advice from the Monitoring Officer and/or the Chief Finance Officer as to whether the decision they want to make would be contrary to the policy framework, or contrary to or not wholly in accordance with the budget. If the advice of either of those officers is that the decision would not be in line with the existing budget and/or policy framework, then the decision must act as a recommendation to the Council, 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. Urgent Decisions Outside the Budget and Policy Framework (a) The Cabinet, Committees of 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 the Council if the decision is a matter of urgency. However, the decision may only be taken:(i) if it is not practical to convene a quorate meeting of the Council, and (ii) if the Chairman of the relevant Overview and Scrutiny Sub-Committee agrees that the decision is a matter of urgency. The reasons why it is not practical to convene a quorate meeting of the Council and the agreement of the Chairman of the relevant Sub-Committee to the decision being taken as a matter of urgency must be noted on the record of the decision. In the absence of the Chairman of the relevant Sub-Committee the consent of the Chairman of the Council or, in his/her absence, the Vice-Chairman will be sufficient. (b) 5 Following the decision, the decision taker will provide a full report to a subsequent Council meeting explaining the decision, the reasons for it and why the decision was treated as a matter of urgency. Virement Arrangements for budget virement will be in accordance with the provisions of the Financial Regulations as set out in the financial/contract procedure rules. 6 In-Year Change to Policy Framework or Budget Any decisions which involve an in-year change to the policy framework or budget must act as a recommendation to the Full Council. 7 Call-in of Decisions Outside the Budget or Policy Framework (a) Where the Overview Management Committee or one of its Sub-Committees is of the opinion that a Cabinet decision is contrary to the policy framework, or contrary to or not wholly in accordance with the Council’s budget and that it should therefore act as a recommendation to Full Council, then it shall seek advice from the Chief Executive, Monitoring Officer and Chief Finance Officer. (b) In respect of its functions which are the responsibility of The Cabinet the Chief Executive/Monitoring Officer/Chief Finance Officer will either:- Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 137 (c) (i) Prepare a report for The Cabinet if their decision is that the decision was contrary to the budget and policy framework. In these circumstances The Cabinet must meet to decide what action to take and prepare a report for the Full Council, or (ii) if their decision is that the decision was not contrary to the budget and policy framework they shall report to the Overview Management Committee or its relevant Sub-Committee. If the decision referred to in (b) above has yet to be made and the advice of the Chief Executive, Monitoring Officer and Chief Finance Officer is that it would be contrary to the budget and policy framework that decision will act as a recommendation to the Full Council. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 138 CABINET PROCEDURE RULES 1 How can The Cabinet Operate Arrangements for the discharge of Cabinet functions may provide for Executive functions to be discharged by one or more of the following:(i) The Cabinet as a whole. (ii) a Committee of The Cabinet; (iii) an individual Member of The Cabinet; (iv) an officer; (v) an area Committee; (vi) joint arrangements, or (vii) another local authority. 2 How does this Council’s Cabinet Operate 2.1 All Executive decisions are made by The Cabinet as a whole at public meetings or where a decision falls within the scheme of officer delegation outlined in Part 3 of this Constitution by an officer. 2.2 At the Annual Meeting of the Council, a report will be presented setting out details of:- 3 (i) The Members of The Cabinet appointed by the Leader; (ii) any proposals to delegate authority to individual Cabinet Members; (iii) any Cabinet Committees established including their terms of reference and membership; (iv) any proposals to delegate authority to area Committees, any other authority or joint Committees including the names of any Cabinet Members appointed to any joint Committee for the coming year, and (v) the scheme of officer delegation. The Scheme of Delegation The Council’s Scheme of Delegation will be subject to adoption at the Annual Meeting 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. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 139 4 Conflict of Interest (a) Where members of The Cabinet have 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. (b) If the exercise of an Executive function has been delegated to a Committee of The Cabinet or an officer, and should a conflict of interest arise, then the function will be exercised in the first instance by the person or body by whom the delegation was made and otherwise as set out in the Council’s Code of Conduct for Members in Part 5 of this Constitution. 5 Cabinet Meetings 5.1 When and Where Arrangements for Cabinet meetings will be made annually by The Cabinet. The Cabinet will usually meet 16 times a year at County Hall, Cross Street, Beverley. 5.2 Public or Private Meetings All decision making meetings are in public and the Access to Information rules in Part 4 of this Constitution apply. 5.3 Quorum The quorum for a meeting of The Cabinet is 3. 5.4 How are Decisions taken by The Cabinet (a) Decisions will be taken by The Cabinet as a whole at meetings convened in accordance with the Access to Information Procedure Rules in Part 4 of this Constitution. (b) Where Cabinet decisions may be delegated to a Committee of The Cabinet, the rules applying to decisions taken by them shall be the same as those applying to those taken by The Cabinet as a whole. 6 How are Cabinet Meetings Conducted 6.1 Who Presides? The Leader of the Council will preside at any meetings of The Cabinet or its Committees at which he is present. In the absence of the Leader the Deputy Leader will preside. 6.2 Who May Attend? These details are set out in the Access to Information Rules in Part 4 of this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 140 6.3 What Business? At each meeting of The Cabinet the following business will be conducted:- 6.4 7 (i) declarations of interest, if any; (ii) consideration of the Minutes of the last meeting; (iii) consideration of minutes and reports from the Overview Management Committee and it Sub-Committees; (iv) matters referred to The Cabinet (whether by the Overview Management Committee or its Sub-Committees or by the Council) for reconsideration 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; (v) matters set out in the Agenda for the meeting which shall indicate which are key decisions contained within the Forward Plan, which are key decisions not in the Forward Plan and which are not key decisions. Voting (a) Subject to (b) below, voting at Cabinet meetings will be by show of hands. (b) The provisions of Council Procedure Rule 20.6 will apply to appointments to outside posts made by The Cabinet. (c) One quarter (rounded up to the nearest whole number) of the Members of The Cabinet can require a recorded vote which means that the way each Member voted or abstained will be recorded in the minutes. Any such request must be made before a vote is taken. The name of any Member entering the room after a vote has commenced shall not be recorded. (d) After a vote is taken, an individual Member may request his or her vote to be recorded in the minutes. 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 the Overview Management Committee and its relevant Sub-Committees, 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. 8 Who Can Put an Item on The Cabinet Agenda? (a) Subject to (b) below, the following can include any item on the Agenda:(i) The Leader (ii) Any other Member of The Cabinet (iii) The Overview Management Committee or its Sub-Committees or the Full Council by resolution of the Committee or Council Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 141 (iv) The Chief Executive, Corporate Management Team or any Director where a decision is required outside their delegations. (v) The Head of Paid Service/Monitoring Officer/Chief Finance Officer in pursuance of their statutory duties. In the case of (i) and (ii) above the Agenda for any meeting will include the name of the Councillor who asked for any item to be considered. (b) 9 The Chief Executive may refuse to include an item on the Agenda which he considers is:(i) outside The Cabinet’s Terms of Reference; (ii) defamatory or offensive; (iii) frivolous or vexatious. Council Procedure Rules Council Procedure Rules 2 (i), (ii), (iii), (vi) and (vii) (Order of Business); 10 (Minutes), 16.1, 16.3, 16.8, 16.9, 16.10, 16.11, 16.12, 16.13, 16.14, 16.15 (Rules of Debate); 17 (Point of Order); 18 (Personal Explanations); 19 (Councillors’ Conduct), 21 (Filming, Photographing and Recording), 22 (Attendance) shall apply to meetings of The Cabinet. 10 Decisions of The Cabinet Decisions of The Cabinet shall be recorded by way of minutes which shall be deposited in Group Offices, despatched to all Members of the Council (electronically where possible) and made available for public inspection at the Council’s headquarters by no later than 5.00 p.m. on the day following each meeting. They will also be available at the public deposit points listed in the access to information procedure rules as soon as possible. The minutes shall clearly indicate matters in respect of which it has made a decision in exercise of its delegated powers and those matters in which it is making a recommendation to the Council. 11 Call-in Decisions and Recommendations of The Cabinet may be called-in by an Overview and Scrutiny Sub-Committee as detailed in the procedure rules for Overview and Scrutiny SubCommittees. 12 Presentations Subject to 8(b) above The Cabinet may receive presentations on items of local interest. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 142 OVERVIEW AND SCRUTINY PROCEDURE RULES 1 What will be the Number and Arrangements for the Overview and Scrutiny Committees and Sub-Committees? The Council will have the Overview and Scrutiny Committee and Sub-Committees as set out in Article 6 and will appoint them at the Annual Meeting. The Overview Management Committee may appoint Sub-Committees and Review Panels. 2 Membership of the Overview Management Committee and its Sub-Committees All Councillors (except those in The Cabinet or those who sit on a Cabinet Committee or Working Group) may be Members of the Overview Management Committee or its SubCommittees. No Member may be involved in scrutinising a decision which he/she has been directly involved. Seats on the Overview Management Committee and it Sub-Committees will be allocated in proportion to the number of seats held by each Group on the Council as a whole. 3 Co-Optees The Overview Management Committee or its Sub-Committees shall be entitled to recommend to the Council the appointment of people as non-voting co-optees. Co-options may only be made if the person co-opted has particular knowledge or expertise which would be of use to the Committee or Sub-Committee. In addition permanent co-optees will sit on the following Overview and Scrutiny SubCommittees:Children and Young People Education - 2 parent governors 2 Church representatives ) with full ) voting rights 2 Teachers’ Union representatives 1 Youth person representative ) no voting rights Safer and Stronger Communities Housing - 3 tenant representatives who must be members of the East Riding Tenants Forum ) ) no voting rights ) With the exception of the Young Person representative, such co-optees will only exercise that role in relation to any Education and Housing matters before the relevant SubCommittee and shall take no part in any other business. Named substitutes shall be permitted in respect of the three housing tenant representatives subject to the rules contained within the Council’s substitute scheme. 4 Meetings of the Overview Management Committee and its Sub-Committees There shall usually be eight ordinary meetings of the Overview Management Committee and seven for its Sub-Committees in each year. In addition, extraordinary meetings may be called from time to time, as and when appropriate. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 143 5 Quorum The quorum for the Overview Management Committee or its Sub-Committees shall be one quarter of the number of Members rounded up to the nearest whole number. 6 Who Chairs the Overview Management Committee and its Sub-Committees? A Chairman and Vice-Chairman shall be appointed for the Overview Management Committee and each Sub-Committee. The Chairmanships and Vice-Chairmanships will be allocated mainly from the Conservative Group with the exception of the Overview Management Committee. 7 8 9 Workloads (a) Overview and Scrutiny Sub-Committees in conjunction with the Overview Management Committee will be responsible for setting their own work programmes which shall be tightly focussed on a small number of major issues. (b) Overview and Scrutiny Sub-Committees and the Overview Management Committee shall respond as soon as their work programme permits to requests from the Council or The Cabinet to review particular areas of Council activity. Where they do so the Committee shall report back to the Council or Cabinet as appropriate. Agenda Items (a) Any Member of the Overview Management Committee or its Sub-Committees may request an item relevant to the functions of the Committee or Sub-Committee as the case may be is included on the Agenda. (b) Any Member of the Council may request an item relevant to the functions of the Overview Management Committee or its Sub-Committees and which is not an excluded matter is included on the Agenda. (c) ‘Excluded matter’ means any matter which is a local crime and disorder matter within the definition in s19 Police and Justice Act 2006; any matter relating to a planning decision, any matter relating to a licensing decision, any matter relating to a person in respect of which that person has a right of review or appeal and any matter which is vexatious, discriminatory or not reasonable to be discussed at a meeting of the Overview Management Committee or Sub Committee. (d) When a request is made under (b) above the Overview Management Committee may have regard to any representation made by the Member as to why the Committee or Sub-Committee should exercise any of its functions. If it decides not to exercise any of its functions in relation to the matter it shall notify the Member of its decision and the reasons for it. If it decides to exercise any of its functions it shall, subject to the Access to Information Procedure Rules, provide a copy of any report submitted to it or any recommendation made by it in relation to the matter to the Member. Policy Review and Development (a) The role of the Overview Management Committee and its Sub-Committees 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. That role does not Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 144 include the independent establishment of Review Panels to develop new Policy proposals unless requested to do so by The Cabinet. 10 (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 Management Committee and its Sub-Committees may make proposals to The Cabinet for developments insofar as they relate to matters within their terms of reference. (c) The Overview Management Committee and its Sub-Committees and Review Panels may hold hearings 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 any advisers, assessors and witnesses a reasonable fee and expenses for doing so. (d) The Overview Management Committee and its Sub-Committees shall have the ability to make reports or recommendations on all functions which are not the responsibility of The Cabinet and this will normally be exercised as part of a policy review. Scrutiny Reviews Individual scrutiny reviews will be undertaken by time limited review panels which will meet in private. Such panels will be convened by the Overview Management Committee. Review Panels will be chaired by one of the Review Panel Chairmen appointed at the Annual Meeting of the Council. Membership of Review Panels will be four Conservative, one Labour and one Independent Member subject to a proviso that panels can co-opt any other Members or other persons as they consider appropriate in a non-voting capacity. Actual membership will be determined in consultation with the Group Secretaries. Members of Review Panels should not be bound in consideration of the matter being considered by the Panel by the views of their political group and they should act independently with an open mind and not participate in campaigns. If a Member wishes to campaign on a particular issue, they should not sit on a Review Panel, which is considering that issue. 11 Reports from the Overview Management Committee, its Sub-Committees and Review Panels Recommendations on proposals for development from the Overview Management Committee, its Sub-Committees or Review Panels will be submitted by formal report for consideration by The Cabinet. The report will be drafted by officers and agreed with the relevant Chairman. If the proposals involve a change in policy, The Cabinet will consider the matter and make a recommendation to the Council. If The Cabinet recommendation is contrary to the views of the Overview Management Committee or one of its SubCommittees, a full report will be submitted to the Council setting out both views. In the case of a report from a Review Panel this will be submitted to the Overview Management Committee for comment prior to its submission to The Cabinet. The Cabinet shall consider the report of the Overview Management Committee, its SubCommittees or Review Panel within one month of it being submitted to the proper officer. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 145 12 Rights of the Overview Management Committee and its Sub-Committee Members to Documents In addition to their rights as Councillors, Members of the Overview Management Committee and its Sub-Committees 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. 13 Members and Officers Giving Account (a) It shall be for each Director to determine which officers attend to provide advice at the Overview Management Committee and its Sub-Committees subject to each Committee being able to supplement this as thought necessary through (b), (c) and (d) below. (b) The Overview Management Committee and its Sub-Committees may scrutinise and review any matters in connection with the discharge of any Council functions. As well as reviewing documentation, in fulfilling the scrutiny role, it may require any Member of The Cabinet or any senior officer to attend before it to explain in relation to matters within their remit:(i) any decision or recommendation of The Cabinet. This does not include individual decisions of Non-Executive Committees which shall be dealt with through reviews of policies or individual operational decisions made by officers; (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. 14 (c) Where any Member or officer is required to attend the Overview Management Committee or one of its Sub-Committees under this provision, at least five working days notice of the meeting at which he/she is required to attend shall be given. The notice will 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 or Sub-Committee. Where the account to be given to the Committee or SubCommittee 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. (d) Where, in exceptional circumstances, the Member or officer is unable to attend on the required date, then the Overview Management Committee or Sub-Committee shall, in consultation with the Member or officer, arrange an alternative date for attendance. Attendance by Others The Overview Management Committee or one of its Sub-Committees may invite people other than those people referred to in paragraph 13 above to address it, discuss issues of local concern and/or answer questions. It may, for example wish to hear from residents, stakeholders and Councillors and officers in other parts of the public sector and shall invite such people to attend. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 146 15 Call-in (a) Decisions (i) (b) Following the deposit of The Cabinet’s minutes in the Group Offices, Resolved decisions of that meeting shall be subject to call-in by other Councillors on the following basis: Written Notice of call-in must be given by Councillors duly authorised by any two political groups. The Notice of call-in must be signed by the Councillors submitting it and be received by the Director of Corporate Resources by no later than 4.00 p.m. on the Friday immediately following The Cabinet’s meeting. Any decision can only be called in once. (ii) Decisions shall take effect immediately on expiry of the deadline for call-in. (iii) The ability to call-in a decision shall not be available in respect of a decision that is required to be implemented as a matter of urgency to meet a statutory, legal or financial deadline. Such decisions shall be identified by the inclusion of a reason for urgency, which shall be agreed with the Chairman of the appropriate Overview and Scrutiny Sub-Committee, in the appropriate report and the minute and shall take effect immediately. (iv) The submission of a call-in Notice shall have the effect of suspending the implementation of the decision pending the submission of a report on the matter under consideration to the next meeting of the appropriate Overview and Scrutiny Sub-Committee. On considering the report, the Sub-Committee will decide whether or not to ask The Cabinet to reconsider its decision or refer the matter to Council for scrutiny. (v) Any representations from Sub-Committee or Council shall be submitted to the first available meeting of The Cabinet. Following consideration of the representations, The Cabinet will make a decision to either confirm or amend its original decision. Any decision can only be reconsidered once. Recommendations Following the deposit of The Cabinet’s minutes in group offices, any recommendations it may be making to the Full Council may be called in by other Councillors. The following protocol will apply in these circumstances:(i) Any request must be in writing and signed by the Chairman of the relevant Overview and Scrutiny Sub-Committee and any two Members duly authorised by their political groups and must be supported by reasons. The request must be received by no later than 4.00 pm on the Friday immediately following the Cabinet’s meeting. (ii) The Monitoring Officer is authorised in consultation with the relevant portfolio holder and the Chairman of the Overview Management Committee to determine whether sufficient justification has been given to submit the Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 147 request to The Cabinet for consideration. If insufficient justification is given the request will be rejected at this stage. (c) (iii) If the request is submitted to and approved by The Cabinet, the relevant Overview and Scrutiny Sub-Committee will be required to look at the matter as a matter of urgency in accordance with a timescale to be fixed by The Cabinet. (iv) Following the Overview and Scrutiny Sub-Committee’s deliberation, its comments will be submitted to a further meeting of The Cabinet and the Chairman of the relevant Sub-Committee will be required to attend to explain those comments. (v) The effect of calling-in a recommendation will be to suspend the submission of that recommendation to the Council meeting pending its consideration by the relevant Overview and Scrutiny Sub-Committee. On considering the matter the Sub-Committee will decide whether or not to ask The Cabinet to reconsider or amend its recommendation. (vi) Any representations from an Overview and Scrutiny Sub-Committee shall be submitted to the first available meeting of The Cabinet. Following consideration of any representations The Cabinet will decide whether or not to confirm or amend its original recommendation which shall then be submitted to the Council for consideration. Any recommendation can only be reconsidered once. Meetings Special meetings of the Committee or Council will be convened if necessary. Decisions will only be referred to Full Council for scrutiny if they are contrary to the Council’s policy framework or not in accordance with the budget. Reports to Council will take the form outlined in Overview and Scrutiny Committee and SubCommittees Procedure Rule 11. (d) In addition to the ability to call-in a resolved decision of The Cabinet, the following amendment may be moved on any resolved item at the Council meeting by giving prior notice in accordance with the Council Procedure Rules: That it be received with regret. This shall not have the effect of delaying the implementation of any decision. (e) 16 Individual decisions or recommendations of Non-Executive Committees are not subject to the call-in procedure. The Party Whip All political groups are requested not to apply a party whip to matters considered by the Overview Management Committee and its Sub-Committees. Should any Councillor be subject to a party whip, the existence of the whip must be declared before the commencement of debate and be recorded in the minutes. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 148 17 Procedure at Ordinary Meetings of the Overview Management Committee and its Sub-Committees (a) (b) 18 The Overview Management Committee and its Sub-Committees shall consider the following business:(i) declarations of interest (including whipping declarations); (ii) Minutes of the last meeting; (iii) consideration of any matter referred to the Sub-Committee for a decision in relation to call-in of a decision; (iv) responses of The Cabinet to reports of the Overview Management Committee or its Sub-Committees, and (v) the business otherwise set out on the agenda for the meeting. Where a Scrutiny Review Panel conducts a review they may also ask people to attend to give evidence at 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/Sub-Committee/Review Panel be given the opportunity to ask questions of attendees, and to contribute and speak; (ii) that those assisting the Committee/Sub-Committee/Review 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 review, a Review Panel shall prepare a report for submission to the Overview Management Committee for comment prior to its submission to The Cabinet and/or Council as appropriate and shall make its report and findings public. Such a report shall be drafted by officers and agreed by the Chairman. (d) Council Procedure Rules 2 (i), (ii), (iii), (iv) and (vi) (Order of Business); 10 (Minutes) 16.1, 16.3, 16.8, 16.9, 16.10, 16.11, 16.12, 16.13, 16.14, 16.15 (Rules of Debate); 17 (Point of Order); 18 (Personal Explanations); 19 (Councillors’ Conduct), 21 (Filming, Photographing and Recording), 22 (Attendance) shall apply to meetings of the Overview Management Committee and its Sub-Committees. Voting (a) Subject to (b) below voting at the Overview Management Committee and its SubCommittees shall be by show of hands. (b) One quarter of the members of a Committee/Sub-Committee can require a recorded vote which means that the way each Councillor voted or abstained will be recorded in the minutes. Any such request must be made before a vote is taken. The name of any Councillor entering the room after a vote has commenced will not be recorded. (c) After a vote is taken an individual Councillor may request his/her vote to be recorded in the minutes. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 149 19 Substitutes Substitutes can attend meetings for other Councillors in accordance with the Council’s Substitute Scheme (Annex A to these rules). 20 Matters Within the Remit of More than One Overview and Scrutiny Sub-Committee When an Overview and Scrutiny Sub-Committee considers a matter which also falls within the remit of another Overview and Scrutiny Sub-Committee, before submitting its recommendations to The Cabinet and/or Council for consideration, the report of that Overview and Scrutiny Sub-Committee shall be considered by the other Overview and Scrutiny Sub-Committee for comment. Those comments shall be incorporated into the report which is then sent to that body for consideration. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 150 NON-EXECUTIVE AND REGULATORY COMMITTEE PROCEDURE RULES 1 Role The role of Non-Executive Committees is outlined in Article 8 of this Constitution. 2 Meetings Meetings of the Planning Committee, Area Planning Sub-Committees, Licensing Committees, Audit Committee and Pensions Committee shall be held in accordance with a timetable approved annually by the Council with other Committees meeting as and when necessary. 3 Quorum The quorum for meetings will be one quarter of the whole number of Members rounded up to the nearest whole number. The quorum for meetings of the Standards Committee will be three voting Members. 4 Who Chairs Meetings? Chairmen and Vice-Chairmen will be appointed mainly from the Conservative Group, with the exception of the Standards Committee the Chairmanship of which will rotate on a ratio of 4.1.1.1.1. A joint chairman will be appointed from each of the political groups. 5 Substitution With the exception of the Standards Committee substitutes can attend meetings for other Members in accordance with the provisions of the Council’s Substitute Scheme (Annex A to these rules). 6 Who Else May Attend? The details are set out in the Access to Information in Part 4 of this Constitution. 7 Procedure at Non-Executive and Regulatory Committees (a) Council Procedure Rules 2 (i), (ii), (iii), (iv), (vi) and (vii) (Order of Business); 10 (Minutes) 16.1, 16.3, 16.8, 16.9, 16.10, 16.11, 16.12, 16.13, 16.14, 16.15 (Rules of Debate); 17 (Point of Order); 18 (Personal Explanations); 19 (Councillors’ Conduct), 21 (Filming, Photographing and Recording), 22 (Attendance) shall apply to meetings of Non-Executive Committees. (b) Regulatory Committees conducting appeal and licensing hearings have individual procedures as follows:Appeals Committee Appeals Relating To Education Transport and Student Award Appeals Clerk to the Committee will introduce appellant to members and to the Authority’s Officer. The Authority’s Case - Presentation of the Authority’s policy on financial support for students/home to school transport. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 151 Questions on the Authority’s Case - Appellant may ask questions on anything raised by the Authority. Case for the Appellant - Submission of Appellant’s case including any evidence. Questions on the Appellant’s Case - Authority’s Officer may raise questions on the case presented by the Appellant. Summary by the Authority. Summary by the Appellant. Consideration by the Committee - All parties other than the Clerk to withdraw. Confirmation in writing of the Committee’s decision. NOTE The Committee may ask questions at any time if they require clarification of what is being said or if they need more information in order to reach their decision. Appeals Relating to Housing Allocation and Tenants’ Improvements The Director of Environment and Neighbourhood Services (or his/her representative) to make oral submissions in support of his/her statement setting out the reasons for his decision. The appellant (or his/her representative) may question Director of Environment and Neighbourhood Services (or his/her representative) on statements made. NB The appellant must not make his submission at this stage, this is for questions only. The Members of the Committee and, if appropriate, the legal adviser to the Committee to ask questions of the Director of Environment and Neighbourhood Services (or his/her representative) and/or witnesses. The appellant (or his/her representative) to make oral submissions in support of written representations which have been submitted. (Witnesses may be called to give evidence.) The Director of Environment and Neighbourhood Services (or his/her representative) to ask questions of the appellant (or his/her representative) and/or witnesses. The Members of the Committee and, if appropriate, the legal adviser to the Committee to ask questions of the appellant (or his/her representative) and/or witnesses. The Members of the Committee and the legal adviser to the Committee to ask additional questions of either or both parties if appropriate. Both parties to have opportunity to comment if new evidence arises. The Director of Environment and Neighbourhood Services (or his/her representative) to make a closing submission. The appellant (or his/her representative) to make a closing submission. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 152 The Chairman will advise the appellant and the Director of Environment and Neighbourhood Services (or their representative) either to wait for a decision or to leave and wait for the decision in writing. The Committee to deliberate in private with only the clerk and the legal adviser remaining. If appropriate, the Committee may recall the appellant and the Director of Environment and Neighbourhood Services (or their representative) in order to clarify any evidence heard. The decision will be recorded in writing and shall include a statement of reasons. Copies of the decision will be sent to the appellant and to the Director of Environment and Neighbourhood Services within seven days or as soon as possible afterwards. If the original determination is altered the Director of Environment and Neighbourhood Services will implement the Committee’s decision with effect from the date of the determination which has been challenged. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 153 Licensing Act 2003 Sub-Committee Procedures Licensing Act 2003/Gambling Act 2005/Local Government (Miscellaneous Provisions) Act 1982 Schedule 3 - as amended by section 27 of the Policing and Crime Act 2009 General Information 1 Licensing Act 2003 Sub-Committees are made up of three elected members drawn from the Licensing Act 2003 Committee. 2 Members of the Sub-Committee will not hear any application from their own Ward (or the main urban area including that Ward eg Bridlington) or where they know the applicant. 3 In the interests of timely, efficient and cost-effective decision making the Licensing Authority request that all parties make full disclosure in advance of all information they intend to present at the hearing. Failure to do so may result in its admissibility being challenged and the information not being admitted. 4 Where evidence is heard a maximum time limit will be allowed for each stage of the hearing. All parties will be allowed the same amount of time. Please see paragraph 8 below for the maximum time to be allowed unless representations are made and the Licensing SubCommittee decide that additional time is necessary. 5 The hearing will be held in public unless the Sub-Committee feel that the public interest in excluding the public outweighs the public interest in having a public hearing. In addition, when considering matters under the Gambling Act 2005, the public may be excluded if necessary to avoid unfairness and the need to protect the commercial or other legitimate interests of a party. 6 An audio recording of the proceedings will be kept for a period of six years from the date of determination of the proceedings. 7 Parties have a right to appeal to the Magistrates Court within 21 days of notification of the decision. Time Limits 8 The maximum time applicable at the hearing is as set out below: (i) (ii) (iii) (iv) (v) opening statements* (3 minutes) evidence from any witness in support for their application, representations or notice (2 minutes each) video/photographic evidence (5 minutes) cross examination of any other party or witness (3 minutes), and summing up (2 minutes) *Opening statements will be a brief summary of all information the individual wishes to present but must be relevant to the Licensing Objectives and the application, representations or notice. There will normally have been full disclosure of information prior to the hearing. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 154 Procedure at Hearings 9 The procedures for the hearing of evidence are as attached. 10 The calling of witnesses, cross-examination of parties/witnesses and the admission of additional documentation will be dealt with by the Sub-Committee at the beginning of each hearing. At hearings concerning matters under the Gambling Act 2005 there is an automatic right for parties to call witnesses and to permit cross-examination. 11 In any event, additional documentary or other information may only be taken into account at the hearing with the consent of all other parties. 12 Responsible authorities/interested parties cannot add further representations to those disclosed to the applicant prior to the hearing, but may expand on their existing representation. Use of Video/Photographic Evidence 13 Video evidence will be allowed at Licensing Act 2003 Sub-Committee hearings provided: (i) (ii) (iii) (iv) (v) that the applicant/responsible authority/interested party provide the video in a format that can be shown at the Licensing Act 2003 Sub-Committee hearing, that the applicant/responsible authority/interested party supplies sufficient copies for the other parties to the hearing to the Licensing Authority with any other evidence, within the timescales set out under the Act or Regulations, that all parties who have not consented to their image being shown are anonymised by the applicant/responsible authority/interested party wishing to produce the evidence, that the video or recording be no longer than 5 minutes unless the Sub-Committee hearing the matter decides that, in the interests of a fair hearing, a longer period should be allowed, and that where video evidence is submitted late or on the day of the hearing, it will be dealt with as with any other evidence in accordance with the Licensing Act 2003 (Hearing) (Regulations) 2005, or any other regulations as from time to time may govern hearings. 14 Photographic evidence showing individuals whose consent has not been obtained must be anonymised by the applicant/responsible authority/interested party wishing to produce that evidence. 15 Video/photographic evidence will be shown at the opening statement/witness stage of each party’s submission. Failure of Parties to Attend a Hearing 16 Where a party has informed the Licensing Authority that he does not intend to attend, or be represented, the hearing may proceed in their absence. 17 Where a party, who has not indicated their intention, fails to attend or be represented at a hearing the Licensing Act 2003 Sub-Committee may: (i) (ii) where it considers it to be necessary in the public interest, adjourn the hearing to a specified date, or hold the meeting in the party’s absence. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 155 18 Where a party has left the meeting in circumstances where the Sub-Committee reasonably concludes that they do not intend to participate further the hearing may proceed in their absence. 19 Where a party has said that they intend to attend, but do not, the hearing may be adjourned if it is in the public interest to do so, or may proceed in their absence. 20 Where a meeting is held in the absence of a party, the Licensing Act 2003 Sub-Committee will consider any application/representations/notice made by that party but may decide that lesser weight be given to such evidence. 21 Where a hearing is adjourned to a specific date the Licensing Authority will notify the parties of the date, time and place to which the hearing has been adjourned. Disruptive Parties 22 The Sub-Committee may exclude any person from the hearing, or allow them to remain under conditions specified by the Sub-Committee, if their behaviour is deemed to be disruptive. If the party is refused permission to return to the hearing the Sub-Committee will allow the party to submit written representations before the end of the hearing, summarising their intended entitled oral representation. If relevant, this information will be taken into consideration. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 156 Licensing Act 2003 Sub-Committee Licensing Act 2003 Procedure at the Hearing of an Application for a New Premises Licence or a Club Premises Certificate or Provisional Statement or the Variation of an Existing Licence (The proceedings will be recorded and in the event of an appeal to the Magistrates Court a transcript may be produced.) 1 Introductions by the Chairman - To deal with the calling of witnesses, crossexamination of the parties/witnesses, time limits and the admission of additional documentation. If necessary the Sub-Committee will deliberate in private before announcing its decision on these matters. 2 The Licensing Officer - To briefly outline the report and update Members on any matters that have arisen since the report was prepared. 3 Submission by the Applicant (a) (b) 4 Submission by Responsible Authorities (a) (b) 5 Responsible Authorities (or representative) to make a brief opening statement and call any witnesses. Questions by (i) the Applicant, (ii) Interested parties, (iii) Members of the SubCommittee. Submission by Interested Parties (a) (b) 6 The applicant (or representative) to make a brief opening statement and call any witnesses. Questions by (i) Responsible Authorities, (ii) Interested Parties, (iii) Members of the Sub-Committee. Interested Parties (or representative) to make a brief opening statement and call any witnesses. Questions by (i) the Applicant, (ii) Responsible Authorities, (iii) Members of the SubCommittee. Summing up (a) (b) (c) Responsible Authorities Interested Parties Applicant 7 Advice from (a) Licensing Officer, (b) Legal Adviser 8 Private Deliberations by the Sub-Committee in the presence of the Committee Manager 9 Sub-Committee to announce its decision (which will be confirmed in writing) Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 157 Licensing Act 2003 Sub-Committee Licensing Act 2003 Procedure at the Hearing of a Temporary Event Notice or Application for a Personal Licence or Variation of Designated Personal Licence Holder or Transfer of Premises Licence or Application for Interim Authorities (The proceedings will be recorded and in the event of an appeal to the Magistrates Court a transcript may be produced.) 1 Introductions by the Chairman - To deal with the calling of witnesses, crossexamination of the parties/witnesses, time limits and the admission of additional documentation. If necessary the Sub-Committee will deliberate in private before announcing its decision on these matters. 2 The Licensing Officer - To briefly outline the report and update Members on any matters that have arisen since the report was prepared. 3 Submission by the Applicant (a) The applicant (or representative) to make a brief opening statement and call any witnesses. (b) Questions by (i) the Police, (ii) Members of the Sub-Committee. 4 Submission by the Police (a) The Police (or representative) to make a brief opening statement and call any witnesses. (b) Questions by (i) the Applicant, (ii) Members of the Sub-Committee. 5 Summing up (a) The Police (b) Applicant 6 Advice from (a) Licensing Officer, (b) Legal Adviser 7 Private Deliberations by the Sub-Committee in the presence of the Committee Manager 8 Sub-Committee to announce its decision (which will be confirmed in writing) Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 158 Licensing Act 2003 Sub-Committee Licensing Act 2003 Procedure at the Hearing of an Application for a Review of a Premises Licence or a Club Premises Certificate or a Summary Review of a Premises Licence (The proceedings will be recorded and in the event of an appeal to the Magistrates Court a transcript may be produced.) 1 Introductions by the Chairman - To deal with the calling of witnesses, crossexamination of the parties/witnesses, time limits and the admission of additional documentation. If necessary the Sub-Committee will deliberate in private before announcing its decision on these matters. 2 The Licensing Officer - To briefly outline the report and update Members on any matters that have arisen since the report was prepared. 3 Submission by the Applicant who requested the review (a) (b) 4 Submission by Interested Parties/Responsible Authorities (a) (b) 5 Interested parties (or representative)/Responsible Authorities (or representative) to make a brief opening statement and call any witnesses. Questions by (i) Licensee, (ii) the Applicant who requested the review, (iii) Responsible Authorities/ Interested parties, (iv) Members of the Sub-Committee. Submission by Licensee (a) (b) 6 The applicant (or representative) to make a brief opening statement and call any witnesses. Questions by (i) Licensee, (ii) Interested Parties/Responsible Authorities, (iii) Members of the Sub-Committee. The Licensee (or representative) to make a brief opening statement and call any witnesses. Questions by (i) the Applicant who requested the review, (ii) Interested Parties/ Responsible Authorities, (iii) Members of the Sub-Committee Summing up (a) (b) (c) Applicant who requested the review, Interested Parties/ Responsible Authorities, Licensee 7 Advice from (a) Licensing Officer, (b) Legal Adviser 8 Private Deliberations by the Sub-Committee in the presence of the Committee Manager 9 Sub-Committee to announce its decision (which will be confirmed in writing) Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 159 Licensing Act 2003 Sub-Committee Gambling Act 2005 Procedure at the hearing of: An application for a new premises licence The variation of a premises licence The transfer of a premises licence For a club gaming/club machine permit For a provisional statement For the reinstatement of a lapsed licence For the refusal of an application to register as a small society lottery For the revocation of a small society lottery For the making of an order under section 284 of the gambling act 2005 (The proceedings will be recorded and in the event of an appeal to the Magistrates Court a transcript may be produced.). 1 Introductions by the Chairman - To deal with the time limits and the admission of additional documentation. If necessary the Sub-Committee will deliberate in private before announcing its decision on these matters. 2 The Licensing Officer (a) (b) 3 Submission by the Applicant (a) (b) 4 The applicant (or representative) to make a brief opening statement and call any witnesses. Questions by (i) Responsible Authorities, (ii) Interested Parties, (iii) Members of the Sub-Committee. Submission by Responsible Authorities (a) (b) 5 To briefly outline the report and update Members on any matters that have arisen since the report was prepared. The Licensing Officer will explain the reasons why the Licensing Authority proposes to attach/exclude conditions. Questions by Members of the Sub-Committee. Responsible Authorities (or representative) to make a brief opening statement and call any witnesses. Questions by (i) the Applicant, (ii) Interested parties, (iii) Members of the SubCommittee. Submission by Interested Parties (a) (b) Interested Parties (or representative) to make a brief opening statement and call any witnesses. Questions by (i) the Applicant, (ii) Responsible Authorities, (iii) Members of the SubCommittee. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 160 6 The Licensing Officer (Where the Licensing Authority proposes to attach/exclude conditions) (a) Licensing Officer to ask relevant questions of the applicant/their witnesses. (b) Licensing Officer invited to address the Sub-Committee. (c) Members of the Sub-Committee to ask relevant questions of the Licensing Officer. 7 Summing up (a) (b) (c) Responsible Authorities Interested Parties Applicant 8 Advice from (a) Licensing Officer, (b) Legal Adviser 9 Private Deliberations by the Sub-Committee in the presence of the Committee Manager 10 Sub-Committee to announce its decision (which will be confirmed in writing) Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 161 Licensing Act 2003 Sub-Committee Gambling Act 2005 Procedure at the Hearing of an Application for a Review of a Premises Licence (The proceedings will be recorded and in the event of an appeal to the Magistrates Court a transcript may be produced.). 1 Introductions by the Chairman - To deal with the time limits and the admission of additional documentation. If necessary the Sub-Committee will deliberate in private before announcing its decision on these matters. 2 The Licensing Officer (a) (b) 3 Submission by the Applicant who requested the review (a) (b) 4 To briefly outline the report and update Members on any matters that have arisen since the report was prepared. The Licensing Officer will explain the reasons why the Licensing Authority proposes to attach/exclude conditions. Questions by Members of the Sub-Committee. The applicant (or representative) to make a brief opening statement and call any witnesses. Questions by (i) Licensee (ii) Interested Parties/Responsible Authorities (iii) Members of the Sub-Committee. Submission by Interested Parties/Responsible Authorities (a) (b) Interested Parties (or representative)/Responsible Authorities (or representative) to make a brief opening statement and call any witnesses. Questions by (i) Licensee (ii) the applicant who requested the review (iii) Responsible Authorities (iv) Members of the Sub-Committee. 5. Submission by Licensee (a) The Licensee (or representative) to make a brief opening statement and call any witnesses. (b) Questions by (i) the Applicant who requested the review (ii) Interested Parties/ Responsible Authorities (iii) Members of the Sub-Committee 6 The Licensing Officer (Where the Licensing Authority proposes to attach/exclude conditions) (a) (b) (c) 7 Licensing Officer to ask relevant questions of the applicant/their witnesses. Licensing Officer invited to address the Sub-Committee. Members of the Sub-Committee to ask relevant questions of the Licensing Officer. Summing up (a) (b) (c) Responsible Authorities Interested Parties Applicant Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 162 8 Advice from (a) Licensing Officer, (b) Legal Adviser 9 Private Deliberations by the Sub-Committee in the presence of the Committee Manager 10 Sub-Committee to announce its decision (which will be confirmed in writing) Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 163 Licensing Act 2003 Sub-Committee Local Government (Miscellaneous Provisions) Act 1982 Schedule 3 - as amended by section 27 of the Policing and Crime Act 2009 Procedure at the hearing of: An application for a sex establishment licence The variation of a sex establishment licence The transfer of a sex establishment licence The renewal of a sex establishment licence Refusal to grant/vary/transfer/renew a sex establishment licence Revocation of a sex establishment licence Application for waiver Amendment of restrictions (The proceedings will be recorded and in the event of an appeal to the Magistrates Court a transcript may be produced.) 1 Introductions by the Chairman - To deal with the time limits and the admission of additional documentation. If necessary the Sub-Committee will deliberate in private before announcing its decision on these matters. 2 The Licensing Officer (a) (b) 3 Submission by the Applicant (a) (b) 4 Police representative to make a brief opening statement and call any witnesses. Questions by (i) the Applicant, (ii) Objectors, (iii) Members of the Sub-Committee. Submission by Objectors (a) (b) 6 The applicant (or representative) to make a brief opening statement and call any witnesses. Questions by (i) Police, (ii) Objectors, (iii) Members of the Sub-Committee. Submission by the Police (a) (b) 5 To briefly outline the report and update Members on any matters that have arisen since the report was prepared. Questions by Members of the Sub-Committee. Objectors (or representative) to make a brief opening statement and call any witnesses. Questions by (i) the Applicant, (ii) Police, (iii) Members of the Sub-Committee. The Licensing Officer (Where the Licensing Authority has concerns with the application made/the variation of standard conditions and/or proposes to attach additional conditions) (a) (b) Licensing Officer to ask relevant questions of the applicant/their witnesses. Licensing Officer invited to address the Sub-Committee. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 164 (c) (d) 7 Applicant invited to ask questions of the Licensing Officer. Members of the Sub-Committee to ask relevant questions of the Licensing Officer. Summing up (a) Police (b) Objectors (c) Licensing Officer (d) Applicant 8 Policy advice from (a) Licensing Officer, Legal advice from (b) Legal Adviser 9 Private Deliberations by the Sub-Committee in the presence of the Committee Manager 10 Sub-Committee to announce its decision (which will be confirmed in writing) Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 165 8 Public Speaking at Planning Committees Public speaking at the Planning Committee and Area Planning Sub-Committees will be allowed in accordance with the following protocol:(i) Right to Speak The right to speak will only apply to applications which fall to be determined by Committee/Sub-Committee in accordance with the approved scheme of delegation. (ii) Notification of Right to Speak Interested parties (applicants, objectors, supporters etc.) will be notified of their right to speak and of how to find out if an application is being considered by Committee at the end of the statutory objection period. (iii) Registration of Intention to Speak Anyone wishing to speak at a meeting must inform the appropriate Committee Manager by noon on the last working day preceding a meeting (ie noon on Friday for a Monday meeting, noon on Monday for a Tuesday meeting, etc.). (iv) Category/Number of Speakers One person only will be allowed to speak in objection to an application and one in support (the applicant/agent having priority). The first to register in each category will be the ones allowed to speak, although parties will be encouraged to consult with others where several attempt to register. (v) Time Allowed Each speaker will be allowed to speak for a maximum of three minutes in respect of applications delegated to Area Planning Sub-Committees and five minutes in respect of applications delegated to the Planning Committee, except where the speaker has already taken the opportunity to address Members at a pre-committee presentation, or where the speaker has addressed an earlier meeting but a decision has been deferred, or where a decision is referred up from an Area Sub-Committee the time allowed will be three minutes. (vi) Other Features Parties attending to speak must be in attendance before discussion on the application in which they have an interest commences. Where there are speakers, the speaker expressing a contrary view to the officer’s recommendation will speak first. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 166 9 Public speaking on an item will take place before consideration of the officer’s report and Committee debate. Statements only will be made - there will be no questions or debate. Items involving attendance by members of the public will be dealt with first, in the order in which they appear in the schedule of planning applications. Speakers should rely on information already submitted and will not be permitted to introduce new documentary information of any nature, including photographs. Voting (i) Subject to (ii) below voting at Non-Executive and Regulatory Committees shall be by show of hands. (ii) One quarter of the Members of a Committee can require a recorded vote which means that the way each Member voted or abstained will be recorded in the minutes. Any such request must be made before a vote is taken. The name of any Member entering the room after a vote has commenced will not be recorded. (iii) After a vote is taken an individual Member may request his/her vote to be recorded in the minutes. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 167 ANNEX A SUBSTITUTE MEMBERS’ SCHEME Subject to the notes outlined below each Group may nominate any other Member of that Group to act as a substitute Member for their Group on any Committee or Sub-Committee, providing that the appropriate Committee Manager is informed in writing or electronically on a substitute form as soon as possible but no later than the commencement of the meeting. The substitute form shall be completed stating the Group designation, the Committee/SubCommittee, the name of the Member being substituted and the name of the substitute. The name of the substitute and the name of the Member being substituted shall be in block capitals. The effect of the substitute notice shall be that the Member giving notice shall cease to be a Member of the Committee or Sub-Committee for the duration of that meeting or any adjournment of it to another date. The substitute Member shall be a full Member of the Committee or Sub-Committee for the same period. NOTES: (1) THIS SCHEME DOES NOT APPLY TO MEETINGS OF THE CABINET, THE STANDARDS COMMITTEE, WORKING GROUPS OR REVIEW PANELS (2) CABINET MEMBERS CANNOT ACT AS SUBSTITUTE ON THE OVERVIEW MANAGEMENT COMMITTEE OR ITS SUB-COMMITTEES (3) ONLY MEMBERS OF THE LICENSING ACT 2003 COMMITTEE CAN ACT AS SUBSTITUTES ON THE LICENSING ACT 2003 SUB-COMMITTEE Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 168 FINANCIAL PROCEDURE RULES 1 Introduction 1.1 These procedures control the way the Council manages its finances and safeguards its assets. They form part of the Council’s Constitution and are to be read in conjunction with other sections of the Constitution in particular Part 3 which sets out delegations to The Cabinet, Committees and officers The Budget and Policy Framework rules The Contracts Procedure Rules 2 Financial Management and Administration 2.1 The Council is responsible for determining the budget and policy framework within which the Cabinet operates. The Cabinet is responsible for implementing within the policy the functions of the Council not implemented through delegations to officers or non - executive committees. 2.2 The Head of Finance has statutory duties in relation to the financial administration and stewardship of the Authority. This statutory duty cannot be overridden. The statutory duties arise from: • • • • Local Government Act 1972, Section 151 Local Government Finance Act 1988 Local Government and Housing Act 1989 Accounting and Audit Regulations 2011 2.3 The Head of Finance is legally responsible for the proper administration of the Council’s financial affairs and shall take whatever action he/she sees fit to discharge his/her responsibilities under Section 151 of the Local Government Act 1972 in consultation with the Monitoring Officer. 2.4 Protocols setting out the role and responsibilities of the Monitoring Officer and the Chief Finance Officer are contained within the Constitution. 2.5 The rules and procedures relating to financial administration are set out in the Council’s Constitution which contains these procedures in the Finance Manual of Guidance issued by the Head of Finance, and in the Code of Practice on Procurement. They apply to every member and officer of the Authority and anyone acting on its behalf. 2.6 In carrying out his/her responsibility for the proper administration of the Council’s financial affairs, the Head of Finance is responsible for advising on effective systems of internal control which ensure compliance with all applicable statutes and regulations and that public funds are properly safeguarded and used economically, efficiently and effectively. 2.7 It is the responsibility of all Directors to establish sound arrangements for planning, appraising, authorising and controlling their operations in order to achieve continuous improvement, value for money (economy, efficiency and effectiveness) and for achieving their financial performance targets. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 169 2.8 It is the duty of all employees to ensure that their actions are in accordance with these Financial Procedure Rules. Directors must take the necessary steps to ensure that all employees are aware of their obligations in this respect and are provided with suitable financial training. 2.9 Failure to comply with the Financial Procedures may lead to action by management in accordance with the Council’s disciplinary procedures. Any employee who requires further advice or is unable to comply with these Financial Procedures should inform and consult their supervisor or line manager. 2.10 The Head of Finance shall review the Procedure Rules and the Finance Manual of Guidance annually and shall report to The Cabinet accordingly. 2.11 Any difference, which arises from the interpretation of these Procedure Rules, shall be settled by the Director of Corporate Resources. 2.12 These Procedure Rules shall only be suspended on the resolution of The Cabinet or the Council, or as varied by any part of the Scheme of Delegation approved by Council. 2.13 These Procedure Rules shall apply to all the Council’s establishments, with the exception of schools operating under the Scheme for Financing Schools. These schools are required to comply with separate Financial Regulations, which are set out later in these rules. 3 Financial Planning and Budgetary Control Financial Planning 3.1 The Head of Finance will prepare and review annually a financial plan to provide an estimate of resources available to the Council and identify budget pressures for successive financial years, spanning a minimum period of three years. 3.2 Proposed budgets (both revenue and capital) over periods of one year or longer shall be prepared by Directors, in consultation with the Head of Finance, for submission through The Cabinet to the Council. The form of such budgets and the timing of their submission shall be as determined by the Head of Finance, subject to any over-riding requirements of The Cabinet. 3.3 Directors shall evaluate the financial implications of any new policy option, initiative or major project in conjunction with the Head of Finance, prior to a report to The Cabinet and/or Council. Budgetary Control 3.4 Expenditure may be incurred within the budgets approved by the Council without further reference to The Cabinet unless specifically required by The Cabinet. 3.5 Directors shall monitor spend and income against budgets monthly and ensure, so far as practicable, that expenditure in excess of their net approved budgets is not incurred without prior approval. Anticipated or actual reductions of income shall be treated as if they were increases in expenditure. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 170 3.6 Except for overspends of less than £50,000, the appropriate Director shall, as soon as practicable, take the necessary steps as outlined in paragraphs 3.7 to 3.13 below concerning any anticipated or actual overspending of: (i) a revenue budget by more than 10% or £100,000, whichever is the lower; (ii) a capital scheme budget by more than 10% or £100,000, whichever is the lower. Virements 3.7 A virement is a transfer of a budgetary amount from one part of the approved budget to another, such as transferring an amount of budget between categories of expenditure or income within a service delivery area, from one service delivery area to another, or between schemes in the capital programme. A virement may be ‘non-recurrent’, relating to the current financial year only or may be ‘recurrent’, representing permanent adjustments between budgets which will be effective in the current and future financial years. 3.8 The Head of Finance may approve Directors’ proposals for virement not exceeding £100,000. 3.9 Any Director proposing a virement in excess of £100,000 shall prepare a report to The Cabinet setting out his/her proposals in consultation with the Head of Finance outlining the cost in the current and two subsequent financial years. Supplementary Budgets 3.10 A supplementary budget is a request for budget in addition to the currently approved budget. 3.11 Supplementary budgets with no identified source of funding, thereby requiring use of the General Fund reserve should be treated as a last resort and will be approved in emergencies only where Directors have demonstrated that all other funding options have been exhausted. All supplementary budgets shall be submitted to The Cabinet for approval, prior to approval by the Council. 3.12 All supplementary budgets that require funding from the General Fund reserve shall be submitted to The Cabinet for approval, prior to approval by the Council. 3.13 Any Director proposing a supplementary budget that requires funding from the General Fund reserve shall prepare a report to The Cabinet setting out his/her proposals in consultation with the Head of Finance, outlining the cost in the current and two subsequent years. 3.14 No supplementary budgets that require use of the General Fund reserve will be approved (except in exceptional circumstances) for expenditure below £100,000. 3.15 The Head of Finance may approve Directors’ proposals for a supplementary budget with an identified source of funding that does not require use of the General Fund reserve and does not exceed £100,000. Any Director proposing a supplementary budget with an identified source of funding in excess of £100,000 shall prepare a report to The Cabinet setting out his/her proposals in consultation with the Head of Finance, outlining the cost Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 171 in the current and two subsequent years. Identified sources of funding make include grants, contributions, and earmarked reserves. Transfer of budget between financial years 3.16 Budget provision not utilised by the end of the financial year will not be transferred to the subsequent years except in exceptional circumstances. Any Director proposing to carry forward budget provision shall prepare a report setting out his/her proposal in consultation with the Head of Finance outlining the reason for the transfer. Carry forward of budget provision may either be added to the budget for the following financial year or transferred to an earmarked reserve for spending in future years. Requests for carry forward of budget provision should only be made where there is an overall underspend within the directorate equal to or greater than the carry forward amount. 3.17 The Head of Finance may authorise transfers up to £100,000 (in relation to Property and Highways Maintenance related matters, the Head of Finance may, in consultation with the Directors concerned, approve the virement from one financial year to another of amounts up to £300,000 for each budget and within and between budgets in relation to underspends or overspends on property management and highways maintenance budgets). The Cabinet will approve all other transfers. Reserves and Balances 3.18 The Head of Finance is responsible for advising The Cabinet and Council on prudent levels of reserves for the Authority taking account of the CIPFA guidance on Reserves and Balances. The Council will formally determine the level of utilization of reserves. 3.19 Before considering the establishment of an earmarked reserve the Head of Finance will require the following from Directors : The purpose of the reserve How and when the reserve can be used Procedures for the management and control of the reserve The process and timescale for review of the reserve. 4 Systems and Procedures 4.1 All accounting operations shall be under the supervision of the Head of Finance, wherever they are undertaken. 4.2 The Head of Finance is responsible for the maintenance, development and control of the Council’s corporate financial information systems. Directors are required to record all accounting operations on the corporate financial information systems in accordance with systems and procedures agreed with the Head of Finance. 4.3 Directors shall at an early stage consult the Head of Finance on the design of the systems, forms and records, which could have effects upon the corporate financial information systems, records or needs. 4.4 Each Director shall be responsible for ensuring that such records and systems are properly maintained and shall carry out independent checking of financial transactions Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 172 relevant to his/her directorate to ensure compliance with these Financial Procedure Rules. 4.5 At any time, every Director shall supply to the Head of Finance such information as and when required by him/her. 4.6 The Head of Finance is responsible for the preparation of the Authority’s Statement of Accounts in accordance with proper practices and for selecting and applying consistently suitable accounting policies. 4.7 The Audit Committee is responsible for approving the annual statement of accounts and the annual governance statement. Income and Expenditure 4.8 It is the responsibility of all Directors to ensure that a proper scheme of delegation has been established within their area, that it is updated and reviewed on an annual basis and is operating effectively. The scheme of delegation should identify staff authorised to act on the Director’s behalf in respect of orders, payments and income collection, together with the limits of their authority. A copy of the scheme of delegation must be supplied to the Head of Finance. Salaries, Wages and Pensions 4.9 The payment of all salaries, wages, pensions, compensation and other emoluments to all employees or former employees of the Council shall be made by the Head of Finance or under arrangements approved by him/her. Banking arrangements including credit, debit and purchase cards 4.10 All banking arrangements shall be made by or approved by the Head of Finance who shall be authorised to operate such bank accounts as he/she may consider necessary. All Directors shall follow the procedures set out in the Finance Manual of Guidance for the banking of income and operation of bank accounts. Payment of Accounts 4.11 Apart from petty cash and school bank accounts, the Head of Finance will make all payments due from the Council by BACS, cheque or other instrument drawn on the Council’s bank account. Wherever possible payments will be made electronically, all payments to suppliers for goods and services will be made by BACS. Assets and security 4.12 Each Director is responsible for maintaining security and records at all times for all assets including buildings, stocks, stores, furniture, equipment, cash, etc. under their control. 4.13 Each Director shall be responsible for maintaining proper security/confidentiality in respect of information held within his department, including information held in computerised records, in which case, each Director must ensure compliance with the Data Protection Act and the Freedom of Information Act and any Codes of Practice or Standards approved by the Head of Legal and Democratic Services. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 173 4.14 Each Director shall be responsible for ensuring all software in use is legally licensed. 4.15 Each Director should also ensure that contingency plans for the security of assets and information and the continuity of service in the event of a disaster or system failure are in place. Write-Offs and Disposals 4.16 Subject to their keeping records in a form approved by the Head of Finance, Directors may write-off losses, excluding debts, up to £500 in total, in respect of:(i) Any loss or imbalance sustained by the Council which is not recoverable from insurance or other sources; or (ii) The loss to the Council on the disposal of stock or other assets at prices less than the book value at the time of disposal. 4.17 Directors shall refer all irrecoverable debts and all losses in excess of £500 for write-off to the Director of Corporate Resources, who may require a report to be submitted to The Cabinet. The Director of Corporate Resources may write-off irrecoverable losses or debts up to £5,000. 4.18 Losses or irrecoverable debts over £5,000 may only be written off by The Cabinet following a report by the Director of Corporate Resources. 4.19 Directors may, in consultation with the Head of Finance, arrange for the disposal of unrequired inventory items, up to a limit of estimated value of £10,000 by competitive tender, quotations or public auction. Above that figure, disposal shall require the approval of Cabinet. 5 Risk Management and Internal Control Risk Management 5.1 Directors are responsible for ensuring strategic and operational risks are identified, evaluated, monitored and controlled in accordance with the risk management policy and strategy approved by The Cabinet. Insurance 5.2 The Head of Finance shall affect all insurances via external cover or self-insurance and shall negotiate all claims in consultation with other officers where necessary. 5.3 Prior to any service changes or event taking place, Directors shall notify to the Head of Finance:(i) the terms of any indemnity which the Council is required to give; (ii) any new risks, properties or vehicles which might need to be insured; (iii) any changed circumstances affecting existing risks. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 174 Internal Audit 5.4 A continuous internal audit, under the independent control and direction of the Head of Finance, shall be arranged to provide an independent and objective opinion to the Council on the control environment comprising risk management, control and governance by evaluating its effectiveness in achieving the Council’s objectives. 5.5 The Head of Finance or his/her authorised representative shall have authority to: (i) enter at all reasonable times on any Council premises or land; (ii) have access to all records, documents and correspondence relating to any matter or business of the Council; (iii) require and receive such explanations as considered necessary concerning any matter under examination; (iv) require any employee of the Council to produce cash, stores or any other Council property under their control; (v) report uncensored to any directorate, Director, Chief Executive, Committee, Audit Committee, The Cabinet or the Council as considered necessary. Fraud and Corruption 5.6 If, at any time, any case of fraud or loss or financial irregularity or bribery or corruption is discovered or suspected to exist which involves the Council’s interests, the Director concerned shall at once (and before proceeding with any further investigation) notify the Head of Finance, the Monitoring Officer, the Audit and Technical Manager and the Chief Executive. The Director is authorised to call in the police forthwith if he/she considers that the nature of the irregularity warrants immediate action. 5.7 Any case of fraud or loss or financial irregularity or bribery or corruption discovered or suspected to exist which involves the Council’s interests will be dealt with in accordance with the Council’s Counter Fraud and Corruption Policy. 5.8 Where criminal proceedings are not instituted due to insufficient grounds, the Chief Executive and Director of Corporate Resources shall decide whether or not to commence a civil suit and are authorised to incur any expenditure involved. 6 Treasury Management and Trust Funds 6.1 The Head of Finance is responsible for advising the Council in accordance with the CIPFA Prudential Code for Capital Finance in Local Authorities. 6.2 All decisions and transactions relating to borrowings, investments, the raising of capital finance and security thereof shall be made by the Head of Finance, in accordance with the Treasury Policy Statement, the Prudential Code and with the “Code of Practice for Treasury Management in Local Authorities”, which is deemed to be part of these Financial Procedure Rules. 6.3 All borrowings and investments shall be effected in the name of the Council Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 175 6.4 All trust funds shall wherever possible be in the name of the Council. 6.5 All officers acting as Trustees by virtue of their official position shall deposit all securities, etc. relating to the trust with the Head of Finance, unless the deed otherwise provides. 7 East Riding Pension Fund 7.1 All decisions and transactions relating to the investment and management of the Fund shall be made by the Head of Finance, in accordance with the Local Government Pension Scheme (Management and Investment of Funds) Regulations 2009 and the Policy of the Pensions Committee. 7.2 All investments shall be effected in the name of the Council, and identified as relating to the Fund. 7.3 The Head of Finance shall be the Council’s Registrar of investments and shall maintain records of all investments made for the Fund. 8 Partnership Arrangements 8.1 The Cabinet is responsible for approving delegations, including frameworks for partnerships. Directors must ensure that all partnership arrangements are recorded on the register of partnerships and are undertaken in accordance with the Council’s partnership manual. 8.2 Before entering into any partnership, joint venture or third party relationship, Directors must obtain the Head of Finance’s approval to the arrangements for: Funding Accounting and Financial Administration Corporate Governance Risk Management 8.3 Directors must ensure that any agreement gives the Head of Finance access to the accounts, records and all other documentation and that he/she is entitled to seek explanations from officers of the organisation regarding the deployment of the Council’s funding. 9 External Funding 9.1 Directors will explore all opportunities for external funding, taking account of the Council’s policy framework and any additional risks implied. 9.2 Prior to entering into agreements Directors must inform the Head of Finance of matched funding requirements and accountable body responsibilities, to ensure funding availability, to determine future revenue and capital implications and to ensure financial administration arrangements are in place. 9.3 The Head of Finance has authority to accept all external funding grants. 9.4 Directors are responsible for ensuring claims for funds are made by the due date in accordance with instructions issued by the Head of Finance. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 176 9.5 Directors must also inform the Head of Finance of any subsequent changes to agreements so the revenue and capital budget implications may be addressed. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 177 FINANCIAL REGULATIONS FOR SCHOOLS 1 Roles and Responsibilities 1.1 The Council is responsible for determining the budget and the policy framework within which The Cabinet operates. The Cabinet is responsible for implementing within the policy, all the functions of the Council. Head of Finance 1.2 The Head of Finance has statutory duties in relation to the financial administration and stewardship of the Authority. This statutory duty cannot be overridden. The statutory duties arise from: Local Government Act 1972, Section 151 Local Government Finance Act 1988 Local Government and Housing Act 1989 Accounting and Audit Regulations 2011 1.3 The Head of Finance is legally responsible for the proper administration of the Council’s financial affairs and shall take whatever action he/she sees fit to discharge his/her responsibilities in consultation with the Monitoring Officer (Head of Legal and Democratic Services). 1.4 The rules and procedures relating to financial administration are set out in the Council’s Procedure Rules, Financial Regulations for Schools, and the Scheme for Financing Schools, with the details provided in the Finance Manual for Schools issued by the Head of Finance. 1.5 The Head of Finance may require compliance with financial instructions, codes of practice and conduct that he/she may issue from time to time. Any financial instruction or codes of practice and conduct issued by the Head of Finance shall have the same force as these Financial Regulations and compliance therewith is mandatory. 1.6 The Head of Finance shall review these Regulations and the Finance Manual of Guidance for schools at maximum intervals of five years. 1.7 In carrying out his/her responsibility for the proper administration of the Council’s financial affairs, the Head of Finance shall ensure that arrangements made by Governing Bodies in relation to all financial and accounting matters and the security of money and other assets are safe, efficient and effective. 1.8 The Head of Finance shall maintain an audit of schools’ accounting, financial and other operations to ensure the adequacy and effectiveness of internal controls. 1.9 The Head of Finance or his/her authorised representative shall have authority to:(a) enter the school at all reasonable times; (b) have access to all records, documents and correspondence relating to any matter or business of the school; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 178 (c) require and receive such explanations as he/she considers necessary concerning any matter under examination, and (d) require any employee of the school to produce cash, stores or any other school or Council property under his control. Governing Body 1.10 The Governing Body of a school with delegated powers is responsible for regulating and controlling the finances of that school in accordance with the rules and procedures for financial administration. 1.11 Governing Bodies are responsible for ensuring that all staff in their schools are aware of their responsibilities according to the Financial Regulations. 1.12 Each Governing Body is responsible for the accountability and control of staff and resources and shall ensure that adequate internal checks and separation of duties are present and effective in all financial systems within their school. 1.13 The Governing Body, as part of fulfilling the above duties must ensure that the Schools Financial Value Standard (SFVS) is completed annually which includes formally discussing it with the Head Teacher and senior staff, ensuring that any remedial action considered necessary is reported. The Governing Body must sign the completed assessment and send a copy to the Finance Department. Employees 1.14 It is the duty of all employees to ensure that their actions are in accordance with these Financial Regulations. Failure to comply with the Financial Regulations may lead to action by management in accordance with the Council’s disciplinary procedures. Any employee who requires further advice or is unable to comply with these Financial Regulations or other financial procedures should inform and consult their Governing Body. General 1.15 Any difference, which arises from the interpretation of these Regulations, shall be settled by the Head of Finance in conjunction with the Director of Corporate Resources. 1.16 These Regulations shall only be suspended on the resolution of The Cabinet or the Council, or as varied by any part of the Scheme of Delegation approved by Council. 2 Financial Irregularities 2.1 If at any time any case of fraud or loss or financial irregularity or bribery or corruption is discovered or suspected to exist which involves the Council’s interests, the Governing Body concerned shall at once (and before proceeding with any further investigation) notify the Head of Finance, the Monitoring Officer, the Audit and Technical Manager, and the Chief Executive. The Governing Body is authorised to call in the police forthwith if it considers that the nature of the irregularity warrants immediate action. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 179 2.2 Any case of fraud or loss or financial irregularity or bribery or corruption discovered or suspected to exist which involves the Council’s interests will be dealt with in accordance with the Counter Fraud and Corruption Policy. 2.3 Where criminal proceedings are not instituted due to insufficient grounds the Chief Executive and Director of Corporate Resources shall decide whether or not to commence a civil suit and are authorised to incur any expenditure involved. 3 Financial Management, Planning and Control 3.1 The Governing Body of a school with delegated powers is responsible for managing the delegated budget in accordance with the rules and procedures relating to financial administration. 3.2 The Governing Body should formally: (a) nominate a budget holder (normally the head teacher and possibly other senior staff); (b) agree a statement setting out for the nominated budget holder the delegated tasks and the level of expenditure or virement, which can be made without reference to the Governing Body, and (c) supply to the Head of Finance, the names and specimen signatures of those authorised to certify cheques, invoices, timesheets and any other documents requiring certification. Any changes to signatories are to be notified in a similar manner. It is usual for there to be only three authorised signatories at one time. 3.3 Once the school’s budget share has been determined, the Governing Body must submit a detailed budget not exceeding this sum to the Director of Children, Family and Adult Services, by a specified date in a form approved by the Head of Finance. 3.4 The Governing Body shall ensure that the spending is monitored and controlled against the budget share and that it is incurred in accordance with the Governing Body’s authorisation. 3.5 The Head of Finance jointly with the Director of Children, Family and Adult Services has the right to recommend to The Cabinet the withdrawal of delegated powers. 3.6 The Head of Finance, or his/her representative, has the right to attend meetings of the Governing Body to offer advice on financial matters. 4 Financial Systems and Procedures 4.1 All accounting operations shall be under the supervision of the Head of Finance. 4.2 The Governing Body is required to record all accounting operations on the corporate financial information system by systems and procedures issued by the Head of Finance and contained within the Scheme for Financing Schools and the Finance Manual of Guidance for Schools. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 180 4.3 The Governing Body shall be responsible for ensuring such records and systems are properly maintained and securely held. They should also ensure sound arrangements for the security and continuity of the service in the event of a disaster taking place. 4.4 Governing Bodies should ensure that staff receive relevant financial training. 4.5 The Governing Body shall ensure that proper accounts are kept for all non-authority funds, eg school funds, and that an audited statement of accounts is submitted to the Head of Finance annually. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 181 CONTRACT PROCEDURE RULES 1 Introduction and Scope 1.1 These Contract Procedure Rules (“CPRs”) set out the rules by which the Council spends money externally on the supplies, services and works needed to deliver services to the citizens of East Riding of Yorkshire and meet the community’s needs. 1.2 The Council’s CPRs, therefore, have five main purposes: To ensure compliance with UK and EU legislation. To ensure propriety, fairness, consistency and good practice. To help the Council obtain Value for Money. To allow the market the freedom of opportunity to trade with the Council. To protect staff and members of the Council from undue criticism or allegation of wrong doing. 1.3 ALL employees of the Council or any authorised person buying on behalf of the Council, must comply with these rules. 1.4 These CPRs underpin the Commissioning and Procurement Policy and Strategy and are supported by the Commissioning and Procurement Manual of Guidance. 1.5 Contracts for services, supplies, or works, over the financial thresholds specified in EU procurement legislation (“the EU Threshold”) must be dealt with as set out in the EU procurement legislation. 1.6 If there is any conflict between these CPRs, and UK and EU legislation, then EU legislation will take precedence in all cases. 1.7 Procurements must be dealt with in accordance with Local Government Acts 1988 and 1999 (relating to the application of non-commercial considerations) and all relevant subordinate legislation. 1.8 These CPRs do not cover contracts of employment, but they do regulate contracts for services purchased from employment agencies, appointing consultancy services and contracts for recruitment advertising. 1.9 These CPRs also apply to the leasing, renting and hiring of supplies to which the Local Authorities (Capital Finance and Accounting) (England) Regulations 2003 apply; to the use of service level agreements with third parties; expenditure by means of the Council giving grants; and by the Council spending central government funding for specific projects. 1.10 These CPRs do not cover contracts to buy, or sell, land or any interest in land (for example, a lease, or right of way). Please seek advice from Legal and Democratic Services and Valuation and Estates. 2 How to Use the CPRs 2.1 Throughout the CPRs, references are made to other relevant documents. Therefore, these CPRs should be read in conjunction with those documents, but more specifically, Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 182 the Commissioning and Procurement Manual of Guidance and the Commissioning and Procurement Policy and Strategy. 2.2 CPRs start with the decisions and considerations that need to be made before any procurement exercise can begin along with information on obtaining the authority to proceed. The document then says who can buy the things the Council needs, before describing how to establish a procurement route. 2.3 The competitive process is explained, followed by the procedures required at various levels of spend. In principle, the rules and procedures for higher value procurements are more demanding than for those of lower value. This is so that the benefits of a more thorough, complex process are not outweighed by its cost relative to the value of the supplies, services or works in question. The rules for supplies, services and works are similar and are set out as a unified set of procedures, indicating where the rules differ for each category as appropriate. 2.4 The procurement process is explained, including the evaluation of bids and quotations and the award of contracts. It then moves on to deal with issues such as documentation, contract management, exclusions to these CPRs and the procedures to follow to approve exclusion. The document ends with particulars on where to find further guidance and advice. The document also shows flowcharts of the procurement process at each threshold level and provides definitions. 3 Definitions 3.1 Commissioning is the entire cycle of assessing the needs of people in a local area, designing relevant services and then securing them. This cycle also includes contract management and monitoring. The process spans the whole cycle from identification of needs and option appraisal through to the end of a services contract or the end of the useful life of an asset and involves options appraisal and the critical make or buy decision which may result in the provision of in-house services in appropriate circumstances. 3.2 Procurement is the specific activities within the commissioning cycle that focus on the process of buying, or selecting a provider of, supplies, services or works, from the initial advertising through to the final contract arrangement. (source - based on the Audit Commission and IdeA definitions) 3.3 For all other definitions and explanations please see Appendix 1. 4 Responsibilities 4.1 Directors must ensure before beginning the procurement process that they have the appropriate authority to undertake it either by means of delegated authority given under the Scheme of Delegation or by The Cabinet. 4.2 Directors must ensure that every procurement is dealt with in accordance with any statutory requirements, including relevant EU legislation, within budget and financial provision and in accordance with the Constitution, these CPRs, all Council policies, procedures and strategies. 4.3 Due to the size and complexity of Directorates and to ensure timely procurement activity it is highly likely that Directors will delegate authority to appropriate officers within their Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 183 Directorate/Services/Sections/Groups to procure on their behalf. Each Director must however provide and maintain a list of the officers they have been authorised to initiate procurement, place orders and make payments on their behalf, specifying a maximum financial limit for each transaction within the pre-defined limits. These lists should be reviewed regularly. 4.4 Directors are responsible for ensuring that all officers to whom they delegate their functions under these CPRs have the necessary knowledge, skills and training to exercise the delegation appropriately. 4.5 Where authority has been delegated responsibility for compliance with these rules rests with that individual. Directors however retain responsibility for taking appropriate steps to satisfy themselves of compliance within their Directorate. 4.6 Major projects must be managed in accordance with PRINCE2 principles or other good project management practice. 5 Considerations Prior to Procurement 5.1 In advance of undertaking any procurement process, it must be ensured that: A need has been identified. The need being procured is in line with the Council’s Corporate Priorities. An options appraisal has taken place The budget is available/business case established using whole life costing as appropriate (only for procurement exercises above £2,000). The project size, type and scope established and a project team is established where appropriate. A specification has been completed which states the service/supplies/works required and includes expected standards of quality, key dates and contract duration. The correct authority to proceed has been obtained. Sufficient resources and time are available to deliver the contract and manage it for the duration of the contract. A risk assessment is undertaken which considers the risks associated with the commissioning and procurement cycle for the project. Where the procurement is a Key Decision it is included in the Forward Plan (as set out in the Constitution). 5.2 The first stage of the commissioning and procurement cycle is the identification of a clear need(s). 5.3 Having identified a clear need(s), the options appraisal must also assess the options for satisfying the need(s), including consideration of the option and consequences of not providing the service/supplies/works at all. Checks should be made to establish whether there are any alternative procurement options already in place for fulfilling the requirement which would negate the need for undertaking a separate procurement exercise. These options can include, but are not necessarily limited to: Use of in-house service or creation of an in-house service. Use of corporate contracts, framework agreements or approved lists (see Rules 35, 36 and 37). Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 184 Use of purchasing consortia and external framework arrangements which have been awarded in accordance with EU procurement legislation and allow this Council to access them (see Rule 38). Collaboration and/or joint commissioning with other Directorates and/or other public bodies (see Rule 38). 5.4 An approach must not be made to an existing Economic Operator to provide additional, or new, services, supplies, or works unless such extension meets the criteria set out in Rule 41. 6 Transfer of Undertakings (Protection of Employment) (TUPE) Regulations 2006 6.1 It must be ensured that TUPE issues are considered and legal advice is obtained before proceeding with inviting tenders or quotations where there may be a right for employees under the existing contract to transfer to any new Economic Operator. 7 Whole Life Costs and Estimated Contract Values 7.1 Whole Life Costs 7.1.1 In order to establish a genuine estimate of the total value of a contract, the ‘whole life cost’ needs to be taken into account. This means the value of the supplies, services or works over their lifetime from inception to disposal and should take into account any appropriate sustainability considerations. 7.1.2 This will determine the procurement route to be followed, inform the business case and influence decisions around options appraisal. 7.1.3 Further guidance is available in the Commissioning and Procurement Manual of Guidance. 7.2 Estimated Contract Values 7.2.1 The total contract value should be calculated by taking the total price to be paid or which might be paid during the whole of the contract period. 7.2.2 Contract values should be calculated using the estimated costs (taking into account whole life costs, as appropriate, and excluding VAT) over the total contract period including any proposed extensions. For example, a two year contract with two 12 month extension periods (giving a total of 4 years) valued at £25,000 per year would mean an overall contract value of £25,000 x 4 years = £100,000. It is this total value which will then determine which procurement route should be used. 7.2.3 Where the procurement involves recurrent transactions for the same type of item in the coming 12 months, the total value of these should be aggregated for the contract. On no account should any requirement be split in an attempt to avoid using the proper procedure under these CPRs, UK or EU procurement legislation. 7.2.4 Where the exact contract period is uncertain at the time of estimating the value, then for the basis of calculating the value, a period of 48 months should be used (also see contract period below). 7.2.5 All estimated values should be made exclusive of VAT. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 185 8 Contract Period 8.1 All contracts shall be time-limited either directly by a definitive contract period or completion of the specification and should consider the whole life of the supplies, services or works. 8.2 The contract period, including any extension options should consider: Value for money which should include an assessment of any specific service or pricing benefits, the costs of re-tendering and the expected benefits/outcomes. Service needs including quality requirements. The likelihood of any significant changes during the course of the contract. Guarantees, warranties and maintenance periods. 8.3 The term of a framework agreement must not normally exceed four years except by prior approval of Legal and Democratic Services. 9 Procurement Routes - Competition Requirements 9.1 Having now defined the need, estimated the contract value, determined the contract period and gained authorisation to continue from an appropriately authorised officer (as per Rule 4.2), the appropriate procurement route needs to be identified. 9.2 The routes are set out in the table below. Total Value (Excluding VAT) Procurement Route Up to £2,000 (inclusive) One oral quotation (confirmed in writing where the total value exceeds £500) Above £2,000 - £30,000 (inclusive) Invite three written quotations Above £30,000 up to EU Threshold Invitation to Tender by advertisement/ approved list to at least three Economic Operators. EU Thresholds: Works - £3,927,260 Supplies - £156,442 Services - £156,442 (as at 1 January 2010) (Detailed definitions of supplies, services and works are included in the Commissioning and Procurement Manual of Guidance) Above EU Threshold Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) Follow EU procedure 186 9.3 The threshold values for procurements governed by EU procurement legislation are revised every two years. They were last fixed on 1 January 2010 as set out above and on the intranet. Flowchart 1: Determination of Procurement Route Determine the scope, contract period and estimated total value of your requirement excluding VAT and obtain authorisation to continue (See Rules 5, 6 & 7) Is your requirement covered by any pre-existing arrangement YES Use corporate contract, framework agreement, approved list or in-house service NO YES Is your requirement valued under £2,000? A minimum of one quotation should be obtained (in written format if over £500) See Rule 10 & Flowchart 2 NO Is your requirement valued between £2,001 and £30,000? YES Seek three competitive written quotes See Rule 11 & Flowchart 3 NO Is your requirement valued between £30,001 and EU Threshold - for supplies & services £156,442, and works £3,9272,60? YES A tender exercise should be undertaken in accordance with these CPRs See Rules. 12 to 23 & Flowcharts 4 & 5 NO Your exercise is, therefore, over the EU thresholds and a full competitive tender exercise should be undertaken in accordance with EU legislation and these CPRs See Rules 24 to 35 & Flowcharts 6 & 7 10 Procurement Route Up to £2,000 (inclusive) 10.1 For all purchases of supplies, services and works under an estimated value of £2,000 (inclusive), a minimum of one competitive quote must be obtained in advance and confirmed in writing. Where the estimated value is under £500 then an oral quotation may be obtained. 10.2 A detailed written specification may not be required for purchases under £2,000 although a brief description should always be recorded on the purchase order. 10.3 All purchases at this level can be authorised by officers with delegated authority to initiate procurement provided it is within their authorised limit. 10.4 In all cases, the successful quotation should be accepted by means of a formal purchase order or formal contract. For guidance about the issuing of purchase orders, refer to the Finance Manual of Guidance. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 187 Flowchart 2: Procurement Route Up to £2,000 (inclusive) Is budget available? Is authority to proceed in place? No Obtain approval from an authorised officer Yes Is pre-existing arrangement available for requirements? Yes Use pre-existing arrangement No Obtain a minimum of one quotation in accordance with these CPRs and using relevant templates and guidance from the Commissioning and Procurement Manual. Assess the quotation(s) received and reconsider the need, affordability, value for money etc. to decide if to proceed. Yes Approval to award contract sought and obtained from an authorised officer. Award contract via issue of formal purchase order or formal contract in accordance with Scheme of Delegation. Commence contract Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 188 No Terminate procurement 11 Procurement Route Above £2,000 to £30,000 (inclusive) 11.1 Prior to seeking any quotations, a specification based on the assessed need must be written which should include: Service/supplies/works required including full description. Volumes, tasks and frequency. Expected standards of quality. Key dates. Contract duration. 11.2 For all purchases of supplies, services and works with an estimated value above £2,000 to £30,000 (inclusive), a minimum of three competitive quotes must be sought in advance and must be confirmed in writing, ie by letter, fax or email. 11.3 Evidence must be maintained of all quotations sought. Where a quote is not received from an Economic Operator, this must be recorded. 11.4 Where three quotations cannot be sought, ie due to there being only one or two Economic Operators, this must be recorded on the file stating the reasons why less than three quotes were sought. This requires authorisation by the relevant Head of Service. 11.5 There are two ways for determining which quotation to accept: Lowest price. Most economically advantageous quotation, where considerations other than price also apply. 11.6 All purchases between above £2,000 and £30,000 (inclusive) can be initiated by officers with delegated authority to initiate procurement provided it is within their authorised limit. However, prior to the contract being awarded a decision record (available under the “Procurement” tab on the intranet) must be approved by the relevant Head of Service. 11.7 In all cases, the successful quotation should be accepted by means of a formal purchase order or formal contract. For guidance about the issuing of purchase orders refer to the Finance Manual of Guidance. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 189 Flowchart 3: Procurement Route Above £2,000 to £30,000 (inclusive) Identify your need and ensure that budget is available, a business case has been approved (including a detailed specification) and that authority to proceed is in place? No Obtain approval from an authorised officer Yes Is pre-existing arrangement available for requirements? Yes Use pre-existing arrangement No Seek a minimum of three competitive quotations in accordance with the CPRs and using relevant templates and guidance from Commissioning and Procurement Manual Assess the quotations received and reconsider the need, affordability, value for money etc. to determine whether to proceed. No Terminate procurement and re-assess need Yes Appraise and evaluate which quotation to accept in accordance with the CPRs Approval to award contract sought and obtained via Decision Record process in accordance with the CPRs No Yes Award contract via issue of formal purchase order or formal contract in accordance with Scheme of Delegation Commence contract and ensure contract management provision is in place Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 190 Terminate procurement and re-assess need 12 Procurement Route above £30,000 to EU Threshold 12.1 There are two procurement routes for procurement over £30,000 and under the EU Threshold: 1. One stage - this will be used where there are small numbers of Economic Operators. 2. Two stage - this will be used to produce a short list where a large number of Economic Operators are expected to express an interest. 13 Specification and Standards 13.1 Every contract should be based on a definitive written specification that describes the Council’s requirements. The specification should include: The standards of performance or quality expected. The duration and/or dates of the contract. The task(s), volumes and frequency required. The level of input, time and resources required, or the outputs/outcomes required. 13.2 The specification must state any relevant British, European or international standards, which apply to the subject matter of the contract. These must include those standards, which are necessary to describe the required quality. 14 Selection Criteria 14.1 All Economic Operators will be required to demonstrate their ability to meet the Council’s minimum standards (known as ‘selection criteria’) of economic and financial standing, and technical or professional ability. Only standards which are linked to the subject matter of the contract may be included as minimum standards. Scoring and weighting of short-listing criteria must have been determined in advance, and must be disclosed to all Economic Operators. 14.2 This selection criteria (minimum standards) is included in the Council’s Pre-Qualification Questionnaire (PQQ) which can be found in the Commissioning and Procurement Manual of Guidance. 14.3 In a one stage process the PQQ will be sent out with the Invitation to Tender (ITT). 14.4 Under a two stage process the selection criteria which are in the Pre- Qualification Questionnaire (PQQ) will be sent out first and then assessed to produce a shortlist of Economic Operators who will then be sent an ITT which includes the award criteria. 15 Evaluation and Award Criteria 15.1 The evaluation stage is where the actual tender submissions are evaluated against predetermined award criteria. The award criteria and any sub-criteria and weightings must be determined in advance and disclosed in the tender advertisement or the ITT document. 15.2 This evaluation and award criteria will form part of the ITT in both the one and two stage process. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 191 15.3 Under a one stage process the PQQ (selection criteria) and ITT (award criteria) will both be sent out to all Economic Operators who express an interest in the tender. The Council will, in the first instance, assess the Economic Operators ability to meet the Council’s minimum standards (selection criteria) and only those Economic Operators that meet the required minimum standards will proceed to have their tender submission evaluated against the award criteria. 15.4 The award of any contract as an outcome of the evaluation of a quotation or tender should reflect value for money and the most economical use of resources in furtherance of the Council’s corporate priorities. 15.5 The method used to achieve this outcome can be an evaluation using either: The most economically advantageous tender (MEAT) to the Council. The lowest compliant price (taking into account all considerations within the specification eg whole life costs). 15.6 The method of evaluation must be made clear in the ITT documentation. Further to this, where MEAT is selected, the individual criteria must also be included in the tender documentation. 15.7 Where MEAT is chosen, the individual criteria must be translated into a formal tender evaluation methodology, which must be finalised prior to the tender process commencing. 16 Invitation to Tender (ITT) and Issue of Documents 16.1 The ITT shall state that no tender will be considered unless it is received in the manner and by the date and time stipulated in the ITT. The ITT should be issued using the Council’s standard document templates (available under the “Procurement” tab on the intranet). 16.2 All ITTs shall include the following: A specification that describes the Council’s requirements in sufficient detail to enable the submission of competitive bids. Award criteria and in a one stage process the PQQ (selection criteria) The terms and condition of contract that will apply. A requirement for Economic Operators to declare that the tender content, price or any other figure or particulars concerning the tender have not been disclosed by the Economic Operators to any other party (except where such a disclosure is made in confidence for a necessary purpose). A requirement for Economic Operators to complete fully and sign all tender documents including a form of tender and certificates relating to canvassing and noncollusion. A requirement for Economic Operators to acknowledge the Council’s Statement of Counter Fraud Policy see Rule 46. Notification that tenders are submitted to the Council on the basis that they are compiled at the Economic Operators’ expense. Notification that no tender will be considered unless it is submitted in the required format as stipulated in the tender documents. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 192 16.3 All Economic Operators invited to tender must be issued with the same information at the same time and subject to the same conditions. Any supplementary information must be given on the same basis. 16.4 The ITT, along with the PQQ, should be issued upon request in the one stage process or in the two stage process to the successful Economic Operators following the evaluation of PQQs against the published selection criteria. 16.5 Economic Operators must be given an adequate period in which to prepare and submit a proper tender, consistent with the complexity of the contract requirement. A minimum of two weeks should be allowed for submission of tenders. 16.6 The ITT must state that the Council is not bound to accept any tender. 17 Advertising 17.1 Advertisements can be used to generate expressions of interest, in the case of the two stage (restricted) procedure, or requests for ITT documents in the case of the one stage (open) procedure. 17.2 As a minimum, advertisement should be placed on/in: 17.3 The Council’s website or portal website specifically created for contract advertisements; and/or Supplier and Contract Management Systems (SCMS) website. Examples of where additional advertisements could be placed include: National official journals. The local press. 18 Receipt and Opening of Tenders 18.1 All tenders must be returned to the Chief Executive. 18.2 Tenders must be submitted using the correct address label and the tender package must not make any reference to the Economic Operator or their agent. Tenders which are not submitted in accordance with these requirement will be rejected. 18.3 Tenders delivered in contravention of the method stated in the ITT will not be considered. Late Tenders may be accepted in exceptional circumstances if the other tenders received have not been opened and only following agreement of the Head of Legal and Democratic Services. 18.4 The names of Economic Operators must not be disclosed to any staff involved in the receipt, custody or opening of tenders. 18.5 The Chief Executive shall be responsible for the safekeeping of tenders until the appointed time of opening. Each tender must be: Protected immediately on receipt to guard against amendment of its contents. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 193 Recorded immediately on receipt in the Tender Record Log so as to subsequently verify the date and precise time it was received. 18.6 The Chief Executive must ensure that all tenders are opened at the same time when the period for their submission has ended. Tenders must be opened in the presence of two nominated officers, one of whom must be independent from the procurement exercise. 18.7 Upon opening the name and tender sum should be recorded on the Tender Record Log where appropriate. This must then be initialled by the two nominated officers above. 18.8 Tenders received by fax or other electronic means (eg e-mail) must be rejected, unless it is via the SCMS or they have been sought in accordance with any other form of electronic tendering system which has been approved by the Head of Legal and Democratic Services before use. Details of how to use SCMS can be found in the Commissioning and Procurement Manual of Guidance. 18.9 Whilst the Chief Executive has these overarching responsibilities he may delegate the practical functions of these to a named officer. 19 Evaluation of Tenders 19.1 The award criteria and method of evaluation must be determined and documented before tenders are issued (see Rule 15) and must be followed. 20 Correction of Tenders If an opened tender is found to contain a pricing error (eg an arithmetical error) against a specific item, the tenderer must be offered the following three options: to confirm the tender; or to withdraw the tender; or to amend the tender to correct the relevant errors only. 21 Acceptance of Tender and Award of Contract 21.1 Tenders received may only be accepted, provided they have been sought and evaluated fully in accordance with these CPRs and approved by a Decision Record in accordance with the Scheme of Delegation. 21.2 In all cases the successful tender should be accepted in writing by means of a formal Letter of Acceptance (using the standard letter template) or by issuing a formal purchase order (see Finance Manual of Guidance). In all cases this should make reference to the terms and conditions of contract under which the contract is being awarded. 22 Debriefing Economic Operators If an Economic Operator requests in writing the reasons for a contract award, the reasons must be given in writing using the standard template letter. This shall include the relative characteristics and advantages of the leading bidder and how the selection and award criteria were applied. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 194 Flowchart 4: Procurement Route Above £30,000 to EU Threshold (One Stage Process)s Suggested Timescales Identify your need and ensure the budget is available and business case are approved including a detailed specification, selection and award criteria (developed using templates in Commissioning and Procurement Manual of Guidance) and authority obtained to proceed is received. A project team should also be established if appropriate.. Is pre-existing arrangement available for requirements? Yes Use pre-existing arrangement No Place advert in accordance with the CPRs Allow minimum of 2 weeks for tender submission from placement of advert Issue PQQ and ITT to Economic Operators who express an interest. Submitted tenders to be recorded and retained by the Chief Executive in accordance with these CPRs until the closing date Tenders opened in accordance with these CPRs after the closing date Appraisal of Economic Operators and evaluation of tenders in accordance with published selection and award criteria. Approval to award contract sought and obtained via a Decision Record process in accordance with the Scheme of Delegation Award contract via issue of formal purchase order or formal acceptance letter in accordance with scheme of delegation. Ensure contract register updated. Allow sufficient roll out time/lead in time Commence contract and ensure contract management provision is in place Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 195 Flowchart 5: Procurement Route Above £30,000 to £EU Threshold (Two Stage Process) Identify your need and ensure the budget is available and business case are approved including a detailed specification, selection and award criteria (developed using templates in procurement manual) and authority obtained to proceed is received? A project team should also be established if appropriate. Suggested Timescales Yes Is pre-existing arrangement available for requirements? Use pre-existing arrangement No Place advert requesting expressions of interest in accordance with the CPRs and issue PQQs to Economic Operators Submitted PQQs should be recorded and retained in accordance with these CPRs until the closing date, after which they can be opened in accordance with these CPRs Allow minimum of 2 weeks for PQQ submission from placement of advert Appraisal of Economic Operators in accordance with published selection criteria Allow minimum of 2 weeks for tender submission weeks Issue ITT to successful Economic Operators. Submitted tenders to be recorded and retained by the Chief Executive in accordance with these CPRs until the closing date Tenders opened in accordance with these CPRs after the closing date Evaluation of tenders in accordance with published award criteria Approval to award contract sought and obtained via a Decision Record process in accordance with the Scheme of Delegation Award contract via issue of formal purchase order or formal acceptance letter in accordance with scheme of delegation. Ensure contract register updated. Commence contract and ensure contract management provision is in place Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) Allow sufficient roll out time/lead in time 196 23 Procurement Route Above EU Threshold 23.1 In line with the EU procurement legislation, there are a range of procurement processes available for tenders over EU Threshold. The ones most appropriate to the Council are listed below: 1 2 23.2 Open Procedure - one stage. Restricted Procedure - two stage (an accelerated version of this procedure may be available in extreme circumstances - contact the Procurement Services for further information). Other less common procedures available include: 1 2 3 Negotiated Procedure (in all circumstances the use of the Negotiated Procedure must be approved by the Head of Legal and Democratic Services). Competitive Dialogue (in all circumstances the use of the Competitive Dialogue Procedure must be approved by Head of Legal and Democratic Services). E-auctions (it should be noted that e-auctions are a tool that can be used if appropriate as one of the final processes of a procurement exercise and it is not a ‘stand-alone’ procurement procedure). 23.3 A Prior Information Notice (PIN) which sets out our future intention to advertise contracts should be issued in the Official Journal of the European Union where appropriate. This allows for reduced timescales in the tender process which are shown in the table at Rule 28.5. Please contact the Procurement Service or refer to the Commissioning and Procurement Manual of Guidance. 24 Specification and Standards 24.1 Every contract should be based on a definitive written specification that describes the Council’s requirements. The specification should include: The standards of performance or quality expected. The duration and/or dates of the contract. The task(s), volumes and frequency required. The level of input, time and resources required, or the outputs required. 24.2 The specification must state any relevant British, European or international standards, which apply to the subject matter of the contract. These must include those standards, which are necessary to describe the required quality. 25 Selection Criteria 25.1 All Economic Operators will be required to demonstrate their ability to meet the Council’s minimum standards (known as ‘selection criteria’) of economic and financial standing, and technical or professional ability. Only standards which are linked to the subject matter of the contract may be included as minimum standards. Under EU legislation there are also additional mandatory grounds for exclusion which must be included in the selection criteria. Scoring and weighting of short-listing criteria must have been determined in advance, and must be disclosed to all Economic Operators. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 197 25.2 The selection criteria (minimum standards and mandatory ground for exclusion) are included in the Council’s PQQ which can be found in the Commissioning and Procurement Manual of Guidance. 25.3 In an Open Procedure (one stage process) the PQQ will be sent out with the ITT. 25.4 Under a Restricted Procedure (two stage process) the selection criteria which are in the PQQ will be sent out first and then assessed to produce a shortlist of Economic Operators who will then be sent a formal ITT which includes the award criteria. Ideally, for the Restricted Procedure, a minimum of five economic operators will be short listed to tender. 26 Evaluation and Award Criteria 26.1 The evaluation stage is where the actual tender submissions are evaluated against predetermined award criteria. The award criteria and any sub-criteria and weightings must be determined in advance and disclosed in the contract notice (advertisement) or the ITT document. 26.2 This evaluation and award criteria will form part of the ITT in both the Open (one stage) and Restricted (two stage) Procedure. 26.3 Under the Open Procedure (one stage process) the PQQ (selection criteria) and ITT (award criteria) will both be sent out to all Economic Operators who express an interest in the tender. The Council will, in the first instance, assess the Economic Operators’ ability to meet the Council’s minimum standards (selection criteria) and only those Economic Operators that meet the required minimum standards will proceed to have their tender submission evaluated against the award criteria. 26.4 The award of any contract as an outcome of the evaluation of a quotation or Tender should reflect value for money and the most economical use of resources in furtherance of the Council’s Corporate Priorities. 26.5 The method used to achieve this outcome can be an evaluation using either: The most economically advantageous tender (MEAT) to the Council. The lowest compliant price (taking into account all considerations within the specification, eg whole life costs). 26.6 The method of evaluation must be made clear in the ITT documentation. Further to this, where MEAT is selected, the individual criteria must also be included in the ITT documentation. 26.7 Where MEAT is chosen, the individual criteria must be translated into a formal tender evaluation methodology, which must be finalised prior to the tender process commencing. 27 Invitation to Tender (ITT) and Issue of Documents 27.1 The ITT shall state that no tender will be considered unless it is received in the manner and by the date and time stipulated in the ITT. The ITT should be issued using the Council’s standard document template. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 198 27.2 All ITTs shall include the following: A specification that describes the Council’s requirements in sufficient detail to enable the submission of competitive offers. Award criteria, and in the open procedure the PQQ (selection criteria) The terms and conditions of contract that will apply. A requirement for Economic Operators to declare that the tender content, price or any other figure or particulars concerning the tender have not been disclosed by the Economic Operators to any other party (except where such a disclosure is made in confidence for a necessary purpose). A requirement for Economic Operators to complete fully and sign all tender documents including a form of tender and certificates relating to canvassing and noncollusion. A requirement for Economic Operators to acknowledge the Council’s Statement of Counter Fraud Policy see Rule 46. Notification that tenders are submitted to the Council on the basis that they are compiled at the Economic Operators’ expense. Notification that no tender will be considered unless it is submitted in the required format as stipulated in the tender documents. 27.3 All Economic Operators invited to tender must be issued with the same information at the same time and subject to the same conditions. Any supplementary information must be given on the same basis. 27.4 The ITT, along with the PQQ, should be issued upon request in the open procedure or in the restricted procedure to the successful Economic Operators following the evaluation of PQQs against the published selection criteria. 27.5 Economic Operators must be given the mandatory timescales, as stated in the EU procurement legislation, to prepare and submit a proper tender, consistent with the complexity of the contract and which are set out in Rule 28. 27.6 The ITT must state that the Council is not bound to accept any Tender 28 Advertising 28.1 Advertisements are used to generate expressions of interest, in the case of the Restricted Procedure, or requests for ITT documents in the case of the Open Procedure. 28.2 All procurements over the EU Threshold must be advertised by publishing a contract notice in the Official Journal of the European Union (OJEU), except Part B services for which it is optional. 28.3 Prior to a contract notice being placed in the OJEU, advice should be sought from Procurement Services and Legal and Democratic Services. 28.4 No advertisement should be placed in any other publication or format prior to the OJEU contract notice being published. It is also important to note that only information published in the OJEU contract notice can be included in any subsequent advertisements placed Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 199 28.5 The mandatory timescales, as defined in the EU procurement legislation, for procurement procedures for supplies, works, Part A services and framework agreements above the EU Threshold are as follows: Procurement Procedure Open Open Restricted Restricted PIN Issued Yes No Yes No Expressions of Interest No No 37 37 Days Tender Response 52 36 40 36 Document made available online 47 31 35 31 28.6 Timescales for Part B services should allow a minimum of two weeks for submission of tenders. 28.7 Adverts for Part A or B services additional to the OJEU contract notice should comply with Rule 17 above. 29 Receipt and Opening of Tenders 29.1 All tenders must be returned to the Chief Executive. 29.2 Tenders must be submitted using the correct address label and the tender package must not make any reference to the Economic Operator or their agent. tenders which are not submitted in accordance with these requirement will be rejected. 29.3 Tenders delivered in contravention of the method stated in the ITT will not be considered. Late Tenders may be accepted in exceptional circumstances if the other tenders received have not been opened and only following agreement of the Head of Legal and Democratic Services. 29.4 The names of Economic Operators must not be disclosed to any staff involved in the receipt, custody or opening of tenders. 29.5 The Chief Executive shall be responsible for the safekeeping of tenders until the appointed time of opening. Each tender must be: Recorded so as to subsequently verify the date and precise time it was received. Protected immediately on receipt to guard against amendment of its contents. Recorded immediately on receipt in the Tender Record Log. 29.6 The Chief Executive must ensure that all tenders are opened at the same time when the period for their submission has ended. Tenders must be opened in the presence of two nominated officers, one of whom must be independent from the procurement exercise. 29.7 Upon opening the name and tender sum should be recorded on the tender record log where appropriate. This must then be initialled by the two nominated officers above. 29.8 Tenders received by fax or other electronic means (eg e-mail) must be rejected, unless it is via the SCMS or they have been sought in accordance with any other form of electronic tendering system which has been approved by the Head of Legal and Democratic Services before use. Details of how to use SCMS can be found in the Commissioning and Procurement Manual of Guidance. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 200 29.9 Whilst the Chief Executive has these overarching responsibilities he may delegate the practical functions of these to a named officer. 30 Evaluation of Tenders The award criteria and method of evaluation must be determined and documented before tenders are issued (see Rule 26) and must be followed. 31. Correction of Tenders 31.1 If an opened tender is found to contain a pricing error (eg an arithmetical error) against a specific item the tenderer must be offered the following three options: To confirm the tender; or To withdraw the tender; or To amend the tender to correct the relevant errors only. 32 Tender Clarification 32.1 Post-Tender Clarifications with Economic Operators after submission of a tender and before the award of a Contract are permitted only in accordance with the EU procurement legislation. 32.2 Post-tender negotiations are only permitted under the EU Competitive Dialogue Procedure or the EU Negotiated Procedure. 32.3 All clarifications should be fully documented. 33 Acceptance of Tender and Award of Contract 33.1 All contracts and framework agreements that exceed the EU Threshold must be approved by The Cabinet and must allow time for the call in of Cabinet reports before acceptance of tenders and award of contract. 33.2 All Economic Operators must be notified simultaneously as soon as possible of the intention to award the Contract to the successful Economic Operator in accordance with the Council’s standard template letter. This allows unsuccessful Economic Operators a period of at least ten days if electronic media or otherwise 15 days in which to challenge the decision before the contract is awarded. If the decision is challenged by an unsuccessful Economic Operator then the contract cannot be awarded and advice should be immediately sought from Legal and Democratic Services. 33.3 In all cases the successful tender should be concluded by means of a formal purchase order or formal contract, (see Rule 39) 34 Debriefing Economic Operators 34.1 If an Economic Operator requests in writing the reasons for a contract award, the reasons must be given in writing using the standard template letter within 15 days of the request. This shall include the relative characteristics and advantages of the leading bidder and how the selection and award criteria were applied. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 201 34.2 The consequences of a response could have serious implications for the Council and Legal and Democratic Services should be consulted in all cases. 35 Contract Award Notice A contract award notice must be published in the Official Journal of the European Union (OJEU), no later than 48 days after the award of a contract or the conclusion of a framework agreement. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 202 Flowchart 6: Contracts over EU Threshold (Open Procedure) Mandatory Timescales * Minimum of 36 days if prior information notices have been issued for works, supplies or services provided the PIN appeared at least 52 days and not more than 12 months before the date of despatch of the Contract Notice. For electronic notices (in the SIMAP format) timescales for open procedure ‘tender receipt’ and ‘requests to participate’ in other procedures may be reduced by 7 days For electronic access to all contract documentation, timescales for open and restricted procedure ‘tender receipt’ may be reduced by 5 days Suggested Timescales Identify your need and ensure the budget is available and business case are approved including a detailed specification, selection and award criteria (developed using templates in procurement manual) and authority obtained to proceed is received. A project team should also be established if appropriate Is pre-existing arrangement available for requirements? Yes Use pre-existing arrangement No Place adverts in accordance with the CPRs which should include the selection and award criteria unless this is to be included in the ITT. Minimum 52 Calendar Days or 36 Days if published in a PIN* Allow minimum of 2 weeks Issue ITT to potential Economic Operators who have expressed an interest. Submitted tenders to be recorded and retained by the Chief Executive in accordance with these CPRs until the closing date Maximum of 6 Days to supply potential Economic Operators with ITT Tenders opened in accordance with these CPRs after the closing date Appraisal of Economic Operators and evaluation of tenders in accordance with published selection and award criteria Allow minimum of 2 weeks Approval to award contract sought and obtained via a cabinet report Allow at least 10 calendar days for standstill period Notify tenderers of intention to award contract. Allow required standstill period Allow minimum of 1 month Issue formal contract award in accordance with scheme of delegation. Maximum 48 calendar days Send contract award notice to OJEU Commence Contract and ensure contract management provision is in place Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 203 Allow sufficient roll out time/lead in time Flowchart 7: Contracts over EU Threshold (Restricted Procedure) Mandatory Timescales * Minimum of 36 days if prior information notices have been issued for works, supplies or services provided the PIN appeared at least 52 days and not more than 12 months before the date of despatch of the Contract Notice. For Electronic notices (in the SIMAP format) timescales for open procedure ‘tender receipt’ and ‘requests to participate’ in other procedures may be reduced by 7 days For electronic access to all contract documentation, timescales for open and restricted procedure ‘tender receipt’ may be reduced by 5 days Minimum 37 Calendar Days Identify your need and ensure the budget is available and business case are approved including a detailed specification, selection and award criteria (developed using templates in procurement manual) and authority obtained to proceed is received. A project team should also be established if appropriate. Suggested Timescales Yes Is pre-existing arrangement available for requirements? Use pre-existing arrangement No Place adverts requesting expressions of interest in accordance with the CPRs which should include the selection and award criteria unless this is to be included in the ITT. Issue PQQ to Economic Operators who express an interest Allow minimum of 2 weeks Submitted PQQs to be recorded and retained by the Chief Executive in accordance with these CPRs until the closing date PQQs opened in accordance with these CPRs after the closing date Appraisal of Economic Operators in accordance with published selection criteria Issue ITT to short listed Economic Operators. (Minimum of 5 Economic Operators) Minimum 40 Calendar Days or 36 Days if published in a PIN* Allow at least 10 calendar days for standstill period Allow minimum of 2 weeks Submitted tenders to be recorded and retained by the Chief Executive in accordance with these CPRs until the closing date Tenders opened in accordance with these CPRs after the closing date Evaluation of tenders in accordance with published award criteria Allow minimum of 2 weeks Approval to award contract sought and obtained via a cabinet report Allow minimum of 1 month Notify tenderers of intention to award contract. Allow required standstill period Issue formal contract award in accordance with scheme of delegation. Maximum 48 calendar days Send contract award notice to OJEU Commence Contract and ensure contract management provision is in place Democrat_CR\Constitution\Constitution_aug15.doc (dh/zlm) 204 Allow sufficient roll out time/lead in time 36 Corporate Contracts Where the Council has a corporately procured contract in place for any supplies services and works then use of that contract is mandatory and no other procurement is permitted 37 Framework Agreements 37.1 A framework agreement is a general term for an agreement which sets out the terms and conditions under which specific purchases (or ‘call offs’) can be made during the period of the agreement and within the estimated value of the agreement. (These historically may have also been known as approved lists, standing lists or preferred providers). 37.2 Framework agreements may be used where recurrent transactions of a similar type are likely but where such transactions need to be priced individually and cannot easily be aggregated and priced in a single tender exercise. 37.3 The term of a framework agreement must not normally exceed four years and, while an agreement may be entered into with one Economic Operator, where an agreement is concluded with more than one Economic Operator, there must be at least three in number (wherever possible). 37.4 All framework agreements must be awarded in accordance with these CPRs and scheme of delegation. 37.5 Any call-off contract established under a framework agreement must be awarded by either: Applying the terms laid down in the framework agreement (where such terms are sufficiently precise to cover the particular call-off) without re-opening competition; Where the terms laid down in the framework agreement are not precise enough or complete for the particular call-off, by holding a mini-competition in accordance with the terms stated in the framework agreement including the mechanics of tendering and specified award criteria; Where the terms laid down in the framework agreement are not precise enough or complete for the particular call-off by: 7.6 Inviting all the Economic Operators within the framework agreement that are capable of executing the subject of the contract to submit written tenders or quotations. Fixing a time limit, which is sufficiently long to allow tenders or quotations, for each specific contract to be submitted, taking into account factors such as the complexity of the subject of the contract. Awarding each contract to the Economic Operator who has submitted the best tender or quotation on the basis of the award criteria set out in the terms of the original framework agreement. All call off contracts can be approved by officers with delegated authority to initiate procurement provided it is within their authorised limit and providing the estimated value of the framework agreement has not been exceeded. Where a call off contract causes the estimated value of the framework agreement to be exceeded, such call offs Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 205 may only be approved in accordance with the scheme of delegation for the award of contracts. 38 Purchasing Consortia, External Frameworks and Collaboration 38.1 Where contracts and framework agreements have been or are to be awarded externally by other local authorities or local authority purchasing consortia, these may be used provided that the requirements of EU legislation, these CPRs and value for money considerations have been taken into account. 38.2 The use of any external framework agreement or contract must have the prior approval of the Director of Corporate Resources before it can be used. Such approval must be notified to the Procurement Services and noted on the Corporate Contract Register. 38.3 As part of the prior approval process appropriate due diligence must be carried out on an external Framework Agreement or external Contract to the satisfaction of the Director of Corporate Resources. 38.4 The terms of such framework arrangements (including any mini-competition requirements) and the appropriate contract award processes must be followed as set out in Rules 10.4, 11.7, 21 and 33 (dependent upon value). 38.5 If this Council is taking the lead in putting a consortium contract in place this must follow these CPRs. 39 Contracts 39.1 All contracts must be in writing or in electronic form capable of providing a permanent record in writing and in a form approved by the Head of Legal and Democratic Services. The contracts must be concluded formally before the supply, services or works commence, except in exceptional circumstances, and then only with the prior written consent of the Head of Legal and Democratic Services. 39.2 All contracts, irrespective of value shall clearly specify: A specification for what is to be supplied (ie the works, supplies, services). The contract value and the provisions and frequency for payments. The time, or times, within which the contract is to be performed. The provisions for the Council to terminate the contract as appropriate. 39.3 The Council’s purchase order form, standard contract template, or specialist standard contracts issued by a relevant professional body (subject to the approval of the Head of Legal and Democratic Services), must be used wherever possible. Where contracts exceed £30,000, additional terms and conditions may be required. 39.4 Where agents are used to let contracts, the agents must comply with the Council’s CPRs. (The appointment of these agents themselves must comply with these CPRs). 39.5 For contracts other than works, the Economic Operator may not assign or sub-contract without prior written consent. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 206 39.6 Formal advice of the Head of Legal and Democratic Services must be sought for the following contracts: Those involving operating or finance leasing arrangements. Where it is proposed to use an Economic Operator’s own terms and conditions of contract. Those that are complex in any other way or where risks have been assessed as high. 39.7 All contracts and purchase orders shall be completed in accordance with these CPRs; the Scheme of Delegation; and signed by an authorised signatory. 39.8 The Head of Legal and Democratic Services must be consulted as to whether a contract should be formally sealed. [see Rule 39.10]. 39.9 The seal must not be affixed without the authority of The Cabinet, a Committee, or a Director acting under the scheme of delegation. 39.10 A contract must be sealed where: The Council may wish to enforce the contract more than six years after its end. The price paid or received under the contract is a nominal price and does not reflect the value of the goods or services. There is any doubt about the authority of the person signing for the Economic Operator. It is required under an approved relevant protocol for construction works. 39.11 The standard period for suing under contract law in respect of contractual arrangements is ordinarily limited to six years; this period may be extended to 12 years where a contract is made under Seal. 40 Bonds and Parent Company Guarantees 40.1 The Head of Finance must be consulted about whether a bond or parent company guarantee (if applicable) is required where: The value of the contract exceeds £2m or the contract is assessed as high risk for the Council. A risk assessment of the Economic Operator raises concerns that could be mitigated by a bond or parent company guarantee. Payments will be made in advance to the Economic Operator. 40.2 Where the contract is for works then a bond or parent company guarantee should be sought in accordance the relevant approved protocol. 41 Variations to Contracts 41.1 All contract variations must be carried out within the scope of the original contract. Contract variations that materially affect or change the scope of the original contract are not permitted. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 207 41.2 All contract variations must be in writing and signed by both the Council and the Economic Operator except where different provisions are made within the contract documentation. 42 Termination of Contract Early termination of any contract must be in accordance with the terms and conditions of the contract. Advice should be sought from the Head of Legal and Democratic Services prior to termination. 43 Contract Register 43.1 For all contract awards, decision record forms containing details of the contract must be sent to Procurement Services along with the Contract and Supplier Information Form pro-forma for inclusion in the corporate procurement Contract Register. For contract awards over the EU Threshold Cabinet reports approving the award must also be sent to Procurement Services. 43.2 Details of corporate contracts can be found on the intranet to assist with checking that no corporate contract exists as part of the pre commissioning and procurement procedure. 43.3 Details of all contracts containing leasing arrangements should also be notified to Finance in accordance with the Commissioning and Procurement Manual of Guidance and Finance Manual of Guidance. 44 Contract Management 44.1 All contracts and frameworks arrangements valued over £2,000 must have a designated officer to manage the contract, whose responsibilities include: Monitoring performance of the Economic Operator against the agreed specification. Monitoring the continuing level of operational and financial risk (including the risk of fraud) to which the Council may be exposed. Facilitating the resolution of issues between the Council and the Economic Operator. Monitoring the prompt settlement of invoices / payments correctly and properly submitted by the Economic Operator in accordance with the contract. 44.2 The contract management will be for the whole life of the contract or framework arrangement. 44.3 Where there is an option to extend the existing contract, the following must be demonstrated prior to exercising such an option: That the Economic Operator’s performance prior to the commencement of the extension has been satisfactory. An extension is the most economic advantageous option 45 Records and Retention 45.1 Clear and comprehensive records of all procurement activity must be completed and retained in accordance with the Council guidance on retention of documents to ensure Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 208 that the process is transparent and robust. This is to provide a clear audit trail which may be used as evidence should a legal challenge occur or be the subject of an internal or external audit examination or investigation. 45.2 Amongst the records retained, the original signed copy of the contract must be retained with the rest of the procurement documents. 45.3 All documents should be stored in accordance with the Council’s approved document retention policy, prevailing at the relevant time. 45.4 Copies of all contracts signed under seal must be retained by Legal and Democratic Services. 46 Prevention of Corruption and Declaration of Interests 46.1 Officers and members must comply with the Code of Conduct for employees and members respectively and the Council’s gifts and hospitality policy. Officers and members must not invite or accept any gift or reward in respect of the award or performance of any contract. 46.2 All relationships of a business or private nature with external Economic Operators, or potential Economic Operators, should be declared to the Director of Corporate Resources who maintains a record of all declarations of interests notified by members and officers. 46.3 Orders and contracts must be awarded on merit, by fair competition against other tenders, and no special favour should be shown to Economic Operators run by, for example, friends, partners or relatives of Council officers or members. 46.4 Employees who engage or supervise Economic Operators or have any other official relationship with Economic Operators and have previously had or currently have a relationship in a private or domestic capacity with Economic Operators, should declare that relationship to the Director of Corporate Resources who maintains a record of all declarations of interests notified by members and officers. 46.5 If an officer has concerns of corruption they should report these in accordance with the Council’s fraud response plan. Any gifts or hospitality received should be fully recorded in accordance with the Council’s Gifts and Hospitality Policy. 46.6 The standard clause regarding “cartels, bribery, fraud and corruption should be included in all contracts as set out in the Commissioning and Procurement Manual of Guidance. 47 Receipt of External Funding 47.1 Commissioning and procurement exercises funded by grants from external bodies, where the Council is the accountable body named in the grant approval document, must comply with these CPRs and the grant conditions. 47.2 Also, if the Council is lead procurer in relation to a commissioning and procurement exercise funded by a grant for which it is not the accountable body, then these CPRs should still be complied with along with the grant conditions. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 209 48 Exclusions to CPRs 48.1 The only exclusions to these CPRs are those permitted under EU procurement legislation, and any subsequent amendments, which include the following exclusions: 48.1.1 Full Exclusion Contracts for the acquisition or disposal of land and/or property. Contracts of employment (although not contracts for services purchased from employment agencies, appointing consultancy services and recruitment advertising). 48.1.2 Partial Exclusion Where the nature of the contract is urgent and required to maintain and ensure efficient and continuous delivery of the Council’s services. The EU definition of ‘emergency’ or ‘urgent’ which applies to these CPRs describes ‘urgency’ as ‘brought about by events unforeseeable by, and not attributable to’ the Council. Examples, but not limited to, include important urgent repairs that are necessitated by breakdown to, or other failure of buildings, plant, appliances, machinery or ICT equipment or software, or failure of an existing Economic Operator and natural disasters. The application of this exclusion is always subject to compliance with the EU legislation where they apply. Where there is no market or competition for the proposed contract, ie sole supplier (evidence must be retained to demonstrate this). Where the Council is operating as a partner in any joint arrangement with other outside bodies then where another council or other competent authority or body is taking the lead in procuring on behalf of the partnership or consortium then these CPRs may be subordinated to those of the lead council or authority subject to the written agreement of the Head of Legal and Democratic Services. Where otherwise permitted under the EU legislation eg for technical and artistic reasons. More detail of these is included in the manual of guidance. 48.1.3 The above are not required to follow the procurement routes described in Rule 9, but in all other respects must comply with these CPRs. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 210 49 Exclusion Reports 49.1 An exclusion report is not required for the areas identified as full exclusions at Rule 48.1.1 above. 49.2 Where the requirement for supplies, works or services meets the criteria for partial exclusions, as identified in Rule 48.1.2 above, the corporate exclusion report template must be completed and approved prior to the procurement exercise commencing, in accordance with the approval chain below. Value of Procurement Exercise Approval Chain Above £2,000 to £30,000 (inclusive) Head of Service Above £30,000 to EU Threshold Head of Service & Director of Service Above EU Threshold Head of Service, Director of Service, Director of Corporate Resources prior to submission for Cabinet approval. 49.3 Where the report relates to an urgent contract, as defined above under the first bullet point of Rule 48.1.2, and approval cannot be obtained prior to the procurement exercise commencing, then retrospective approval must be obtained as soon as possible. 49.4 Supporting evidence must be attached to each exclusion report. 49.5 No exclusion report should be approved that would contravene EU legislation 50 Where to Obtain Further Guidance, Information and Templates 50.1 The Commissioning and Procurement Manual of Guidance has been produced to assist those conducting any procurement activity. The manual contains a number of generic templates that can be used and adapted to suit individual needs. The manual and templates is available on the Council’s intranet site. Additionally advice can be obtained from other relevant documents which include: Commissioning and Procurement Policy Commissioning and Procurement Strategy Capital Investment and Asset Strategy Value for Money Strategy Risk Management Strategy Finance Procedure Rules Financial Manual of Guidance Joints Strategic Needs Analysis Children’s Services Commissioning Strategy Learning Disability Commissioning Strategy Environmental Management Policy Equalities Policy Voluntary Sector Compact Regeneration Strategy Small and Medium Enterprise Concordat Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 211 51 Contact Information 51.1 Officers within each directorate have been appointed as procurement link officers (and attend the Procurement Working Group) and should be the initial point of contact for advice and guidance. Their details are included in the Commissioning and Procurement Manual of Guidance and are available on the intranet. Democrat_CR\Constitution\Constitu_aug15.doc (dh/zlm) 212 Appendix 1 - Definitions Term Award Criteria Corporate Contract Register Economic Operator High Risk Key Decision Services Scheme of Delegation Supply Selection Criteria TUPE Value for Money Works Definition The criteria by which the quotation or tender is evaluated and the contract awarded. A central record of contracts, awarded in accordance with these Contract procedure rules, maintained by Procurement Services. Any person, supplier, contractor, consultant or service provider who asks or is invited to submit a quotation or tender. A high-risk purchase is one, which presents the potential for substantial exposures on the Council’s part should it fail or go wrong. Any decision which falls under one or more of the following definitions: Any decision relating to the approval of or variation to the Council’s policy framework or budget which is reserved in the Council’s Constitution for determination by Full Council on a recommendation from The Cabinet (any recommended to Council item), or Any decision made by The Cabinet in the course of developing proposals to the Full Council to amend the Policy Framework. This includes decisions made to amend draft policies for the purposes of consultation, or Any decision which will result in income, expenditure or savings with a gross full year effect of £500,000 or greater whether or not the item has been included in the relevant approved budget with the exception of expenditure which is required for the day to day provision of services (eg day to day supplies, payment of energy bills, etc.), or Any decision which is likely to have a significant impact on people living or working in communities in two or more wards with the exception of decisions that involve two or more wards simply because of the carrying out of a programme of works. Contract in writing for the provision of services The authority delegated to officers as defined in the Constitution. Contract for the purchase, hire or lease of goods including, if relevant, their installation. The criteria by which the Economic Operators are assessed as part of the tender process. Transfer of Undertakings (Protection of Employment) Regulations 2006 (SI 2006 No. 246) as amended. Value for money is not the lowest possible price; in the process of acquiring supplies, services or works it combines ensuring specified needs are fully meet, with the level of quality required, delivery at the time needed and at an appropriate price. Contracts that relate to general construction works. For detailed guidance see the Public Contract Regulations 2006. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 213 OFFICER EMPLOYMENT PROCEDURE RULES 1 Recruitment and Appointment (a) (b) 2 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 Councillor or officer of the Council; or of the partner of such persons. (ii) No candidate so related to a Councillor or an officer will be appointed without the authority of the relevant Director or an officer nominated by him. Seeking support for appointment (i) The Council will disqualify any applicant who directly or indirectly seeks the support of any Councillor for any appointment within the Council. The content of this paragraph will be included in any recruitment information. (ii) No Councillor will seek support for any person for any appointment with the Council. (iii) Nothing in paragraphs (i) and (ii) above will preclude a Councillor from giving a written reference for a candidate for submission with an application for appointment. Recruitment of Head of Paid Service and Directors Where the Council proposes to appoint a Director and it is not proposed that the appointment will be made exclusively from among their existing officers, the Council will:(a) 3 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. (b) make arrangements for the post to be advertised in such a way as is likely to bring it to the attention of persons who are qualified to apply for it, and (c) make arrangements for a copy of the statement mentioned in paragraph (a) to be sent to any person on request. Appointment of Head of Paid Service (a) The Full Council will appoint the Chief Executive (Head of Paid Service). Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 214 (b) 4 5 6 7 The Full Council may only make the appointment of the Head of Paid Service where no well-founded objection has been made by any Member of The Cabinet. Appointment of Chief Officers (a) The appointment of Directors will be made by an Appointments Committee comprising four Members to include the Leader and Deputy Leader of the Council, the relevant portfolio holder and the Leader of the Labour Group. (b) An offer of employment as a Director shall only be made where no well founded objection has been made by any Member of The Cabinet. Appointment of Heads of Service (a) The appointments of Heads of Service shall be made by an Appointments Committee comprising four Members to be politically balanced. Actual membership will be determined on an ad-hoc basis with the agreement of The Cabinet. Such membership must include at least one Member of The Cabinet. (b) An offer of employment as a Head of Service shall only be made where no wellfounded objection has been made by any Member of The Cabinet. Other Appointments (a) Officers below Head of Service. Appointments of officers below Head of Service (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 Councillors. (b) Political Assistants to Groups. Appointment of a political assistant to a political group shall be made in accordance with the wishes of that political group, in consultation with the Chief Executive. This Council does not employ political assistants. (c) The Council’s Recruitment and Selection Guidelines are shown at Annex A to these rules. Disciplinary Action (a) The Council’s disciplinary policy is shown at Annex B to these rules. (b) Dismissal - The Head of Paid Service, Monitoring Officer (Head of Legal and Democratic Services) and Chief Finance Officer (Head of Finance) may not be dismissed unless the procedure set out below is complied with:(i) The Council must invite Relevant Independent Persons to be considered for appointment to a Panel with a view to appointing at least two persons to such a Panel. (ii) Relevant Independent Persons means any independent person who has been appointed by the Council under Section 28(7) of the Localism Act 2011 or, where there are fewer than two such persons such independent persons as have been appointed to another Council or Councils as the Council considers appropriate. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 215 (iii) Subject to paragraph 4 the Council must appoint to the Panel such Relevant Independent Persons who have accepted an invitation issued in accordance with paragraph 1 in accordance with the following priority order: A relevant independent person who has been appointed by the Council and registered as a local government elector in the register of electors for East Riding of Yorkshire. Any other relevant independent person who has been appointed by the Council. A relevant independent person who has been appointed by another Council or Councils. (iv) The Council is not required to appoint more than two relevant independent persons in accordance with paragraph 3 but may do so. (v) The Council must appoint any Panel at least 20 working days before the meeting of Council which is to consider whether or not to approve a proposal to dismiss the Head of Paid Service Monitoring Officer or Chief Finance Officer as the case may be. (vi) Before the taking of a vote on whether or not to approve a proposal to dismiss Council must take into account: Any advice, views or recommendations of the Panel; The conclusions of any investigation into the proposed dismissal; and Any representations from the officer concerned. (c) Suspension - The Head of Paid Service, Monitoring Officer (Head of Legal and Democratic Services) and Chief Finance Officer (Head of Finance) may be suspended whilst an investigation takes place into alleged misconduct. That suspension will be on full pay and last no longer than two months. (c) Independent Person - No other disciplinary action may be taken in respect of any of those officers except in accordance with a recommendation in a report made by a designated independent person. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 216 8 Dismissal Councillors will not be involved in the dismissal of any officer below Head of Service except where such involvement is necessary for any investigation or inquiry into alleged misconduct. 9 Interest of Officers in Contracts The Director of Corporate Resources shall record in a book, to be kept for the purpose, particulars of any notice given by an officer of the Council of an interest in any contract, and the book shall be open during office hours to the inspection of any Councillor. 10 11 Officers Giving Evidence, etc (a) No employee of the Council who is directly in a more senior position to an appellant, may support another employee of the Council in any internal or external grading appeal. The appellant or his representative will inform the Director of Corporate Resources of the name of any employees intended to be called as witnesses ten days before the hearing. (b) No employee of the Council shall, other than in the normal course of his/her duties, or where required to do so by or on behalf of the Council, give opinion or expert evidence in any action, trial, litigation, dispute, inquiry, prosecution or Parliamentary or other proceedings in which the Council is directly or indirectly concerned. (c) No employee shall disclose any information obtained in his official capacity without the sanction of the Director of Corporate Resources. (d) If an employee intends to give evidence in a personal capacity as to character or other matter, in any action, trial, litigation, prosecution or Parliamentary or other proceedings they shall notify their line manager at least ten days before the date on which they intend to give their evidence and the time involved shall be deducted from their annual leave entitlement. The employee should note that any evidence given within paragraph (b) is contrary to the Constitution and may result in disciplinary proceedings. Leave Officers, other than Directors, shall take their period of leave at such times as the Director considers most convenient but a Director and his deputy shall not be on leave at the same time. No more than four members of Corporate Management Team will be on leave at the same time. 12 Code of Conduct for Employees The Code is shown at Annex C to these rules. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 217 Annex A Recruitment Policy and Procedure Lead Directorate and Service: Effective Date: Date Due for Review: Contact Officer/Number: Approved by: Corporate Resources - Human Resources October 2014 April 2013 HR Help Desk / 391221 The Cabinet 01 Nov 2011 Minute 4306, Full Council 24 November 2011 Minute 1893, CMT: 6.10.14 Min:15966 Recruitment Policy 1 Background and Scope 1.1 This policy applies to all employees of the Council including school-based employees where the respective school governing body has adopted it. 1.2 The policy outlines the Council’s commitment to equality and fair treatment in recruitment, appointment on merit and to a recruitment process that safeguards those children and vulnerable adults for whom it has a duty of care. 1.3 The policy recognises the legal obligations of the Council as an employer under the Equality Act 2006 and 2010, the Part-time Workers (Prevention of Less Favourable Treatment) Regulations 2000 and Human Rights Act 1998 to prevent discrimination against job applicants and ensure that they are not treated less favourably on any of these grounds. 1.4 The policy recognises the legal obligations in safeguarding vulnerable groups under the Police Act 1997, the Rehabilitation of Offenders Act 1974, the Rehabilitation of Offenders Act 1974 (Exceptions) Order 2006, the Care Standards Act 2000, the Criminal Justice and Court Services Act 2000, the Protection of Children Act 1999, the Education Act 2002, the Safeguarding Vulnerable Groups Act 2006 and the guidance ‘Safeguarding Children and Safer Recruitment in Education’ (January 2007). 1.5 The policy aims to ensure that employees are recruited in a fair, consistent and cost efficient way and that safe recruitment practice is used in line with the corporate priorities: Reducing costs, raising performance. Supporting vulnerable people, reducing inequalities. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 218 2 Policy Statement East Riding of Yorkshire Council will ensure that no job applicant receives less favourable treatment on the grounds of colour, race, nationality, ethnic origin, gender, disability, marital status, pregnancy, age, religion or belief, sexual orientation, gender reassignment, HIV status, trade union involvement or political activities. East Riding of Yorkshire Council is committed to safeguarding and promoting the welfare of children, young people and vulnerable adults and expects all employees and volunteers to share this commitment. The suitability of all prospective employees and volunteers will be assessed during the recruitment process in line with this commitment. 3 Policy Development including Consultation Human Resources have developed this Policy in consultation with the Corporate Management Team, Organisational Development, East Riding Safeguarding Children Board, WorkLink, WorkStep, Older Workers Employment Network, the Council’s Youth Assembly and recognised Trade Unions to ensure compliance with legislation. 4 Links with other Policies Criminal Records Checks Policy Equality in Employment Policy Probationary Period Guidelines Redeployment and Retraining Policy Secondment Guidelines Employment Reference Guidelines Recruitment Relocation Incentive Scheme Policy Salary Supplements Allowance Policy Apprenticeship Strategy Recruitment Advertising Strategy and Guidelines Volunteer Recruitment Policy and Procedure Guidelines on involving Children and Young People in Interviews 5 Desirable Outcomes 5.1 The Council complies with employment legislation in its recruitment and selection procedures. 5.2 All posts are filled in a fair, efficient and cost effective manner to recruit the candidate with the best skills, knowledge and ability to undertake the job. 5.3 All recruitment practices support equality of opportunity in employment and the Council’s duty of care to safeguard children and vulnerable adults. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 219 6 Policy Implementation The policy will be implemented by: Formulation of Recruitment Procedure and Guidelines to ensure compliance with the Council’s legal obligations under the relevant legislation. Adoption by school governing bodies. Ensuring that all managers responsible for the recruitment and selection of employees and volunteers are aware of the Policy, Procedure and Guidelines and understand their responsibilities for implementation. Providing training for managers on recruitment and selection, with a requirement that at least one member of every interview panel has attended training. Use of IT to improve the efficiency of the recruitment process. Use of applicant pools to reduce recruitment timescales. Use of competency based recruitment and selection procedures where appropriate. A commitment to the Positive about Disablement Symbol (Two ticks), which guarantees an interview to applicants with a disability who meet the essential requirements of the post. 7 Financial Implications All managers have the responsibility to recruit cost effectively whilst complying with the law and Council procedures. 8 Environmental Impact 8.1 East Riding of Yorkshire Council is committed to conducting recruitment in the most environmentally friendly way taking into consideration the resources available, and in pursuance of this aim promotes electronic recruitment and application methods as the preferred options. 9 Evaluation 9.1 This policy will be reviewed as part of a 2 yearly rolling programme of policy review by Human Resources or in line with legislative changes whichever is the earlier. 9.2 Effectiveness of this policy will be monitored at review against performance targets set for recruitment timescales and cost as a result of external benchmarking. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 220 Annex B DISCIPLINARY POLICY (Corporate and Schools) Lead Directorate and Service: Effective Date: Date Due for Review: Contact Officer/Number Approved By: Corporate Resources/Human Resources December 2013 December 2015 HR Help Desk/391221 The Council 6th April 2011 Minute 1843 1. Scope 1.1 This policy applies to all current employees of the Council including school-based employees where the respective school governing body has adopted the policy. The policy includes Foundation and Voluntary Aided Schools where the Governing Body is the legal employer and has resolved to adopt the policy. This policy will not apply to casual workers or those employees still serving their probationary period or immediately at its end. 2. Background 2.1 The Disciplinary Policy and Procedure has been developed to meet the requirements under employment legislation and the ACAS Code of Practice on Disciplinary Procedures. 3. Responsibility 3.1 The Council has a responsibility, through its Managers, to ensure that standards of conduct are set and maintained. 3.2 Managers are responsible for implementing this policy and ensuring that employees are aware of the expected standards of conduct and that these standards are maintained at all times. 3.3 Employees have a responsibility to make themselves aware of the standards of conduct and are expected to comply with those standards and to take advice from their Manager where they are unsure. 3.4 The recognised trade unions have a responsibility to ensure that the disciplinary policy and procedure are used properly, fairly and consistently. 4. Trade Unions 4.1 This document has been collectively agreed with the Councils recognised trade unions. 5. Definition of Conduct 5.1 Conduct is concerned with standards of behaviour which impact on the job and the Council. Capability is concerned with poor performance in the job and relates to an employee’s ability to do the job and is dealt with under the Capability Policy and Procedure. Genuine sickness absence will be dealt with under the Attendance at Work Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 221 Policy and Procedure. Absence which is not genuine, whether related to sickness or not, will be dealt with under the Disciplinary Policy and procedure. 6. Policy Statement 6.1 The Council has standards of conduct which are expected of employees and will provide, under this policy, a speedy, fair, consistent and effective method of dealing with alleged failures to observe the standards. 7. Policy Aim 7.1 The aim of this policy is to emphasise and encourage improvements in individual conduct and to provide prompt, fair, consistent and effective arrangements in the treatment of employees when dealing with disciplinary matters. 8. Strategy 8.1 The policy aim will be achieved by: Ensuring that this policy and procedure is widely circulated and publicised Monitoring alleged breaches of conduct including the outcome of investigations, hearings and appeals Providing adequate support to Managers including appropriate training Ensuring that employees are aware of the general standards of conduct expected of them Managers identifying particular problem areas and taking appropriate action to resolve them (e.g. employees not being aware of a particular rule). 9. Monitoring 9.1 The Director of Corporate Resources and the Governing Body in schools will ensure that adherence to the Disciplinary Procedure is monitored. 9.2 Human Resources will request information from Directors and monitor the equality of treatment of employees and the speed, consistency and fairness of actions taken by Managers which lead to formal action under this Policy. 10. Review of Policy 10.1 The Council will review this policy and procedure in line with its programme of policy reviews in consultation with the relevant trade unions. The policy, procedure and rules shall be deemed to incorporate any amendment which the Council is obliged to make by law. 11. Reference Policies, Guidance and Advice 11.1 Disciplinary Procedure and Managers Guidance Notes Disciplinary Rules Code of Conduct for Employees Capability Policy and Procedure Workplace Drug and Alcohol Testing Policy Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 222 Personal Harassment Policy Equality in Employment Policy Counter Fraud and Corruption Policy Whistle Blowing Policy Policy and Guidelines on the use of Electronic Mail (Email) Policy and Guidelines on the use of the Internet The word ‘manager’ is used to include decision makers in the context of the disciplinary policy which includes corporate Managers, Headteachers and Governing Bodies. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 223 DISCIPLINARY PROCEDURE (Corporate) Lead Directorate and Service: Effective Date: Date Due for Review: Contact Officer/Number Approved By: Corporate Resources/Human Resources December 2013 December 2015 HR Advice Centre/391221 The Council 9th October 2013 (Minute 2059) and 6th April 2011 (Minute 1843) 1. Introduction 1.1 All matters relating to discipline will, as far as reasonably possible, be dealt with without undue delay and in a non-discriminatory manner. Proceedings, witness statements and records will be kept confidential and will, as appropriate, only be made available to those genuinely involved in the disciplinary process. 2. Establish the facts 2.1 When a disciplinary matter arises, the facts must be established promptly before recollections fade, and where appropriate statements obtained from any witnesses. Once the fact finding has been completed a decision will be made on whether or not to proceed. 2.2 In certain circumstances where relationships have broken down or where it is considered there are risks to an employer’s property or responsibilities to another party or where a thorough disciplinary investigation may be prevented, a brief period of suspension with pay may be used while the case is investigated. 2.3 Such suspension will only be used as a last resort and is precautionary and not a disciplinary action and will be reviewed to ensure it is not unnecessarily protracted. Only a Head of Service or above is authorised to suspend an employee and this will only be done following consultation with Human Resources. 3. Formal investigatory interview 3.1 Where the fact finding stage above requires further investigation with the employee concerned a formal investigatory interview will normally be held within 14 calendar days of the alleged misconduct being discovered where the allegation(s) will be put to the employee. The employee will be notified of the interview in writing 48 hours in advance and notified of the right to be accompanied. Having held an investigatory interview a decision will be made on whether to drop the matter, arrange informal coaching or counselling or arrange for the matter to be dealt with under the disciplinary procedure. 4. Disciplinary hearing 4.1 Where a disciplinary hearing is held the employee will be informed, in writing, of the following to enable the employee to prepare to answer the case at the meeting: the allegation(s) against him/her the possible consequences the right to be accompanied Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 224 The employee will be given 48 hours written notice of the hearing where the employee will be given an opportunity to state his/her case. Where the employee does not attend the first hearing a second hearing will normally be arranged and may be held in the employees absence (see also paragraph 5.2 below). 4.2 Copies of relevant evidence the Council deems appropriate to the allegation will normally be made available to the employee at least 48 hours prior to the hearing. However, it may be appropriate (with the employees agreement) for a disciplinary hearing to follow on from the investigatory interview (providing the right to be accompanied is given). 4.3 Minor cases of misconduct may be best dealt with by informal advice, coaching or counselling. Managers may issue informal warnings however must also ensure that problems are discussed with the objective of encouraging and helping employees to improve. Such informal warnings do not form part of the formal procedure. 5. The right to be accompanied 5.1 An employee has the right to be accompanied by a companion (trade union representative or work colleague) at any of the formal stages of the disciplinary procedure from investigation through to an appeal. 5.2 The employee’s representative can address the hearing to put and sum up the employee’s case, however does not have the right to answer questions on the employees behalf. If the work colleague or trade union representative can not attend on the proposed date, the employee can suggest an alternative date and time so long as it is reasonable and it is not more than five working days after the original date. Where an alternative date is scheduled this does not count towards a non-attendance at paragraph 4.1 above. 6. Disciplinary action The disciplinary actions available are: 6.1 Oral warning - generally given for minor acts of misconduct. After 6 months satisfactory conduct the warning will not normally be taken into account for disciplinary purposes. 6.2 First written warning - generally given for an accumulation of minor acts of misconduct, a breach of a current oral warning or a more serious act of misconduct. After 12 months satisfactory conduct the warning will not normally be taken into account for disciplinary purposes. 6.3 Final written warning - generally given for instances of substantial misconduct or in cases of repeated misconduct during a “live” first written warning. After 2 years satisfactory conduct the warning will not normally be taken into account for disciplinary purposes. 6.4 Dismissal with notice or payment in lieu of notice - generally given for further misconduct following a current final written warning. 6.5 Summary dismissal without notice or payment in lieu of notice - generally given in instances of gross misconduct. 6.6 An employee will only be dismissed for serious/gross misconduct or cumulative misconduct. The employee will not be dismissed for a first minor breach of discipline. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 225 6.7 The Director, or their nominated representative, has the authority to take disciplinary action. 6.8 Disciplinary action will not be taken until the case has been carefully investigated. 6.9 Disciplinary action will be confirmed in writing. 7. Appeals 7.1 A right of appeal is provided for formal disciplinary action. An appeal must be made in writing to the Director of Corporate Resources specifying the grounds for appeal (ie; the perceived unfairness of the judgement, the severity of the penalty, new evidence coming to light or procedural irregularities). The letter of appeal must be received within 14 calendar days of receipt of the letter confirming the disciplinary action. 7.2 All appeals will be heard by a Director or their representative. Wherever possible the appeal will be heard by a manager more senior than the dismissing manager. 7.3 The manager hearing the appeal will not increase the severity of the action but may allow or dismiss the appeal in whole or part and the decision of the appeals body will be final. 8. Procedure for Hearing 8.1 The procedure to be followed at a disciplinary hearing or appeal is attached at Appendix A 9. Disciplinary Rules 9.1. The disciplinary rules are shown below. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 226 DISCIPLINARY RULES 1. Introduction 1.1 Disciplinary rules are necessary for the efficient and safe performance of work and for the maintenance of good communications between the Council and its employees. The examples below do not cover all circumstances and are therefore not comprehensive but provide a guide to the likely consequences of breaking the disciplinary rules and would normally lead to the action specified. 2. Examples of Gross Misconduct 2.1 The following list indicates the type of conduct which would constitute gross misconduct ie conduct resulting in a serious breach of contractual terms, and would normally lead to summary dismissal for a first offence: (a) unauthorised removal or use of the Council’s property or serious misuse of the Council’s property or name; (b) offences of dishonesty, including theft and fraud, including defrauding the Council in a private capacity; (c) serious harassment, abuse, intimidation and bullying including sexual and racial offences committed at work and/or outside working hours; (d) fighting/physical violence; (e) deliberate falsification of records such as time sheets, subsistence and expenses claims, qualifications including non/false disclosure of eligibility to work, criminal records and/or safeguarding information; (f) deliberate damage to Council property; (g) serious breach of health and safety rules or regulations, including deliberate damage to, neglect of, or misuse of safety equipment (read in conjunction with the attached list titled ‘Observance of Safety Rules’) including smoking on Council premises where it is a health and safety risk; (h) serious neglect of duty; (i) undertaking additional employment or being engaged in any other business without the express consent of the Council, where such consent is required; (j) serious incapability whilst on duty and/or at work brought on by alcohol or illegal drugs; (k) serious negligence which causes, or might cause, loss, damage or injury; (l) serious insubordination; (m) serious breach of confidence; (n) bringing the organisation into serious disrepute (o) deliberately accessing or attempting to access internet sites containing pornographic, offensive or obscene material 2.2 As indicated above, this list is not intended to be exhaustive nor is it in any order of seriousness. 2.3. A single act of ordinary misconduct will not normally in itself justify dismissal, but it must be clearly understood that under the concept of cumulative misconduct, a succession of further misconduct incidents will be taken into account and cumulatively may result in dismissal. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 227 Observance of Safety Rules Section 7 of the Health and Safety at Work, etc Act 1974 provides that: “It shall be the duty of every employee while at work (a) to take reasonable care for the health and safety of himself and of other persons who may be affected by his acts or omissions at work; and (b) as regards any duty or requirements imposed on his employer or any other person by or under any of the relevant statutory provisions, to co-operate with him so far as is necessary to enable that duty or requirement to be performed or complied with.” Although all safety rules must be stringently observed, the following list identifies, as examples only, the areas of importance: 1. intentionally or recklessly interfering with or misusing anything provided in the interests of safety, health or wellbeing; 2. endangering by act or omission, themselves, any other employee or other person 2. failing to observe safety precautions, safety rules and regulations; 3. failing to conform to safe systems of work laid down; 4. failing to comply with terms of permit to work systems or lock off systems or similar systems or procedures where they are in operation; 5. failing to use or wear safety equipment and/or personal protective equipment/ clothing provided by the Authority; 6. working on equipment, e.g. electrical equipment when unauthorised to do so; 7. knowingly working with dangerous materials (e.g. asbestos, lead, hazardous chemicals, etc.) without proper precautions and/or authorisation; 8. using unauthorised equipment; 9. causing or contributing to unsanitary or unhealthy conditions. 10. smoking in prohibited areas; It is the duty and responsibility of all management and supervisory staff to ensure that safe plant and equipment, safe systems of work, safe places of work and acts as thereto, and a healthy environment are provided and used by all employees and that sufficient information, instruction and training and supervision is provided to ensure the health, safety and wellbeing of employees. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 228 PROCEDURE TO BE FOLLOWED AT A DISCIPLINARY HEARING OR APPEAL 1. Introductions - the Director will introduce those present and explain why they are there. If the employee has chosen not to be represented he/she will be reminded of his/her right of representation. 2. Purpose - the Director will explain that the purpose of the hearing is to consider whether disciplinary action should be taken in accordance with the Council’s Disciplinary Procedure. The precise allegation(s) will be read out from the invite letter. 3. Format - the Director will outline the format of the formal Disciplinary Hearing and ensure all in attendance understand the hearing process. 4. Witnesses – the Director will establish how many witnesses will be called by each side, the purpose of calling each witness and the names of each witness. 5. Management case - The Presenting Officer will present the management case and will call witnesses, if appropriate, at the end of their presentation. The Director and the employee or representative shall have the opportunity to question the Presenting Officer and any witnesses who have been called. The Presenting Officer will have the opportunity to re-examine their own witnesses on any matter referred to in questions. Following questioning witnesses will leave the hearing. 6. Employees case - the employee or representative shall present their case and will call witnesses, if appropriate, at the end of their presentation. The Director and Presenting Officer shall have the opportunity to question the employee and any witnesses who have been called. The employee will have the opportunity to re-examine their own witnesses on any matter referred to in questions. Following questioning witnesses will leave the hearing. 7. Management summing up - the Presenting Officer shall sum up the case. 8. Employee summing up - the employee or representative shall have the opportunity to sum up their case. 9. Adjournment - the Presenting Officer and the employee and representative will withdraw from the meeting. 10. Decision making - the Director in consultation with the Human Resources representative will deliberate in private only recalling the Presenting Officer and employee to clear points of uncertainty on evidence already given. If recall is necessary both parties must return simultaneously. 11. Announce decision - both parties will return and the Director will normally give the decision with reasons and explain the right of appeal (there is no further right of appeal where one appeal has already been exercised) . This will normally be confirmed in writing within 7 calendar days. Where the Director (or their representative) considers more time is required to come to a decision it is allowable under this procedure although a decision will be made without undue delay. The term Director also refers to the Directors representative (a person who has been appointed by the Director to act on their behalf) Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 229 ANNEX C Code of Conduct for Employees Lead Directorate and Service: Effective Date: Contact Officer/Number: Approved by: Corporate Resources - Human Resources September 2013 HR Help Desk / 391221 Personnel Sub-Committee - 31 October 1996, Minute 549 DR no: 256 - 19 July, 2002, DR no: 14889, 4 October 2013 Recruitment Policy 1. 1.1 Scope This policy applied to all employees of the Council except school based employees unless this policy has been adopted by the respective governing body. 2. Background 2.1 The public is entitled to expect the highest standards of conduct from all employees who work for the East Riding of Yorkshire Council 2.2 This Code of Conduct is aimed at ensuring that employees are aware of the standards of behaviour expected of them by the East Riding of Yorkshire Council. 2.3 Failure to observe the standards set out in this code will be regarded as serious and any breach will render an employee liable to disciplinary action, which may include dismissal. 3. Standards 3.1 Local Government employees are expected to give the highest possible standard of service to the public, and where it is part of their duties, to provide appropriate advice to Councillors and fellow employees with impartiality. Employees will be expected, though agreed procedures and without fear of recrimination, to bring to the attention of the appropriate level of management and deficiency in the provision of service. 3.2 It is the duty of each employee to report to the appropriate manager any impropriety or breach of procedure. 4. Disclosure of Information 4.1 This Council believes that open government is best. The law requires that certain types of information must be available to members, auditors, government departments, service users and the public. The Council itself may decide to be open about other types of information. Employees must be aware of which information the Council is and is not open about, and act accordingly. 4.2 Employees should not use any information obtained in the course of their employment for personal gain or benefit, nor should they pass it on to others who might use it in such a way. Any particular information received by an employee from a member of the public which is personal to that councillor and does not belong to the Council should not be divulged by the employee without the prior approval of that councils, except where such disclosure is require or sanctioned by the law. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 230 5. Political Neutrality 5.1 Employees serve the Council as a whole. It follows they must serve all councillors and not just those of the controlling group, and must ensure that the individual rights of all councillors are respected. 5.2 Where employees are required to advise political groups, they must do so in ways which do not compromise their political neutrality. 5.3 Employees, whether or not politically restricted, must follow every lawful expressed policy of the Council and must not allow their own personal or political opinions to interfere with their work. 5.4 Political assistants appointed on fixed term contracts in accordance with the Local Government and housing Act 1989 are exempt from the standards set in paragraphs 5.1 to 5.3. 6. Relationships 6.1 Councillors 6.1.1 Employees are responsible to the Council through their senior managers. Form some, their role is to give advice to councillors and senior managers and all are there to carry out the Council’s work. Mutual respect between employees and councillors is essential to good local government. Close personal familiarity between employees and individual councillors can damage the relationship and prove embarrassing to other employees and councillors and should therefore be avoided. 6.2 The Local Community and Service Users 6.2.1 Employees should always remember their responsibilities to the community they serve and ensure courteous, efficient and impartial service delivery to al groups and individuals within that community as defined by the policies of the Council. 6.3 Contractors 6.3.1 All relationships of a business or private nature with external contractors, or potential contractors, should be made known to the appropriate manager. Orders and contracts must be awarded on merit, by fair competition against other tenders, and no special favour should be shown to businesses run by, for example, friends, partners or relatives in the tendering process. No part of the local authority should be discriminated against. 6.3.2 Employees who engage or supervise contractors or have any other official relationship with contractors and have previously had or currently have a relationship in a private or domestic capacity with contractors, should declare that relationship to the appropriate manager. 7. Appointment and Other Employment Matters 7.1 Employees involved in appointments should ensure that these are made on the basis of merit. It would be unlawful for an employee to make an appointment which was based on anything other than the ability of the candidate to undertake the duties of the post. In Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 231 order to avoid any possible accusation of bias, employees should not be involved in an appointment where they are related to an applicant, or have a close personal relationship outside work with him or her. 7.2 Similarly, employees should not be involved in decisions relating to discipline, promotion or pay adjustments for any other employee who is a relative, partner, etc. 8. Outside Commitments 8.1 Any employee is free to decline requests/offers of paid/unpaid private work received from any other employee, elected member or member of the public. 8.2 Any employees graded scp 28 and above must seek the written approval from their employing director before undertaking or commissioning such private work. 8.3 Any employee who believes that they have been coerced/pressurised into accepting such work are able to lodge a complaint through the Council’s Grievance, Personal Harassment in Employment or Whistleblowing policy, whichever is appropriate. 8.4 All employees should not make use of Council plant and equipment, in a manner which conflicts with the Council’s interest. This includes work undertaken in a private capacity outside of work where the employee has access to Council plant and equipment by virtue of their position. 8.5 All employees have contractual obligations and should not take outside employment which conflicts with the Council’s interest or in any way weakens public confidence in the conduct of the Authority’s business. 8.6 All employees graded above spinal column point 28 of the NJC scheme of conditions of service for Local Government employees are required to obtain consent of the Council, via the appropriate Director, to take outside employment. 8.7 No outside work of any sort, whether paid or unpaid, should be undertaken in the office and the use of facilities (typist, telephone, photocopier or material, etc.) is forbidden. 8.8 Employees should follow the Council’s rules on ownership of intellectual property or copyright created during their employment. 9 Personal Interests 9.1 Employees must declare to the Director any non-financial interests that they consider could bring about conflict with the Council’s interests, for example, if they are involved in an official capacity with an outside organisation which has dealings with the Council, eg grant requests. 9.2 Employees must declare to the Director any financial interests which could conflict with the Council’s interests, eg work for which a fee is received. 9.3 Employees should declare to the Council, via the Chief Executive, membership of any secret societies. The definition of “secret society” is as follows: “Any lodge, chapter, society, trust or regular gathering or meeting which: Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 232 - is not open to members of the public who are not members - includes in the granting of membership a requirement of the member to make a commitment (whether by oath or otherwise) of allegiance - includes, whether initially or subsequently, a commitment (whether by oath or otherwise) of secrecy in regard to rules, membership or conduct.” 9.4 Where employees have declared an interest in regard to Section 8.3, the detail will be kept in a register under the authority of the Chief Executive. 10 Equality Issues 10.1 The Council is an equal opportunities employer and all employees are under an obligation to ensure that its policies relating to equality issues plus those required by law, are complied with. 10.2 All members of the local community, customers and other employees have a right to be treated with fairness and equity. 11 Separation of roles during tendering 11.1 Employees involved in the tendering process and dealing with contractors should be clear on the separation of client and contractor roles within the Council. Senior employees who have both a client and contractor responsibility must be aware of the need for accountability and openness. 11.2 Employees in contractor or client units must exercise fairness and impartiality when dealing with all customers, suppliers, other contractors and sub-contractors. 11.3 Employees who are privy to confidential information on tenders or costs for either internal or external contractors should not disclose that information to any unauthorised party or organisation. 11.4 Employees should ensure that no special favour is shown to current or recent former employees or their partners, close relatives or associates in awarding contracts to businesses run by them or employing them in a senior or relevant managerial capacity. 12 Corruption 12.1 It is a serious criminal offence for employees 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 their official capacity. If an allegation is made it is for the employee to demonstrate that any such rewards have not been corruptly obtained. 13 Contact with the press and media 13.1 Unless specifically nominated and authorised by the Chief Executive or the Director of the Department concerned, employees are not permitted to give reports or speak to the press and media on matters relating to employment with the Council or its business or decisions. In the main, the Chief Executive, Directors and Heads of Service, will be responsible for dealing with the press and media. Employees with this responsibility Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 233 should guard themselves against declaring a view which is contrary to a position taken by the Council and which may be deemed to be critical of that decision. 13.2 In the event of an industrial dispute involving an employee’s trade union organisation, an elected representative of that trade union may be called upon by the press or media to comment on the dispute. Where a decision is taken by that trade union organisation to respond, the employee should exercise great care in presenting the facts of the case and should avoid personal opinions which may be damaging to the Council. 13.3 In all circumstances, employees are under a general duty of care to avoid, wherever practicable, a conflict of interest situation arising and should not undertake to criticise, damage or act in any way against the best interests of the Council. Should this occur, then the employee will be subject to disciplinary action in accordance with the agreed procedures. 14 Smoking 14.1 The Council has a policy on smoking at work which is incorporated into employees contracts of employment. Employees are reminded that if found smoking in contravention of the policy, it will be regarded as a disciplinary offence. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 234 PART 5 CODES AND PROTOCOLS Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 235 CODES AND PROTOCOLS 1 Councillors Code of Conduct The Council adopted a revised Code of Conduct for Councillors and Co-opted Members in July 2012 and all Councillors are required to abide by it. A copy is attached at Annex A. 2 Protocol for Councillor and Officer Relationships In addition to the Code of Conduct, the Council has adopted a protocol to guide Councillors and officers of the Council in their relations with one another in such a way as to ensure the smooth running of the Council. A copy is attached as Annex B. 3 Other Codes of Practice (a) Planning In addition to the Code of Conduct and the Protocol referred to in 1 and 2 above, the Council has adopted the following in relation to the planning function: A Code of Practice for Councillors and officers dealing with planning applications. Failure to sign up to the Code of Practice will debar any Councillor from sitting on any Committee or Sub-Committee dealing with planning applications. When a Councillor has signed up they are required to abide by the Code of Practice. A Code of Practice for neighbour notifications and publicity for planning applications. A Code of Practice for Planning Site visits. A Code of Practice for dealing with major planning applications. Protocol on Public Speaking (as set out in paragraph 8 of the Non-Executive Procedure Rules). Copies are attached at Annex C. (b) Health Service Scrutiny Following consultation with the various health authorities, the Council has adopted a Code of Practice in relation to its responsibilities for scrutiny of the Health Service which is attached at Annex D. 4 Interest of Councillors in Contracts and Other Matters (a) All Councillors are required by the Code of Conduct to disclose non-pecuniary and pecuniary interests at meetings of the Council, its Committees or SubCommittees. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 236 (b) 5 Within 28 days of his/her election or appointment to Office, a Councillor must register his/her pecuniary interests in the Authority’s Register in accordance with the provisions of the Localism Act 2011. Any amendments required by a change in Members’ circumstances must be registered within 28 days of the change occurring. Protocols for the Monitoring Officer and Chief Finance Officer These protocols are outlined in paragraphs 12.06 and 12.07 of Article 12 of this Constitution. 6 Code of Conduct for Employees This code is outlined in the Officer Employment Procedure Rules in Part 4 of this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 237 ANNEX A EAST RIDING OF YORKSHIRE COUNCIL MEMBER CODE OF CONDUCT (1) Introduction and Interpretation (1) This Code applies to you as a Member of this authority when you act in your role as a Member and it is your responsibility to comply with the provisions of this Code. (2) You are a representative of this authority and the public will view you as such therefore your actions impact on how the authority as a whole is viewed and your actions can have both a positive and negative impact on the authority. (3) The public expect Members to act in an open and transparent manner. (4) In this Code ‘Meeting’ means any meeting of:(a) (b) (c) The authority; The executive of the authority; Any of the authority’s, or its Executive’s, committees, sub-committees, joint committees joint sub-committees or area committees; ‘Member’ includes all Members and co-opted and appointed Members of the authority. ‘Family’ means Spouse, Civil partner, any person with whom you are living as a Spouse or Civil Partner, parent, grandparent, child, grandchild or sibling. (2) General Obligations (1) You must treat others with respect. (2) You must not bully any person. (3) You must not conduct yourself in a manner that could reasonably be regarded as bringing your office or authority into disrepute. (4) You must not disclose information given to you in confidence by any one or information acquired by you which you believe, or ought to be aware, is of a confidential nature, except where :(1) You have the consent of the person authorised to give it; (2) You are required by law to do so; (3) Disclosure is to made to a third party for the purpose of obtaining professional legal advice provided that the third party agrees not to disclose the information to any other person; or Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 238 (4) The disclosure is:(a) Reasonable in the public interest; and (b) Made in good faith and in compliance with the reasonable requirements of the authority; and (c) You have consulted the Monitoring Officer prior to its release. (5) You must not prevent another person from gaining access to information to which that person is entitled by law. (6) You must not use or attempt to use your position as a Member improperly to confer on or secure for yourself or any other person an advantage or disadvantage. (7) When using or authorising the use by others of the resources of the authority you must:(1) Act in accordance with the authority’s reasonable requirements. (2) Ensure that such resources are not used improperly for political purposes (including party political purposes). (3) Have regard to any applicable Local Authority Code of Publicity made under the Local Government Act 1986. (3) Registration of Interests (1) You must before the end of 28 days beginning on the day on which you become a Member of the authority or within 28 days of any change in an interest or becoming aware of any new interest notify the Monitoring Officer of: (i) The following Pecuniary Interests of yourself, your spouse or civil partner, any person with whom you are living as husband or wife or any person with whom you are living as if they were a civil partner: (a) Any employment, office, trade, profession or vocation carried on for profit or gain. (b) Any payment or provision of any other financial benefit (other than from the authority) made or provided within the relevant period in respect of any expenses incurred by you in carrying out duties as a Member, or towards your election expenses. This includes any payment or financial benefit from a trade union within the meaning of the Trade Union and Labour Relations (Consolidation) Act 1992. (c) Any contract which is made between any of the above named persons (or a body in which any of the above named persons have a beneficial interest) and the authority under which goods or services are to be provided or works are to be executed, and which has not been fully discharged. (d) Any beneficial interest in land which is within the area of the authority. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 239 (ii) (e) Any licence (alone or jointly with others) to occupy land in the area of the authority for a month or longer. (f) Any tenancy where (to your knowledge) the landlord is the authority and the tenant is a body in which any of the above named persons have a beneficial interest. (g) Any beneficial interest in securities of a body where that body (to your knowledge) has a place of business or land in the area of the authority; and either the total nominal value of the securities exceeds £25,000 or one hundredth of the total issued share capital of that body; or if the share capital of that body is of more than one class, the total nominal value of the shares of any one class in which any of the above named persons has a beneficial interest exceeds one hundredth of the total issued share capital of that class. The following Non-Pecuniary interests of yourself: (a) Bodies to which you are appointed or nominated by the authority (ie outside body appointments). (b) Bodies exercising functions of a public nature of which you are a Member (including regional and local development agencies, other (parish) councils, public health bodies, school governing bodies). (c) Bodies directed to charitable purposes of which you are a Member (including the Lions, the Masons, a Parochial Church Council; not just bodies registered with the Charity Commission). (d) Bodies whose principal purposes include influence of public opinion of policy (including any political party or trade union) of which you are a Member. (e) Any voluntary work undertaken by you. (f) Any person from whom you received in your capacity as a Member a gift or hospitality that amounts to the value of at least £25. (g) Any person employed by the authority who is a member of your family. (2) You need only notify the Monitoring Officer of any interests of which you are aware pursuant to paragraph (3) (1) above. (3) Where you become a Member of the authority as a result of a re-election or reappointment you only need to disclose interests not already entered on the register. (4) Where the nature of the interest is such that you consider that the disclosure of the interest could lead to you or a person connected with you being subject to violence or intimidation, (and the Monitoring Officer agrees) details of the interests will not be included in any published version of the register of interests save that the register will state you have an interest the details of which are withheld under section 32(2) of the Localism Act 2011. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 240 (4) Non - Pecuniary Interests (1) You have a non-pecuniary interest in any business of the authority where either it is likely to affect any of the bodies listed in paragraph 3(1)(ii) of the Code or, the decision in relation to that business might reasonably be regarded as affecting your well-being, or financial position, or the well-being or financial position of a relevant person to a greater extent than the majority of other Council tax payers, rate payers or inhabitants of the Ward affected by the decision. (2) A relevant person is:(a) (b) A member of your family or any person with whom you have a close association, or A person or body who employs or has appointed such persons any firm of which they are a partner or any company of which they are Directors. (3) Where you have a non-pecuniary interest in any business of the authority and you attend a meeting of the authority at which that business is considered you must disclose to that meeting the existence and nature of that interest at the commencement of that consideration or when the interest becomes apparent. (4) Sub paragraph (3) only applies where you are aware or ought reasonably to be aware of the existence of the interest. (5) Where you have an interest but by virtue of paragraph 3(4) it is not registered in the authority’s register of interests you must indicate you have a non-pecuniary interest but need not disclose the sensitive information to the meeting. (5) Pecuniary Interests (1) You have a pecuniary interest in any business of the authority where you, your spouse or civil partner, any person with whom you are living as husband or wife or any person with whom you are living as if they were a civil partner have an interest that falls within sub paragraph (3)(1)(i) above. (6) Effect of Pecuniary Interest on participation (1) Where you have a pecuniary interest in any business of the authority and you attend a meeting at which the business is considered you must then:(a) Disclose the existence and nature of that interest at the commencement of that consideration or when the interest becomes apparent, subject to sub-paragraph (c) below. (b) Retire to the public gallery of the room or Chamber where the meeting considering the business is being held. (c) If the pecuniary interest is a sensitive interest as set out in sub-paragraph (3)(4) above you need only disclose the fact that you have a pecuniary interest. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 241 ANNEX B PROTOCOL FOR COUNCILLOR AND OFFICER RELATIONSHIPS 1 Introduction 1.1 The purpose of this protocol is to guide Councillors and officers of the Council in their relations with one another in such a way as to ensure the smooth running of the Council. 1.2 The basis of the protocol is common-sense, openness and trust and it is not designed to stifle or temper any genuine disagreement about policy or strategy but rather to clarify the mechanics of running the Council. At the heart of the protocol is the importance of mutual respect. 1.3 Given the variety and complexity of such relations, the protocol does not seek to be either prescriptive or comprehensive. It simply offers guidance on some of the issues that most commonly arise. 1.4 The protocol should ensure that Councillors receive objective and impartial advice and that officers are protected from accusations of bias and any other undue influence from Councillors. 1.5 The protocol also seeks to reflect the principles underlying the Codes of Conduct that apply to Councillors and officers. 1.6 Advice on the interpretation of this protocol should be obtained from the Chief Executive and/or Monitoring Officer. The following paragraphs outline the most commonly occurring situations. 2 Officers’ Advice to Councillors and Party Groups 2.1 It must be recognised by all officers that they serve the Council as a whole and not any part of the Council, political groups or individual Councillor. 2.2 Whilst it is recognised that political groups will give preliminary consideration to matters of Council business in advance of such matters being considered by the relevant decision making body and officers may be requested to advise such groups, those officers must at all times maintain political neutrality. The rules for group briefings shall be as set out in paragraph 8 of this protocol. 2.3 Officers in dealing with individual Councillors must treat them all in a fair and even handed manner. 2.4 Officer support is available to all party groups within the limits imposed by the availability or otherwise of resources. 2.5 The following key points must be understood by both Councillors and officers participating in the process: Officer support must not extend beyond providing information and advice in relation to matters of Council business. Officers must not be involved in advising on matters of party political business and must not be present at meetings or parts of meetings when party business is discussed. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 242 Party group meetings are not empowered to make decisions on behalf of the Council and decisions made thereat must not be interpreted or acted upon as such. Officers advice to a party group meeting in relation to a matter of Council business cannot act as a substitute for providing advice and information to the relevant decision making body. Directors will determine which officers attend party group meetings and will attend personally where they consider that appropriate. 2.6 Officers may not attend or give advice to group meetings which include persons who are not Members of the Council, as such persons are not bound by the Council’s Code of Conduct. 2.7 Groups may request private briefings from the Chief Executive or any Member of the CMT on specific issues and these will remain confidential to the Group making the request. It remains the responsibility of the Chief Executive and Members of CMT to exercise their professional judgement and to make sure that all relevant matters are brought to the attention of The Cabinet or relevant Committee(s) and that information is not suppressed or distorted. When the Chief Executive receives the request for such a briefing the appropriate Portfolio Holder or the Leader/Deputy Leader of the Council will be informed of the subject area but not of the details of the actual discussion that took place. 2.8 It must not be assumed by any party group or Councillor that any officer is supportive of any policy or strategy because of that officer’s assistance in the formulation of that policy or strategy. 2.9 Any particular cases of difficulty or uncertainty in this area of officer advice to party groups should be raised with the Chief Executive who will discuss them with the relevant group leaders. 3 Support Services to Councillors and Party Groups (Group Office Support) The only basis on which the Council can lawfully provide support services (eg administrative, stationery, typing, printing, photocopying, transport, etc.) to Councillors is to assist them in discharging their role as Members of the Council. Such support services must therefore only be used on Council business. They should never be used in connection with party political or campaigning activity or for private purposes. Councillors have no role to play in the management or appointment of such support staff. 4 Councillors’ Access to Information and to Council Documents 4.1 As explained in Part 4 of this Constitution, Councillors have a general right to information that they may reasonably need in order to assist them in discharging their role as a Member of the Council. Councillors also have a statutory right to inspect any Council document which may be considered by the Council, The Cabinet or any Committee. This does not automatically include documents which contain exempt or confidential information as defined in the Access to Information procedure rules outlined in Part 4 of this Constitution. This Council’s practice is, however, to allow such inspection by the supply of such papers considered by The Cabinet to all Councillors and through the relevant Group Office for Committees. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 243 The principle underlying these rights is commonly known as the “need to know” principle and does not extend to situations where: Information is needed primarily for a non-Council purpose; there is conflict of interest; there is an overriding individual right of confidentiality (eg in child care or employment matters); the resources needed to supply the information would be unreasonable. 4.2 The Chief Executive or Director of Corporate Resources may decline any request for information or the inspection of documents in the circumstances outlined in 4.1 above. 4.3 Any document or information supplied to a Councillor which contains exempt or confidential information shall remain subject to such restrictions on its disclosure as existed before inspection and copying. 5 Officer/Cabinet Relationships 5.1 Whilst it is acknowledged that there should be a close working relationship between Cabinet Members/Chairmen of Non-Executive Committees and officers, such relationships should not be allowed to bring into question the officer’s ability to deal impartially with other Councillors. 5.2 It must be recognised that there are circumstances where officers will be under a professional duty to submit a report to The Cabinet or a Committee without the agreement of Councillors. 5.3 Where The Cabinet or any Committee delegates authority to an officer to make a decision in consultation with relevant Councillors it must be recognised that the officer must make the decision, having taken into account the views of the Councillors consulted, and be accountable for it. 5.4 Officers are responsible to their Head of Service and Director and whilst they will always seek to assist a Councillor they must not exceed the authority given to them by the Head of Service and/or Director. 6 Correspondence 6.1 Correspondence between an individual Councillor and an officer should not normally be copied (by the officer) to any other Councillor. Where exceptionally it is necessary to copy the correspondence to another Councillor, this should be made clear to the original Councillor. In other words, a system of “silent copies” must not be employed. 6.2 Where correspondence between an individual Councillor and an officer contains confidential or exempt information that information must not be released to any other person without the consent of the writer. 6.3 Official letters on behalf of the Council should be sent in the name of the appropriate officer, rather than in the name of a Councillor. It may be appropriate in certain limited circumstances (eg representations to a Government Minister) for a letter to appear in the Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) Members and 244 Non-Executive Committee Chairmen name of a Councillor, 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 Councillor. 6.4 Letters from individual Councillors produced in the relevant group support office must be signed by the individual Councillor and not on their behalf by support office staff. 7 Guidelines for the Involvement of Ward Councillors 7.1 These guidelines are designed to deal with ‘one off’ situations and are not intended to replace the system used to notify Councillors of routine events in their area (see 7.2 below) nor the major incidents covered by an Emergency Plan. Appropriate Ward Councillors should be informed of: ‘Sensitive’ issues within their areas involving, for example, Social Services or Education items which may appear in the press ‘Emotional’ environmental issues, eg tree felling Major land and property transactions involving East Riding Property - not having gone through The Cabinet process Notification of issues must be done by the quickest means which should include e-mail. Officers must be aware that the public are not always aware of Ward boundaries and that some issues may relate to a community rather than just one Ward. 7.2 8 The following matters must be notified to Ward Councillors as a matter of routine: Weekly Schedule of Planning Applications issued to all Councillors. Chairman’s Engagement List issued to Group Offices. Arts Events - Ward Councillors to be informed of Council and Council sponsored events in their Ward. Briefing of Councillors The following arrangements will apply to briefings for Councillors. Leaders’ Meetings The Leader and Deputy Leader of the Conservative Group will attend and there will be no briefing for other Councillors subject to a proviso that special briefings will be arranged for the Leaders of other groups in emergency situations as deemed necessary. The Chief Executive will also attend. No substitutes will be permitted. Council Briefings These are briefings usually held at 9:00 a.m. on the morning of the Council meeting. The Chairman and Vice-Chairman of the Council, the Leader and Deputy Leader of the Council plus the Leader of the Labour group (as the recognised opposition) (or substitutes) will attend. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 245 Cabinet Meeting Briefings These are the briefings usually held in the week preceding The Cabinet and the Leader and Deputy Leader of the Council plus the Leader of the Labour group (as the recognised opposition) (or substitutes) will attend. Cabinet Portfolio Holder Briefings These are briefings between respective portfolio holders and Directors/Senior Managers and will only involve portfolio holders. The Leader and Deputy Leader of the Council will also attend as they consider appropriate. Cabinet/CMT Briefings These are regular briefings between The Cabinet and Corporate Management Team and only Cabinet Members may attend. Scrutiny and NonExecutive Committee Briefings As with The Cabinet, these are pre-meetings to Committee meetings and will involve the Chairman and Vice-Chairman only. Planning Committee and Pre-meeting briefings for the Planning Committee and its SubSub-Committees Briefings Committees will include the Chairman and Vice-Chairman and a representative of the Labour group if they are represented on the relevant Committee/Sub-Committee. 9 Scrutiny Chairs’ Briefings These will just be with the Chairmen to update them on issues and work programmes relating to a particular scrutiny area. Group Briefings Any group may ask for a briefing on any Council related (not party political) issue at any time through the Chief Executive when any matter will be discussed in general terms without revealing to the Group being spoken to any specific information that has been requested by another Group who have had a similar briefing. When the Chief Executive receives the request for such a briefing, the appropriate portfolio holder or the Leader/Deputy Leader of the Council will be informed of the subject area but again, not of the details of the actual discussions that took place. Individual Councillors The statutory rights of individual Councillors to information on a “need to know” basis are not affected by this protocol. Inspection of Lands, Premises and the Like No Councillor shall issue any order respecting any works which are being carried out by or on behalf of the Council, nor claim by virtue of their membership of the Council any right to inspect or to enter upon any lands or premises which the Council has the power or duty to enter or which are owned by the Council. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 246 10 Publicity 10.1 When the Council is asked to respond by the media to a new initiative or event which has not yet been debated by a Committee or the Council, it shall be the practice to refer the media to the Leader of the Council or relevant Cabinet Portfolio Holder as appropriate. 10.2 When the issue or event has been before The Cabinet, a Committee or Council, the media should be able to speak to the Leader of the Council, Cabinet Portfolio Holders, Chairman or officers as appropriate. 10.3 Members of CMT may deal with any request for information or questions from the media and may accept invitations to broadcast or appear on television in order to give the facts of a situation or explain the Council’s policies. 10.4 The Chief Executive shall have authority to approve and issue all official publicity, press statements and official publications in accordance with the Council’s Scheme of Delegation. 11 Information Required for Meetings 11.1 All Directors shall ensure that any reports for submission to The Cabinet, a Committee or Sub-Committee shall be in the hands of the Director of Corporate Resources at least seven clear working days before the day of the meeting. 11.2 All Directors shall supply to the Director of Corporate Resources on request, such information as he may require in relation to any matter being, or to be, considered by The Cabinet, a Committee or Sub-Committee. 11.3 No meeting of The Cabinet, a Committee or Sub-Committee or group of Councillors appointed to consider or deal with a specific manner, shall be held unless the Director of Corporate Resources, or his representative, is present, except in the case of a SubCommittee or group of Councillors where the Director of Corporate Resources may arrange to be represented by another Director or a representative of such other Director. 11.4 Each Cabinet and Committee report shall be in the name of a Director who must ensure that: It is clear what decision is required from Councillors. It outlines all the options available in such a way as to enable Councillors to choose one. It contains a clear recommendation and the reasons for that recommendation. All relevant factors and information are included. The issues are presented with professional objectivity. 12 Matters Relating to Officer Conduct or Capability 12.1 A Councillor must not raise matters relating to the conduct or capability of an officer in a manner which is incompatible with paragraph 1.2 of this protocol. Any matters of concern should be raised initially with the officer concerned. If that fails to resolve the issue, the matter should be raised with the relevant Head of Service and/or Director. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 247 12.2 If a Councillor remains dissatisfied after the procedure outlined in 12.1 above, the matter should be raised with the Chief Executive. 12.3 Any action taken against an officer as a result of a complaint will be dealt with in accordance with the Council’s disciplinary rules and procedure. 12.4 Officers should not raise with a Councillor matters relating to the conduct or capability of another officer or the management of a service unit. 13 Matters Relating to Councillor Conduct 13.1 Where an officer feels that they have not been properly treated with respect and courtesy by a Councillor, he should raise the matter with his/her Director or the Chief Executive as appropriate. 13.2 In these circumstances, the Director or Chief Executive will either:(i) (ii) 13.3 take appropriate action to resolve the complaint by discussing the matter with the individual Councillor and/or Group Leader, or refer the matter to the Monitoring Officer to consider whether or not the complaint should be referred to the Standards Committee. This section should be read in conjunction with the Councillors Code of Conduct outlined in this Constitution. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 248 ANNEX C A CODE OF PRACTICE FOR COUNCILLORS AND OFFICERS FOR DEALING WITH PLANNING APPLICATIONS 1 Code of Practice 1.1 This Code of Practice has been produced after taking into account current advice and examples of good practice. It will be reviewed annually. The Code of Practice may only be varied by formal resolution of The Cabinet. 1.2 In the Code of Practice, the word “Committee” means any Committee or SubCommittee with a responsibility for the determination of planning applications. The words “planning application” mean any application for permission or consent under the provisions of the Town and Country Planning Acts and related legislation. 1.3 This Code of Practice is relevant to all Councillors when they are sitting on the relevant committees, including acting as a substitute. Failure to abide by it may prevent a Member being able to act as a substitute on a committee when required. 2 Training 2.1 Training on planning procedures and issues, particularly important, new or changed policies and procedures, will be provided each year and will include events presented by officers with the help of experts from outside the Council, where appropriate. All Planning Members will be expected to attend. 2.2 A basic induction course for Councillors will be prepared for presentation by Council officers, and attendance at this will be compulsory for all Planning and Area Planning Sub-Committee Members and their substitutes. Councillors who have not undergone training should not act as a substitute. 2.3 Planning officers responsible for the preparation of written reports and for advising Councillors at Committee meetings will be qualified to an appropriate level in town planning. Whether or not they are Members of the Royal Town Planning Institute (RTPI), they will be required to undertake continuing professional development training to the level required of its Members by the RTPI. 3 Publicity for Planning Applications 3.1 The Council will prepare, adopt and regularly review a Code of Practice for publicising planning applications having regard to the requirements of Best Value. From July 2005, this will be incorporated into the “Statement of Community Involvement”. As a minimum, the Code of Practice will satisfy statutory requirements and comply with current Government advice, but its intention will be to ensure that planning applications are publicised in accordance with their likely impact (see Annex 1). 3.2 Planning officers have discretion to provide more, but not less, publicity than specified by the Code of Practice where they judge that the nature of the application requires them to do so. In most cases, the provisions of the Code of Practice coupled with the discretion given to officers to afford additional publicity will be sufficient. If a Councillor feels that the level of publicity afforded is insufficient in any particular case and decides to undertake significant additional publicity at ward level, the following procedure is recommended: 3.3 Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 249 - the relevant Divisional Manager or Team Leader should be informed; - the information must be factually accurate; - a copy of any publicity material circulated, together with details of how and where it was distributed should be provided to the Divisional Manager for inclusion on the planning file; - the publicity material should include the relevant planning reference number and should give details about where the application may be inspected. The publicity should advise that any comments should be made in writing to the relevant Divisional Manager; - any responses received directly by the Councillor should be forwarded to the relevant Divisional Manager. 4 Lobbying of Councillors 4.1 This section deals with the balance between the legitimate constituency concerns of Councillors and the requirements for the Council to reach an objective decision in full knowledge of all relevant information. It is based on the premise that Councillors should not approach a planning application with a ‘closed mind’, that is, make a final decision on an application in advance of all the relevant information being available. The Localism Act provides that a Councillor should not be taken to have had a ‘closed mind’ simply because they have indicated what view they take on a matter prior to the matter being decided. Councillors are therefore free to express opinions about a planning application prior to Committee provided they approach the planning decision with an open mind and are prepared to change their views if persuaded that they should. If a Councillor has a ‘closed mind’ in relation to an application he or she will be prevented from voting to avoid compromising the Committee’s decision. 4.2 Any Councillor, whether a Planning Committee Member or not, who is prevented from voting, shall, nevertheless, be able to seek permission from the Committee to speak on the planning application. A Planning Committee Member should leave the room after speaking. 4.3 Any significant contacts which influence, or may reasonably be regarded by the fairminded observer as appearing to influence, the opinion of Councillors or officers should be declared. 4.4 When a Councillor is approached by an individual or group attempting to enlist support either for or against a planning application, then the Councillor should: - listen to and note the facts offered and opinions expressed; - encourage the lobbyists to submit views in writing to the Divisional Manager; - explain that the decision will be taken by the relevant Committee (or officers under delegated powers) who will take account of all views expressed, and that, if the application is taken to a Committee, the lobbyist may attend and may, subject to the rules governing public speaking, be able to address the Committee; Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 250 - make it clear that any views expressed are personal and not necessarily the views of the Council; - pass any significant information that is likely to influence the outcome of the application to the relevant Divisional Manager; - determine whether the application warrants a request from the Councillor for the application to be referred to Committee and inform the relevant Divisional Manager on the standard referral form if this is requested; - Planning Members should declare any significant contact with either applicants or third parties at the Committee meeting before a vote is taken. 4.5 Planning Members will not normally need to meet formally with applicants or their agents or third parties, to discuss prospective or current planning applications, unless the purpose of the meeting is to obtain or clarify information about the nature of the proposed development which cannot reasonably be obtained from the submitted information. When a formal meeting is considered necessary, it should be arranged through the relevant planning manager, who will arrange for an appropriate officer to attend to advise and keep a record of the meeting for inclusion in the officer’s report. Normally, such meetings should only involve the local ward Councillors and the relevant Chairman/Vice-Chairman, but ward members from adjoining areas may be included if the proposal affects the wider community. 4.6 Councillors and officers should avoid being committed to a particular course of action because of membership of an organisation which plays a role in the planning process (for example a parish council or pressure group). This does not prevent Councillors from expressing views on a particular matter or from participating in debate on a matter. Councillors are therefore free to take part in the debate and vote on matters at a Parish Council provided they approach the application at Committee with an open mind. This means that they are prepared to change the way in which they vote at a Planning Committee from the way in which they voted at the Parish Council if the information available at that point persuades them that they should. 5 Contact with the Media 5.1 If asked to comment on a planning application, before its determination, Councillors should adopt the general approach outlined in Section 4, and whilst they may express views on the matter they should make it clear that they will reach a final decision on the matter at Committee. 5.2 The Council’s Constitution sets out the rules relating to contact with the media. The rules should be followed but, for planning matters, Chairmen or anyone nominated to speak on their behalf should make it clear that any response is personal and not on behalf of their Group. 5.3 If commenting to the media after a decision is taken, Councillors and officers should avoid saying anything which is likely to compromise the Council’s ability to successfully defend that decision. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 251 6 Meetings involving Planning Officers 6.1 Officers will inevitably meet applicants and third parties during their normal duties. They will: - record any significant contacts and include them in the officer’s report to Committee; - report orally to the Committee any significant contacts made subsequent to the officer’s report being prepared; - avoid giving, or what may reasonably be regarded by the fair-minded observer as appearing to give, a commitment as to the likely outcome; - make it clear that any views expressed are their own and not necessarily those of the Council; - not disclose the content of the officer’s report until after publication. 7 Reporting Planning Applications 7.1 The planning officer will prepare a written report about each planning application which is to be considered by the Committee. This will include reference to relevant policies contained in the development plan and to other material planning considerations. Representations made both for and against the application will be reported in a summarised form. Any representations made after the written report has been completed, but before the meeting date, will be reported orally in the same form. The officer’s report will outline the key planning issues, including a clear indication of the strength of the relevant planning policies, and will conclude with a firm recommendation for action. In cases where the Committee agrees with the officer’s recommendation, it will form the basis of the formal decision notice. 8 Site Visits 8.1 Site visits by the Committee have a place in the planning process but only as a means of providing Councillors with an opportunity to inspect the application site and its surroundings, in order to gather information which enables them to better understand the proposal under consideration. As far as possible, officers will provide information and visual aids which enable the Committee to reach a decision at the formal Committee meeting. Site visits are expensive and time consuming and should be viewed as an exception to the usual process which can be justified only by the importance or complexity of the application. 8.2 The Council will prepare, adopt and regularly review a Code of Practice for committee site visits in connection with planning applications. (see Annex 2) 9 Agenda Briefings 9.1 Before each Committee or Sub-Committee meeting, the Chairman and Vice-Chairman, together with the officers who will attend the meeting, will hold an agenda review meeting. A representative of each of the other political groups represented on the Committee/Sub-Committee can also attend. 9.2 The purpose of the agenda review meeting will be: Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 252 to bring the Councillors up to date with any information received since the officer’s report was printed; to ensure that the officer’s report is clear and that the rationale behind the recommendations is understood; to allow the Councillors to identify issues of particular concern and where additional information or explanation is necessary. 9.3 The agenda review meeting will normally be held not more than two working days before the Committee meeting. 10 Delegation of decision-making to Officers Certain types of planning application will be delegated to the Director, or other officers as appropriate, to make decisions and take action on behalf of the Committee in line with the Council's Scheme of Delegation. These applications will be specified in the Scheme of Delegation which will be regularly reviewed. 11 Officers' Recommendations 11.1 The primary role of officers, when planning applications are to be determined by a Committee, is to present the Committee with all the relevant information and to clearly recommend the appropriate course of action. In doing so, the officer’s report should make it clear whether a recommendation is based upon a balance of subjective judgements or fundamental points of principle. The Committee is not obliged to accept the officer’s recommendation, but it is important that the implications of not doing so are discussed. 11.2 The planning officer will, at the request of the Chairman before the vote is taken, explain the reasons for the recommendation and, as far as possible, the likely implications of the Committee taking a different decision. 11.3 It is a requirement that planning decision notices specify the reasons for the Council’s decision, whether the application is approved or refused. If the Committee rejects the officer’s recommendation, reasons for the decision will need to be specified and those reasons recorded in the minutes of the meeting. The reasons will then be included in the decision notice. Where the decision is to grant planning permission, the Committee will need to consider whether conditions or legal agreements are necessary, as these will need to be specified and included in the decision. 11.4 A Planning Member, moving that a decision should be taken contrary to the officer’s recommendation, should do so giving clear reasons (with reference to conditions and agreements if appropriate) which are capable of being used in the decision notice if adopted by the Committee. Having regard to the fact that the decision must be taken by the Committee following debate, any Councillor who has concerns about the officer recommendation should consider possible reasons for a different decision in advance on a contingency basis and discuss these reasons with the officers. Officers at Committee will assist in the formulation of reasons, etc. without prejudice to their professional integrity and will indicate if those reasons are not planning reasons. If they are not, then they should not be used and, in the absence of proper reasons, the Committee should reconsider its position prior to taking the vote. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 253 11.5 Where a decision taken contrary to the officer’s recommendation results in an appeal, particularly one to be heard at public inquiry or hearing, it may be necessary for Councillors and officers to work together to determine the best way of supporting the Committee’s decision. In certain circumstances, it may be determined that evidence is best presented by expert witnesses from outside the Council and/or by Councillors. Planning officers representing the Council in these circumstances will do so to the best of their ability without prejudice to their professional integrity. 11.6 Appeal decisions will be reported to the Committee responsible for the original decision, and a regular report on the outcome of appeals will be presented to the Planning Committee. 12 Special Arrangements for Major Planning Applications 12.1 In exceptional circumstances, the consideration of major planning applications will raise planning issues of such magnitude that special arrangements are necessary. These arrangements will be specified in the "Statement of Community Involvement" in the meantime. The Head of Planning and Development Management will have discretion to organise some, or all, of the following: - a site visit prior to any Committee debate; - a presentation to Councillors by the applicant; - a meeting with statutory consultees and/or interested parties 12.2 In these cases, meetings will be an opportunity for information and clarification, not decision, and will take place at a different time and place from the Committee meeting at which a decision will be taken. (see Annex 3) 13 Applications by Councillors or Senior Officers 13.1 These applications are covered by the Scheme of Delegation. 13.2 The officer’s report will state the position of the applicant. 14 Planning Applications made by the Council 14.1 Where a Committee is responsible for determining a planning application, it should act as a ‘Planning Committee’ basing its decision on matters of national, regional and local planning policy and material planning considerations only, and disregarding all other considerations, however worthy. It is particularly important that this approach is followed when applications submitted by the Council for its own development, or for developments of Council-owned property, are involved. 14.2 The Scheme of Delegation contains provisions to ensure that neither Committees, nor individual officers, will have a conflict of interest in acting on the Council’s behalf, and these will be kept under review. In terms of the actions of the Committee responsible for deciding these applications and of the planning officers responsible for processing them, this Code of Practice will apply. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 254 15 Declaration of Interest Councillors are bound by the Council’s Code of Conduct. Dealing with planning applications is an area of activity where there is potential for conflicts of interest, and Councillors will need to keep this possibility in mind and take advice from the Council’s Monitoring Officer in cases of uncertainty. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 255 ANNEX 1 CODE OF PRACTICE FOR NEIGHBOUR NOTIFICATION AND PUBLICITY FOR PLANNING APPLICATIONS 1 Interpretation In this Code of Practice the term “Planning Committee” means any Committee or SubCommittee of the Council responsible for determining a planning application. The terms ‘letter’ or ‘written representations’ include representations received by fax or email, but not by telephone or face-to-face conversations. The term “planning application” relates to applications for planning permission, listed building consent, conservation area consent and applications for Certificates of Lawful Development (Existing or Proposed). Applications for Prior Notification are not included as the Planning Legislation sets out separate requirements for the applicant to follow in specified circumstances. 2 Introduction The Council has certain statutory duties in relation to publicity for planning applications as set out in the relevant regulations. Whilst those regulations set a minimum standard, the Council has some discretion, for example whether to provide local notification by way of neighbour letters or a site notice and whether to undertake additional notifications or notices should they wish This code sets out the arrangements the Council will fulfil to afford planning applications suitable publicity. 3 Press notices Applications will be advertised press notice if this is a statutory requirement. The application will be advertised in the locally based newspaper for the particular parish in which the application is sited. The Planning service will maintain a list of the relevant newspaper for each parish (which may, from time to time, change as the newspapers change). The use of free newspapers has been specifically excluded from the regulations. 4 Neighbour Notification Letters Letters will be sent to all occupied addresses which share a boundary with the application site. In applying this rule, properties will be treated as sharing a boundary if they are separated from the application site by a public highway, or by a footpath, or by open public land provided the separation is no more than 20m wide. If a near neighbour does not directly adjoin the property because of intervening private land then they will not receive a notification letter. Often sites are the subject of amended or repeated applications, and comments may have been made about these previous applications. When a new application is submitted letters will be sent to anyone who has written to the Council about a previous planning application on the same site during the previous 12 month period prior to the date the new submission is valid. All neighbour notification letters (other than those to people who have previously commented) will be posted to “the occupier” at the relevant address. No attempt will be made to identify property owners. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 256 Neighbour letters will normally be sent within 5 days of receipt of a valid planning application. Letters will be sent out by second class post to addresses identified from the Council’s property gazetteer and in the case of previous respondents from planning history files. When case officers visit the site, they will be asked to check for any obvious errors in the initial notification process. This may be due to recent development or changes on site which have yet to be made to the property gazetteer. An example might be a newly built house, or a recent conversion to flats. The case officer will arrange for additional letters to be sent if necessary. Letters will advise of the ability to view the proposals at the local Customer Service Centre and via the Council’s web site and on the availability of standard notes on procedures and practices to assist them to respond. Where the Parish Council have agreed to make plans available for public inspection details of this option will also be included in the letter. 5 Site Notices Site notices will be displayed to publicise planning applications in the following circumstances: (a) instead of the notification of neighbours by letter in cases where there are no occupied buildings within the prescribed locations; (b) in addition to neighbour notification letters, if it is considered that the application is likely to have an impact over a wider area than the direct notification arrangements allow, but there is no statutory requirement for notices to be posted; (c) in cases where there is doubt about whether direct neighbour notification will reach its target (for example, on sites which are under construction where it is not clear whether neighbouring properties will be occupied before the application is decided). Site notices (statutory and non-statutory) will be posted as close to the application site as practicable while being readily visible from public locations and routes. Normally, one notice will suffice but, dependent upon the size and nature of the development and the arrangement of the surrounding area, it may be necessary to post additional notices - for example for major applications (when site notices will be posted in prominent locations in the vicinity) or where a development site is accessed from more than one highway. Site notices must be posted ‘in time’ so that they are displayed from a date at least 21 days before the stated “reply-by-date”. If this objective is not satisfied, then a new site notice with altered dates will be prepared and posted to ensure that a 21 day period for responses is provided. Site notices will be printed in a standard format on yellow paper and will be laminated. The standard format will incorporate various types (e.g. headings in bold) and the font sizes shall be as large and clear as possible. The Council will not routinely check that notices are retained on site for the relevant period, but a replacement will be posted if the premature removal of a notice is brought to the Council’s attention. Council officers will remove out-of-date notices which they see during their normal duties and also advise other bodies or individuals that removal can take place after the specified display date has passed. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 257 6 Record Keeping A record will be kept on the relevant planning application file of all letters posted and all notices displayed with dates and locations. 7 Determination Dates All publicity will include a “reply by” date, normally 21 days from the date of posting/display. Applications will not be determined until that date has expired. Where different dates apply (for example because supplementary publicity has been arranged), then the latest date is the relevant date. Whilst officers will endeavour to consider representations received after the expiry date, including up to the point at which the application is determined, this cannot be guaranteed. The Council receives a high level of correspondence and late responses are at risk of not being received by the case officer in time to influence the decision. Responses which are received after the date of decision cannot be considered. Where amended plans are the subject of further publicity the ‘reply by date’ will be 14 days rather than 21 days. In exceptional circumstances, the Director may refer a planning application to Committee for consideration in advance of the publicity expiry date, but in such circumstances any action decided will be deferred for delegated action by the Director subject to no additional material representations being received. 8 Further Publicity for Amendments If an application is amended to address concerns raised by responses received, it may not be necessary to re-notify. An example would be when a neighbour objects to an overlooking window and the applicant agrees to remove or obscure glaze the window. Other amendments will however need to be the subject of re-notification as it will be unclear whether the original concern has been overcome, or whether the amended proposal raises new issues which were not present in the original submission. A revised location of a garage may, for example, satisfy one respondent but give rise to concerns from another neighbour. It is a matter for the case officer to judge whether additional publicity/notification is required. The Planning Committees also need to be alerted to this possibility. If an application is considered acceptable by Committee but only after significant changes, then those changes may need to be the subject of publicity before formal approval. The Committee should be made aware of the need for further notification and frame any decision accordingly. When an application needs to be fundamentally altered to address concerns an applicant will be advised to withdraw the application, and to re-submit an amended application. This ensures that respondents understand what is now proposed and comment solely on the merits of the revised application. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 258 9 Handling Representations All written representations received about planning applications will be acknowledged by means of a standard letter or e-mail giving basic information about procedures. Representations will be considered by the Planning Case Officer in the first instance. When it appears that it may be possible to address the reasonable concerns of the writer by negotiation, the officer will discuss this with the applicant or their agent. If a suitable modification can be obtained which addresses all of the concerns, then the concerns will be treated as dealt with. Similarly, if the reasons for objection can be dealt with by the imposition of an appropriate condition, then they are within the remit of the Planning Officer to deal with. In either of these cases or in the cases where the basis of objections are not material planning considerations or where the only representations are in accordance with the officer’s recommendation to approve/refuse the application, then the Director may use his delegated powers to determine the planning application in accordance with the approved scheme of delegation. For the purposes of applying the scheme of delegation responses of “no objection” will be treated as neutral. Planning applications which are recommended for approval where there are unresolved objections, or for refusal whether there are explicit letters of support (other than those submitted by applicants or their agents), will be referred to the appropriate Planning Committee or special delegation meeting for determination. The officer’s report will summarise any representations received and consider any relevant planning issues raised before coming to a recommendation. Where two or more letters are submitted, they may be summarised together. In the case of reports to Committee, any representations which have been received before the officer’s report is printed for circulation will be referred to in that report by reference to the originating address and will be summarised in a way which briefly highlights the main points of the letter. Where representations are received after the relevant Committee report has been completed, they will be summarised orally by the Planning Officer at the Committee meeting using the same approach as set out above. A file note will be kept listing all representations dealt with in this way. All letters received will be made public on the Council’s web-site. Letters that contain discriminatory, libellous or derogatory comments will not be considered and will be returned to the originator. 10 Advising Third-Parties of Decisions Once the planning application is determined, the decision will be conveyed to all the third party respondents by means of a letter or e-mail, which will list the conditions in the case of an approved application or the reasons for refusal. Individual letters explaining the decision will not be sent, but a detailed explanation will be provided if requested in further correspondence. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 259 ANNEX 2 CODE OF PRACTICE FOR COMMITTEE SITE VISITS IN CONNECTION WITH PLANNING APPLICATIONS 1 Introduction Section 8 of the “Code of Practice for Members and Officers for dealing with Planning Applications” refers to site visits by Committees. This Code of Practice sets out detailed arrangements for Committee site visits. Nothing in this protocol shall prevent an individual Councillor visiting an application site separate from the formal site visit. Councillors doing so should bear in mind the Code of Practice for Councillors and Officers dealing with Planning Applications (particularly section 4.3). 2 The Purpose of Committee Site Visits The only purpose of a site visit is to enable Councillors to gather information relevant to the application under consideration to aid understanding and to inform the decision. In the main, planning applications are straightforward and sufficient information can be provided by officers, who will always visit application sites, and by Ward Councillors, to enable the Committee to understand the proposal and make a decision. Site visits are time-consuming and expensive and should only be proposed when absolutely necessary. Each case needs to be considered on its merits, but site visits will only normally be necessary in the following circumstances: 3 Applications which may have a significant or widespread impact on the surrounding area, which Councillors need to see and understand. Applications where, after debate, Councillors are genuinely undecided about where the balance lies between conflicting arguments for and against the proposal and where seeing the site and its surroundings would be helpful in resolving the issue. Authority for Site Visits The authority for a formal site visit must come from the Committee with the responsibility for decision-making (although an Area Planning Sub-Committee may arrange a site visit in respect of an application, which may ultimately be referred up to the Planning Committee). In most cases, site visits will be arranged after a planning application has been considered and deferred by the Committee. However, in order to avoid delay, the Planning Committee may wish to arrange a site visit in respect of an application known to be under consideration and likely to be reported to the next scheduled meeting. Officers will facilitate this, where possible, by advising the Planning Committee of significant applications likely to be reported to the next meeting. Committees will not visit sites of applications that will be determined by officers under the Scheme of Delegation. 4 Arrangement of Site Visits Committee Managers will make the arrangements for the date and time of the site visit. The visit will be organised to take place before the next scheduled meeting of the Committee so Councillors are able to debate and decide the application in the knowledge gained at the visit. Often, although not exclusively, the visit will be arranged for the day of the next Committee or the preceding day. Where more than one visit is to be held, they will be held, whenever possible, on the same day and in accordance with a predetermined timetable. The Committee Manager will be responsible for advising all those invited to the visit(s) of the arrangements and for ensuring that access is available where necessary. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 260 The arrangements for the site visits shall, where appropriate, include matters such as transport arrangements, parking (if councillors are to travel independently) and health and safety issues (including equipment and special arrangements for the site which may involve hazards). Where a number of sites are to be visited during a day, subsistence arrangements will also be considered. Transport Arrangements and Parking Wherever possible, transport to site visits should be by minibus running from County Hall with suitable liaison points for those Members not visiting every site on the itinerary. This will not preclude Members from using their own transport, if they are unable to visit all of the sites, or if they have other engagements which would make travelling by minibus impractical. The responsible officer (ie the relevant Planning Manager) should attempt to identify a liaison point with safe parking near the application site where all those visiting can be directed to meet. Health and Safety Issues Prior to a visit taking place, the responsible officer (ie the relevant Planning Manager) should undertake a generic risk assessment and complete a checklist to be used as a site specific risk analysis. This will identify specific risks for each site and the need for any personal protective equipment, eg high visibility jackets, hard hats and safety or waterproof footwear. If Members wish to view parts of the site that have not been risk assessed, the responsible officer should first make an assessment of the risks and advise whether the risks are too great to proceed or whether Members can proceed with caution. Members and officers should be aware not only of the risks on site but also of the risks within the surrounding area and from other parties. The responsible officer should manage site visits so as to minimise these risks and, if appropriate, police accompaniment can be arranged. 5 Attendance at Site Visits The site visit will be arranged with the applicant (or the authorised agent). Application sites are usually private land and access to the site is only possible with the applicant’s (or owner’s) permission. It is important, therefore, that attendance is limited to those specifically authorised by the Committee Manager and that others are not given any informal advice that they will be able to attend. Those authorised will be: Members of the Committee which asked for the visit (who should make every effort to attend) Any other Members of the Council The Committee Manager The relevant Planning Officer(s) (usually the Divisional Manager or Team Leader and/or Senior Case Officer) Other specialist officers of the Council, as appropriate The applicant and/or authorised agent Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 261 Any other person(s) identified by the Committee when the site visit is approved and who has the applicant’s/owner’s permission to enter the site. Neighbours, third parties, parish councils and others will not be advised of the arrangements for a site visit, unless they have been identified by the Committee as having an important role to play in relation to a specific visit (NB: If it is considered appropriate for Councillors to visit the adjoining property to view an application site from that perspective, similar constraints apply. Only those with the permission of the adjoining owner may enter that private property. It is important, therefore, that the need for such a visit is identified early so that necessary authorisation can be obtained). It is, of course, not necessary for prior consent to be obtained if the application site is to be viewed from the highway or other public land. However, in the interests of good management (including health and safety), attendance should be arranged beforehand as described above. 6 Conduct of Site Visits It is important that Committee site visits are well regulated so that Councillors have the maximum opportunity for gathering information that they require and so that there can be no substantiated claims of undue influence on councillors by applicants or third parties. The site visit should be viewed as an extension of the formal Committee meeting and normal rules apply. The visit will normally be “chaired” by the Chairman of the Committee or Sub-Committee. Where this is not possible, a substitute will be appointed in advance. Councillors, officers and others must only address the site visit “through the chair”. It is particularly important that Councillors do not allow themselves to become targets for lobbying by entering into discussions with individuals away from the main site visit meeting. The normal format for the site visit will be: (a) Chairman formally calls the meeting to order to time. No Members should access the site prior to the commencement time. (b) Planning officer introduces the application and explains what is proposed in relation to the site. (c) Any specialist Council officer present elaborates on the general description offered by the planning officer. (d) Councillors are invited to ask any questions or to point out any relevant facts. Questions will normally be answered by Council officers through the Chairman, but, if appropriate, the applicant, agent or any third parties present may be invited by the Chairman to provide factual information to assist Councillors’ understanding of the situation. (e) The process may be repeated several times if it is helpful to move to different parts of the site. (f) When appropriate (for example, if the visit is to an industrial establishment) the applicant (or authorised agent) may be invited to guide Councillors through the site, providing explanatory commentary as necessary. However, this should not Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 262 include a presentation of arguments in support of the application. If appropriate, this will be arranged separately. (g) The Chairman formally closes the site visit. Although the conduct of individual site visits will necessarily be flexible to recognise the particular character of the site and/or the proposed development, visits should always follow the basic principles of this code. It is particularly important that all participants remember that site visits are fact-finding exercises not an opportunity for interested parties to press their opinion on the merits of the planning application. 7 The Decision Importantly, no decision is taken at the site visit, nor should Councillors give any indication of what the decision may eventually be. The information gathered at the site visit will be of use when the planning application is reported back to the next formal Committee meeting at which a decision will be taken. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 263 ANNEX 3 CODE OF PRACTICE FOR MAJOR APPLICATIONS 1 Where it is proposed by the Head of Planning and Development Management that a presentation to Councillors by the applicant and/or objectors or statutory consultees is appropriate prior to Councillors taking a decision on a major planning application, the presentation shall normally take place at the beginning of the week of the meeting of the Committee which is due to take the decision on the application and shall be open to all Councillors. The meeting shall be chaired by the Chairman of the Planning Committee. 2 The presentation shall be open to the general public and press. 3 Where the applicant is invited to address Councillors, objectors to the proposal shall also be afforded a similar opportunity and vice versa. Each party shall be allowed to speak for a maximum of 30 minutes. 4 Presentations shall normally be based on the officer’s report, which will be available during the week prior to the relevant Committee. 5 Any delegation to address Councillors shall be restricted to a maximum of five persons unless otherwise agreed by the Head of Planning and Development Management. Delegations may include a professional person(s) to put forward technical views but should not make legal representations. 6 Councillors shall not ask questions directly of the applicant and/or objectors or statutory consultees during presentations, except for the purpose of clarification, but may, following a presentation, ask officers to investigate issues raised and to report their findings to the Committee meeting at which a decision on the application is to be made. 7 In exceptional circumstances and where the Head of Planning and Development Management agrees, applicants may be permitted to make a presentation to Councillors prior to or at the same time that their application is submitted. In such circumstances, the arrangements set out above shall apply where they are relevant. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 264 ANNEX D HEALTH SCRUTINY CODE OF PRACTICE 1 Introduction 1.1 The Health and Social Care Act 2001 gives local authorities the power to review and scrutinise matters related to the health services that affect the local population. It also allows the local authority to make reports and recommendations to local NHS and other bodies associated with health. In the East Riding, this function falls to the Council's Health, Care and Wellbeing Overview and Scrutiny Sub-Committee. 1.2 This Code of Practice is designed to allow discussion and agreement on protocols for joint working. The Code of Practice is designed as a tool to enable a working agreement between health partners. As further legislation and guidance is published, and as experience grows on all sides with the operation of health scrutiny, it is probable that this Code will require amendment. The purpose is therefore to enable a flexible set of guiding principles and working protocols for all sides, and not to provide a rigid or dogmatic contract. 2 Working Principles 2.1 Health scrutiny in the East Riding of Yorkshire will be carried out on the basis of the following principles: 2.2 Co-operation 2.3 Health scrutiny will only succeed if all of the key partners involved work together within a climate of mutual respect for each other's opinions and professionalisms and a shared understanding of health scrutiny and its aims. Each of the key partners involved must be willing to share knowledge and information, act within the terms of this Code of Practice and treat with courtesy all of those involved at any stage with health scrutiny. The key to effective co-operation is a shared understanding of other partner’s roles, operations, responsibilities and priorities. Regular dialogue and joint training and knowledge dissemination should be considered a priority, whilst recognising the many other demands on the time of leading figures. Shared Responsibilities All partners recognise that the health of a local population is dependent on many factors, not just the quality of local healthcare. Many services provided by local authorities, or others, have the potential to affect people's health. Some services in the area are already provided through partnership working between NHS bodies and local authorities, as well as other agencies. Those involved in health scrutiny should attempt to learn from these partnerships. All of the partners included within this Code of Practice recognise that the goal of health scrutiny is to improve the health of the local population and reduce health inequalities. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 265 2.4 Accountability 2.5 Accessibility 2.6 The process of health scrutiny will be open and accountable, meeting in public wherever possible. Councillors involved in health scrutiny will always declare any prejudicial or nonprejudicial interest in accordance with the Council’s Constitution and Government guidance. Whilst working within a partnership agreement, it should be recognised that the Community Health Councils and the Health, Care and Wellbeing Overview and Scrutiny Sub-Committee are both independent of the NHS. The Committees can also hold views independent of other Members of the Council and its Cabinet. As with other scrutiny committees and sub-committees, and in line with the Council's Constitution, this independence should not be compromised by other members or any other organisation. Partners within health scrutiny should work together to enable the process to be as inclusive and accessible as possible to patients, the public and others. Health scrutiny will be informed and work more effectively if the views of the above, and in particular hard-to-reach groups, are gained. Outcome Focussed Health scrutiny should be evidence based and focus on health improvement. As such, cross-cutting reviews may provide the best focus for identifying gaps in services. It is not the role of health scrutiny to take up individual cases or complaints. However, a number of complaints regarding one area or service may inform the scrutiny panel or Patients' Forums to possible improvements and recommendations. As health scrutiny is an evolving process, a wide-ranging programme of evaluation will be included in its work programme. 3 East Riding of Yorkshire Council will: 3.1.1 Administration Establish a circulation list and distribute agendas, reports and minutes as appropriate. Invite NHS representatives, normally giving at least 20 working days’ notice. All invitations to NHS bodies or individuals to attend scrutiny meetings should be routed via that organisation’s Chief Executive. Appoint an officer to provide a contact point for all health partners. Request information from NHS bodies, normally allowing at least 20 working days to respond. Requests for information should normally be contained to that which is routinely collected as part of a health body’s ongoing remit ie such requests should not normally necessitate huge amounts of extra resource investments to provide the information asked for by the scrutiny panel. Distribute copies of review reports to appropriate NHS representatives, Community Health Councils, appropriate patients' bodies, the relevant council Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 266 and its executive, local MPs, individuals contributing to reviews and other bodies as appropriate. 3.1.2 Consultation and Communication 3.1.3 Consult with local NHS bodies, CHCs and others on the Committee’s work programmes. Inform relevant NHS bodies in advance of any press releases relating to health scrutiny. Maintain regular contact with health partners. An annual meeting should be held between all key partners, with other meetings arranged on an ad hoc basis as required. Members of the Health, Care and Wellbeing Overview and Scrutiny SubCommittee will: Familiarise themselves with the subjects under review. Prior to any review commencing, a scoping meeting will be held between the Sub-Committee, appropriate officers and any other individual or bodies as considered appropriate. This would serve to identify key witnesses and sources of information, potential outcomes and map out a possible course for the enquiry. Treat those invited to Sub-Committee meetings with courtesy and respect. Adopt a positive style of questioning. Never request NHS employees to discuss individual performances or individual patients, day to day decisions or state their personal opinion as to the appropriateness of national Government policy. If agreed, undertake visits to NHS centres as appropriate. Comply with the requirements of the Council's Constitution. Not criticise individual officers of NHS bodies. 3.2 National Health Service Bodies will: 3.2.1 Administration Provide information relating to the planning and operation of NHS bodies as requested by the Health, Care and Wellbeing Overview and Scrutiny SubCommittee. Information should normally be provided within 20 working days. However, if the information is considered complex or difficult to collate, the Sub-Committee should be kept informed. Certain information is not to be disclosed to the Sub-Committee in accordance with legislation and guidance. Provide all relevant information to the Sub-Committee to enable it to develop a working knowledge of the operation of local NHS bodies. Examples of this could include reports from the Director of Public Health, inspection reports, internal reviews of service etc. Provide a nominated senior level scrutiny liaison person through which requests for information and the identification of potential witnesses be channelled. When requested, respond in writing to reports of the relevant scrutiny panel within 28 days of receipt. Copy that response to the relevant CHC, appropriate patient bodies, individuals contributing to reviews, local MPs, the Council and other bodies as appropriate. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 267 3.2.2 Consultation and Communication 3.2.3 Actively consult with the Sub-Committee at an early stage on plans for substantial developments or variations to service. This is in addition to carrying out their duty to consult with the CHC. Inform the Sub-Committee of public consultations being carried out in sufficient time for Councillors to contribute an informed response. Assist the Sub-Committee in identifying recently raised health issues on a local, regional and national basis as they see fit. Take part in consultation on topics for review, including the preparation of short briefings in requested areas to evaluate the potential for inclusion within scrutiny's work programme. Identify a key contact for each review to ease the access to information. This person should be appropriate to the review area and will be likely to change in accordance with the topic. Maintain regular contact with the Sub-Committee via the nominated liaison person. Meetings and Health Scrutiny Reviews If agreed, support panel members on site visits. Ensure that Chief Executives or nominated replacements attend meetings of the Sub-Committee when notified. Ensure that, when invited and given appropriate notice, identified NHS officers attend the Sub-Committee’s meetings. Ensure that officers invited to attend Sub-Committee meetings are supported by their line managers. Wherever possible, supply written material prior to meetings to allow Councillors time to prepare. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 268 PART 6 MEMBERS’ ALLOWANCES SCHEME Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 269 MEMBERS’ ALLOWANCES SCHEME 1 Basic Allowance 1.1 A basic allowance is payable to each Member as per Schedule 1. 1.2 Information technology allowances are payable as per Schedule 1 towards the costs incurred by Members on receipt of itemised paid invoices. 2 Special Responsibility Allowances 2.1 Special responsibility allowances are payable to the Members specified as per Schedule 1. 2.2 Special responsibility allowances are not cumulative and only the highest single allowance applicable is payable to any one Member, except for group officer supplements. 3 Co-optees Allowances 3.1 Co-optees allowances are payable as per Schedule 1 for attendance at relevant meetings. 3.2 Allowances are not payable where co-optees are given time off work from their employers without any loss of earnings. 4 Carers Allowances 4.1 Childcare and dependant carer allowances are payable as per Schedule 1 towards the costs incurred by qualifying Members on receipt of paid invoices. 4.2 The childcare allowance is the same as the national minimum wage rate and the dependent carer allowance is the same as the rate charged by the Council for home care. 5 Travelling and Subsistence Allowances 5.1 Travelling and subsistence allowances are payable as per Schedule 1 to Members for attendance at the following (a) Meetings of the Council, The Cabinet, Committees or Sub-Committees. (b) Such other duties as are approved in advance by the Council, The Cabinet, Committees or Sub-Committees. (c) Seminars organised by directorates of the Council or otherwise approved by the Council, The Cabinet, Committees or Sub-Committees. (d) Attendance at meetings with officers, Members or constituents on legitimate Council business. (e) Political group meetings. (f) Pre-arranged inter-political group meetings, with officers present, to which at least two groups are invited. (These meetings are to be called by officers, to take Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 270 place on Council premises, to have specific topics and attendance to be authenticated by an appropriate signed document). (g) Outside bodies as agreed by the Group Secretaries and authorised by the Council. (h) Parish and town council meetings. (i) Such other duties as are approved in advance by the Chief Executive in consultation with the Head of Finance. 5.2 The mileage rates payable are the same as officers’ rates, which are reviewed nationally each year. 5.3 The Council’s assisted car purchase scheme is available to Members. 6 Claims and Payments 6.1 Basic and special responsibility allowances are paid monthly in advance. Claims for the information technology allowances should be made in writing to the Head of Finance, together with supporting receipts. 6.2 Claims for co-optees, carers, travelling and subsistence allowances should be made on the approved forms, together with supporting receipts, to the Head of Finance within two months of the date of the duty in respect of which the entitlement to the allowances arise. 6.3 A Member may, by notice in writing given to the Head of Finance, elect to forgo any entitlement to an allowance under the Scheme. 6.4 Where a Member is suspended or partially suspended from his/her responsibilities or duties as a Member of the Council the part of the allowances payable to him/her in respect of the period for which he/she is suspended or partially suspended will be withheld, or repaid where already paid. 6.5 In the event of any amendments to the Scheme, changes in Members’ special responsibilities or terms of office which vary the basic and/or special responsibility allowances, the amounts payable are calculated pro rata to the number of days in the year ending 31 March. 7 Indexation 7.1 The basic, special responsibility, group officer supplements, co-optees, bicycle and subsistence allowances are increased on 1 April each year in line with the NJC officers’ national pay award. Mileage rates are the same as officers which are amended nationally on 1 April each year. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 271 Schedule 1 (Rev) MEMBERS’ ALLOWANCES AT 24 JUNE 2015 £ 1. Basic Allowance (a) (b) (c) 2. 11,056 731 147 Special Responsibility Allowances (per annum) (a) (b) (c) (d) 3. All Members (per annum) IT Initial IT Maintenance (per annum) Leader of the Council and Leader of the Conservative Group Deputy Leader of the Council and Deputy Leader of the Conservative Group Other Cabinet Members Leader of the Main Opposition Group 35,685 26,763 14,344 3,586 Overview and Scrutiny, Overview Management Committee & Planning & Review Panels Chairman 9,563 Overview and Scrutiny, Overview Management Committee & Planning Committee Vice Chairman 2,390 Area Planning Sub, Licensing, Licensing Act 2003, Pensions, Staff Terms and Conditions Committees, Audit Chairmen 3,586 Group Officer Supplements (per annum)* (e) Conservative Group – (51) Secretary Chief Whip Deputy Group Whip - 12,708 3,915 1,584 -------- Labour Group – (6) Deputy Leader 18,207 2,142 -------- 2,142 * £357 per capita allocated by the Groups to Members holding Group Offices where there are more than 6 members in a Group. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 272 £ 4. Co-optees Allowance (a) (b) 5. 46.00 77.00 Dependent Carers’ Allowances (per hour) (a) (b) 6. Up to 4 hours duration Over 4 hours duration Childcare Dependent Carer 6.50 10.60 Travelling Allowances (a) Essential Car User Up to 999 cc (per mile) (plus per annum) Over 999 cc (per mile) (plus per annum) (b) Casual Car User Up to 999 cc (per mile) Over 999 cc (per mile) 0.469 * 0.522 * (c) Bicycle (per mile) 0.100 (d) Public Transport Actual cost 0.369* (846) 0.409* (963) * Up to 6,000 miles per annum, £0.17 thereafter 7. Subsistence Allowances (a) (b) NB Actual cost not exceeding Breakfast - more than 4 hours before 11 am Lunch - more than 4 hours including 12 noon to 2 pm Tea - more than 4 hours including 3 pm to 6 pm Dinner - more than 4 hours ending after 7 pm Overnight (covering 24 hours) - Inner London - Elsewhere Out of pocket expenses (per night) 6.57 8.96 3.57 17.92 166.81 125.51 4.77 The basic, special responsibility, group officer supplements, co-optees, bicycle and subsistence allowances have been increased automatically in line with the NJC officers’ national pay award. 3F/SW 24 June 2015 Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 273 PART 7 MANAGEMENT STRUCTURE Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 274 Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 275 APPOINTMENT OF OFFICERS (1) The Chief Executive is appointed Electoral Registration Officer and Acting Returning Officer for any constituency or part of a constituency coterminous with or contained in the District. (2) The Chief Executive is appointed Electoral Registration Officer and Returning Officer for the elections of Councillors for the District and of Councillors for parishes within the District. (3) The Chief Executive is appointed Head of the Paid Service, under Section 4 of the Local Government and Housing Act 1989. (4) The Head of Finance is appointed as the officer having responsibility for the administration of the Council’s financial affairs pursuant to Section 151 of the Local Government Act 1972. (5) The Head of Legal and Democratic Services is appointed Monitoring Officer under Section 5 of the Local Government and Housing Act 1989. (6) The Director of Environment and Neighbourhood Services is appointed as the officer having responsibility for the storage and charge of cemetery records pursuant to Article 12 of the Local Authorities’ Cemeteries Order 1977 and the Director of Corporate Resources is appointed as the officer having responsibility for the signature of grants under Paragraph 1 of Part II of Schedule 12 of that Order and the granting of permission for the various matters referred to in Paragraph 1 of that Schedule. (7) The officers specified in the Table hereunder are appointed the Proper Officer for the purpose of the respective functions therein specified in relation to them:Reference Subject Matter Proper Officer Children Act 2004, S.18 Director of Children’s Services Director of Children, Families and Schools Local Authority Social Services Act 1970, S7(1) Head of Adult Services Director of Adult Social Services National Assistance Act Medical Officer of Health 1948, S.47 Consultant in Communicable Disease Control of North Yorkshire and the Humber Health Protection Unit or such person as may be nominated by the Authority on terms to be agreed by the Director of Environment and Neighbourhood Services Local Government Act 1972 “S.83” Chief Executive Witness and receipt of declaration of acceptance of office Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 276 Reference Subject Matter Proper Officer “S.84” Receipt of declaration of resignation of office Chief Executive “S.88(2)” Convening of meeting of council to fill casual vacancy in office of Chairman Chief Executive “S.89(1)(b)” Receipt of notice of casual vacancy from two local government electors Chief Executive “S.96(1)” Receipt of notices of pecuniary interest Chief Executive “S.96(2)” Keeping records of disclosures of pecuniary interest made under Section 94 and of notices under Section 96(1) Chief Executive “S.100B” Exclusions reports, etc. from inspection Head of Legal and Democratic Services “S.100C” Written Summary where minutes would disclose exempt information Head of Legal and Democratic Services “S.100D” Compilation of list of background papers For each report, the officer named in it as its author, or if more than one, the first named “S.100F” Exclusion from production to members of documents disclosing exempt information Chief Executive “S.115(2)” Receipt of money due from officers Director of Corporate Resources “S.146(1)(a) and (b)” Declarations and certificates with regard to securities Director of Corporate Resources “S.191” Functions with respect to ordnance survey Director of Planning and Economic Regeneration “S.210” Charity functions Chief Executive “S.225(1)” Deposit of documents Director of Corporate Resources “S.229(5)” Certification of photographic copies of documents Chief Executive Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 277 Reference Subject Matter Proper Officer “S.234(1)” Authentication of documents (a) Statutory notices under the Director of Environment and Public Health Acts 1936 and 1961, Neighbourhood Services the Public Health (Recurring Nuisances) Act 1969, the Clean Air Acts 1956 and 1968, the Control of Pollution Act 1974, the Housing Acts 1957 and 1988, the Local Government Act 1989, the Local Government (Miscellaneous Provisions) Act 1976 (except as specified in the next paragraph), the Prevention of Damage by Pests Act 1948, the Food Act 1984 and the Environmental Protection Act 1990 (as it relates to statutory nuisances) (b) Notices under the Building Regulations and the Building Act 1984 and under the Local Government (Miscellaneous Provisions) Act 1976 with regard to building control matters Director of Planning and Economic Regeneration (c) Any other matter Director of Corporate Resources “S.238” Certification of byelaws Director of Corporate Resources “S.248” Keeping of roll of freeman Chief Executive Schedule 12 Para.4(2)(b) Signature of summons to council meetings Chief Executive Schedule 12 Para.4(3) Receipt of notices regarding address to which summons to meeting is to be sent Chief Executive Schedule 14 Para.25(7) Certification of resolutions under paragraph 25 Chief Executive Schedule 29 Para.41 Exercise of functions under Section Director of Corporate 9(1) and (2), 13(2)(h) and 3(b) and Resources 20(b) of the Registration Services Act 1953 Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 278 Reference Subject Matter Proper Officer Local Elections (Principal Areas) (England and Wales) Rules 2006 Schedules 2 and 3, Rule 50 Receipt from Returning Officer of the names of persons elected to the Council Chief Executive Local Government Act 1974 “S.30” Publication of reports of Local Commissioners Chief Executive Local Government (Miscellaneous Provisions) Act 1976 “S.41” Certification of copies of resolutions, minutes and other documents Chief Executive Rates Act 1984 “S.7” Certification of Rate Director of Corporate Resources Public Health (Control of Diseases) Act 1984 Building Act 1984 Food Safety Act 1990 “S.27” Consultant in Communicable Disease Control of North Yorkshire and the Humber Health Protection Unit or such person as may be nominated by the Authority on terms to be agreed by the Director of Environment and Neighbourhood Services (a) Various purposes with regard to drainage, water supply, sanitary accommodation Director of Environment and Neighbourhood Services (b) Purposes relating to building control other than those comprised in (a) above Director of Environment and Neighbourhood Services Public Health (Infectious Diseases) Regulations 1988 Consultant in Communicable Disease Control of North Yorkshire and the Humber Health Protection Unit or such person as may be nominated by the Authority on terms to be agreed by the Director of Environment and Neighbourhood Services Public Analyst Such person to be nominated by the authority on terms to be agreed by the Director of Environment and Neighbourhood Services Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 279 Reference Subject Matter Proper Officer Party Wall Act 1996 Director of Corporate Resources Highways Act 1980 “S.37” Deposit of Certificates and Orders Chief Executive Freedom of Information Act 2000 “S.36” Classification of Exempt Information Chief Executive Local Government and Housing Act 1989 “S.2” Receipt of list of Politically Restricted Chief Executive Posts “Ss.15, 16 & 17” Receipt of notices relating to Political Chief Executive Groups “S.19” Receipt of general notice of members’ pecuniary interests Chief Executive Environmental Protection Act 1990 “S.149” Discharging the functions in the section for dealing with stray dogs Director of Environment and Neighbourhood Services Local Government Act 2000 S9FB Localism Act 2011 “S.33” Scrutiny Officer Director of Corporate Resources Determination of written requests by Members/Co-opted Members of the Authority for dispensations where they have a pecuniary interest Monitoring Officer (8) The officer of the Council named in the second column hereunder is appointed the proper officer of the Council in relation to references to the officer named in the first column in:(i) 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 the 26 October 1972 which reference is to be construed as a reference to the proper officer of the Council; (ii) any reference in any local statutory provision which, by virtue of any Order made under the Local Government Act 1972, is to be construed as a reference to the proper officer of the Council. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 280 1 Reference 2 Proper Officer Town Clerk or Clerk of the Council Chief Executive Treasurer Service Director Finance Surveyor Service Director Highways and Planning Public Health Inspector Service Director Neighbourhood and Environmental Services (9) Every appointment hereby made in relation to a provision which is replaced or reenacted shall be effective as an appointment of the same officer in relation to the corresponding new provision. (10) Until the Council otherwise determine the Chief Executive is appointed the proper officer for the purpose of all statutory provisions, whether existing or future, in respect of which no express proper officer appointment has for the time being been made. (11) An officer appointed as a proper officer may make arrangements for the carrying out of the relevant duties and functions by another officer in the event of an officer being for any reason unavailable or unable to act. Democrat_CR\Constitution\Constitution_aug15.docx (dh/zlm) 281
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