This report will be made
public on 28 October
2013
Report Number
To:
Date:
Status:
Head of service:
CA/13/02
Constitutional Advisory Committee
5 November 2013
Non-executive decision
Peter Wignall, Administration
SUBJECT: RECORDING OF EXECUTIVE DECISIONS MADE BY OFFICERS
SUMMARY: The Local Authorities (Executive Arrangements) (Meetings and
Access to Information) (England) Regulations 2012 requires in regulation 13(4)
that executive decisions taken by officers must be recorded in a written statement.
This report recommends the type of officer decisions that should be formally
recorded in accordance with the regulations.
.
REASON FOR RECOMMENDATIONS:
The committee asked to agree the recommendations in order to determine the
type of executive officer decisions that need to be recorded in accordance with the
above regulations and to make the relevant recommendations to council.
RECOMMENDATIONS:
1.
To receive and note report CA/13/02.
2.
To recommend to council that executive decisions made by officers
where:
a) The financial implications for the council of the decisions are
between £100,000 and £299,999 (officers should ensure that they
act within the budget and financial procedure rules);
b) They make a key decision; or
c) Where they have been specifically delegated to make a particular
decision (whether or not in consultation with a cabinet member)
by the cabinet or an individual executive councillor
should be formally recorded in accordance with The Local Authorities
(Executive Arrangements) (Meetings and Access to Information)
(England) Regulations 2012.
1.
INTRODUCTION
1.1
The Local Authorities (Executive Arrangements) (Meetings and Access to
Information) (England) Regulations 2012 requires in regulation 13(4) that
executive decisions taken by officers must be recorded in a written
statement.
1.2
This statement must include the decision, its date and a record of the
reasons for the decision, any alternative options considered and rejected
by the officer and any note of dispensation granted by the relevant
authority’s head of paid service in respect of any declared conflict of
interest.
1,3
On the face of them therefore the regulations covers every single decision
made including such routine decisions as the purchase of paperclips or
whether to respond in writing to a complaint about the level of a particular
service.
1.4
The government subsequently issued guidance (“Your council’s cabinet –
going to its meetings, seeing how it works - A guide for local people - June
2013”).
1.5
Part of that guidance states:
“Are all decisions made by councils’ officers to be so recorded?
No. The requirement to record decisions extends only to “executive
decisions”. Executive decisions can sometimes be defined in your council’s
rules. Decisions which are taken by officers under specific delegations from
a meeting of their council's executive are clearly executive decisions.
However, many administrative and operational decisions officers take on
how they go about their day to day work will be delegated within the
council’s rules and are not in this “executive decisions” category; as such
they do not need to be recorded. Such decisions might include the
following examples:
•
•
•
•
•
•
decisions to allocate social carers to particular individuals, or for
example, provide walking aids;
decisions to allocate a social housing unit to an applicant or to send
someone to carry out repairs;
decisions to give business relief to individual traders
decisions to review the benefit claims of an individual applicant;
decisions to allocate market stalls to individual traders;
a decision to instruct certain staff within the council to appear in
court in connection with proceedings relating environmental issues.
Where officers have been empowered to act on behalf of their council's
executive, examples of decisions that should be recorded could include:
•
decisions about awarding contracts above specified individual/total
values; decisions to exercise powers of Compulsory Purchase;
•
•
•
•
•
•
•
decisions on disposal of and/or provision of allotment land and
green spaces;
decision to purchase new ICT systems;
the opening hours of local libraries;
the holding of car boot sales/markets on council-owned land;
the operating hours of off-street car parks;
a decision to close a school;
a decision to carry out major road works.
This is not intended to be an exhaustive list, rather a series of examples to
illustrate that, in the interests of maximum transparency, the new
regulations require more than just key decisions to be recorded.
Ultimately it is for local decision makers to decide what information
should be recorded on the basis of the national rules.” (Emphasis
added).
1.6
It is considered necessary therefore for the council to set down what officer
executive decisions should be recorded in accordance with the regulations.
This report set out the suggested circumstances.
2.
FORMAL RECORDS OF EXECUTIVE DECISIONS MADE BY OFFICERS
2.1
The Executive decisions taken by officers should, it is suggested be
formally recorded in accordance with the regulations where:
a)
b)
c)
2.3
The financial implications for the council of the decisions are between
£100,000 and £299,999 (officers should ensure that they act within
the budget);
They make a key decision; or
Where they have been specifically delegated to make a particular
decision (whether or not in consultation with a cabinet member) by the
cabinet or an individual executive councillor.
A key decision is any decision:
a)
b)
c)
d)
e)
Relating to the approval of or variation to the Council’s budget or
policy framework which is reserved in the Council’s constitution for
determination by full Council on a recommendation from Cabinet; or
Which involves the incurring of expenditure, or the making of savings,
by the Council which are anticipated to be in excess of £300,000 with
the exception of items previously included in the relevant approved
budget; or
Where the Council is entering into a contractual obligation with a
value in excess of £500,000; or
For the acquisition or disposal of land or property with a value of over
£500,000; or
Which is likely to be significant in terms of its effects on communities
living or working in an area comprising two or more wards in the
Council’s area.
A decision will not be a key decision if it relates to expenditure, income or
savings that:
a)
b)
c)
2.4
Has been approved previously by full Council; or
Has been approved previously following compliance with the key
decision procedure or;
Is in accordance with the current treasury management and
investment policy of the Council.
The record of decision must contain:
a)
b)
c)
d)
e)
f)
A record of the decision
The date that the decision was made
A record of the reasons for the decision
Details of any alternative options considered and rejected by the
decision maker
A record of any conflict of interest declared by the decision
maker or any executive member who is consulted by the officer which
also relates to the decision
In respect of any declared conflict of interest, a note of dispensation
granted by the relevant local authority’s head of paid service.
3.
RISK MANAGEMENT ISSUES
3.1
There are no risks identified
4.
LEGAL/FINANCIAL AND OTHER CONTROLS/POLICY MATTERS
4.1
Legal Officer’s Comments (EC)
The legal background is set out in the body of this report.
4.2
Finance Officer’s Comments (MF)
There are no financial implications arising from this report.
4.3
Diversities and Equalities Implications
No diversity or equalities implications.
5.
CONTACT OFFICER AND BACKGROUND DOCUMENTS
Councillors with any questions arising from this report should contact the
following officer prior to the meeting:
Peter Wignall, Head of Administration
Telephone: 01303 853253
E-mail: [email protected].
The following background documents have been relied upon in the
preparation of this report: None