Allerdale Borough Council

11 May 2010

Council Will meet on Wednesday 19 May 2010 at 7.00 pm in The Wave - Maryport

Membership:

Councillor John (Binky) Armstrong (Chairman)

Councillor Allan Caine Councillor John Ardron Councillor Carole Armstrong Councillor Bill Bacon Councillor Peter Bales Councillor Alan Barry Councillor Barbara Cannon Councillor John Colhoun Councillor John Crouch Councillor Michael Davidson Councillor Duncan Fairbairn Councillor Trevor Fee Councillor Ian Francis Councillor Miriam Gainford Councillor Jeffrey Gardner Councillor Chris Garrard Councillor Bob Hardon Councillor Nicholas Hardy Councillor Tim Heslop Councillor Vaughan Hodgson Councillor Carl Holding Councillor Joe Holliday Councillor Ivor Humes Councillor Gerald Humes Councillor John Hunter Councillor Margaret Jackson Councillor William Jefferson Councillor Denstone Kemp Councillor Peter Kendall Councillor Angela Kendall Councillor Jim Lister Councillor Les Lytollis Councillor Jean MacLeod Councillor Louise Maguire Councillor Anthony Markley Councillor Carni McCarron-Holmes Councillor Heather McIntosh Councillor Joe Milburn Councillor Stuart Moffat Councillor Jacqueline Mounsey Councillor Joe Mumberson Councillor Ron Munby Councillor Eric Nicholson Councillor Denis Robertson Councillor David Robinson Councillor Joe Sandwith Councillor George Scott Councillor Alan Smith Councillor Margaret Snaith Councillor Sam Standage Councillor Audrey Tinnion Councillor Alan Tyson Councillor David Wilson Councillor Martin Wood Councillor Janice Wood

Members of the public are welcome to attend the meeting. If you have any questions or queries contact Sarah Beattie on 01900 702554.

Agenda

1. Mayors Welcome

The Mayor will preside and welcome those present.

2. Apologies for absence

3. Declaration of interests

Councillors/Staff to give notice of any personal or prejudicial interest and the nature of that interest relating to any item on the agenda in accordance with the adopted Code of Conduct.

4. Mayor's Announcement

To receive the Mayors review of his year of office.

5. Election of the Mayor for the forthcoming year

(a) Nominations for the Mayor will be requested (b) The incoming Mayor will receive the chain of office and take the Declaration of Acceptance of Office (c) The incoming Mayor will take the chair (d) The incoming Mayors escort will receive the chain of office

6. Presentation to the Outgoing Mayor

The incoming Mayor will present the outgoing Mayor and escort with a badge of office.

7. Election of the Deputy Mayor for the forthcoming year

(a) Nominations for the Deputy Mayor will be requested (b) The incoming Deputy Mayor will assume their place on the stage and receive the chain of office (c) The incoming Deputy Mayor will take the Declaration of Acceptance of Office (d) The incoming escort of the Deputy Mayor will receive the chain

8. Speech of the incoming Mayor

9. Questions

To answer questions under Standing Orders No 15 and 17 either from Councillors or members of the public.

10. Notices of Motion

To receive Notices of Motion.

11. To approve as a correct record the minutes of the Council Meeting held on 21 April 2010 (Pages 1 - 6)

12. The Leaders Report (Pages 7 - 14)

To receive details of the Executive Members chosen by the Leader and to receive the Authority to Act in respect of the Executive.

13. Committees (Pages 15 - 32)

To confirm the membership of committees for the forthcoming year.

14. Reference from Licensing Committee (21/04/10) - Table of Fares (Pages 33 - 52)

15. Reference from Executive (12/05/10) - Local Governance and Partnership Strategy Report (Pages 53 - 86)

16. Review of the Constitution (Pages 87 - 312)

Chief Executive

Date of next meeting Wednesday 30 June 2010 at 7.00 pm The Wave - Maryport

This page is intentionally left blank Agenda Item 11

At a meeting of the Council held in The Wave - Maryport on Wednesday 21 April 2010 at 7.00 pm

Members

J Armstrong (Chairman)

A Caine D J T Kemp J Ardron P G Kendall C M Armstrong A H Kendall B Bacon J Lister A L Barry J MacLeod J Crouch C C McCarron-Holmes M Davidson H McIntosh D S Fairbairn J H Milburn T M Fee S Moffat I W Francis J M Mounsey M Gainford R Munby J Gardner E Nicholson R G Hardon D Robertson N Hardy D Robinson T Heslop J Sandwith V Hodgson A Smith C Holding M A Snaith J Holliday S Standage I A Humes A Tinnion G. Humes A Tyson J Hunter D Wilson C M Jackson M G Wood W H Jefferson J Wood

Apologies for absence were received from Councillors P Bales, L Bell, B Cannon, J I Colhoun, C Garrard, L G Lytollis, A J Markley, J Mumberson and G Scott

Staff Present

S Beattie, H Dyke, J Elliott, A Harwood, C Holmes, D Martin and H Murphy

688 Minutes Silence

Members observed a minutes silence as a mark of respect following the recent death of County Councillor Jim Buchanan.

689 To approve as a correct record the minutes of the Council Meeting held on 3 March 2010

The minutes of the meeting held on 3 March 2010 were signed as a correct record.

690 Declaration of interests

Page 1

5. Questions. Councillor Duncan Fairbairn; Personal; Due to his being a member of Cumbria County Council.

8. Portfolio Holder Reports. Councillor Michael Davidson; Personal; Due to his being in receipt of a Nuclear Industry Pension.

10. Reference from Executive (03/03/10) : Petition Scheme. Councillor Gerald Humes; Personal; Due to his being a member of Cumbria County Council.

11. Reference from Executive (07/04/10) : Corporate Improvement Plan Refresh. Councillor Duncan Fairbairn; Personal; Due to his being a member of the Port of Workington.

691 Petition

Councillor J Ardron presented a petition to the Mayor on behalf of Arts out West which expressed their disappointment at the withdrawal of financial support for their organisation. Councillor Ardron said that over 80 people had signed the petition against the decision, and added that Arts out West was a highly cost effective third sector organisation that was greatly needed by the local villages. He added that the organisation had also brought support to businesses in the area such as pubs and B&B’s, and the loss of funding could spell the end for Arts out West.

Agreed – That the petition be received.

692 Exclusion of the Press and Public

There were no matters on the agenda for which the press and public should be excluded.

693 Questions

Councillor J MacLeod asked the following question :

‘Five months after the catastrophic loss of all the Bridges linking North and South Workington I am extremely disappointed Cumbria County Council have failed thus far to take any action to repair Workington Bridge and rebuild New Bridge Workington. On this day the Temporary Road Bridge opened, for which residents on the North side of the river are both extremely relieved and grateful, the fact remains that the single temporary road bridge cannot possibly adequately cope with the volume of traffic hitherto carried by the two destroyed routes into/out of Workington. Therefore please could I have an update on the current situation, including a detailed time scale as to the repair/rebuild programme the County envisage in respect of the Two Road Bridges and Navvies footbridge all in Workington?

Page 2

Councillor Heslop replied as follows :

‘Thank you for your questions. I am advised that the County Council began work planning for the replacement of our damaged and collapsed bridges the day after the floods in November 2009. The opening of the temporary bridge in Workington today, 5 weeks ahead of schedule, is evidence of this and I am advised that the County Council have plans and timescales in place for the full replacement of all the infrastructure which we (and other districts) have lost as a result of the floods. I do not therefore accept that the County has failed to deliver any of the projects you refer to.

The County Council have made clear that two road bridges will be replaced in Workington and we await final confirmation of the completion dates for Calva Bridge, Navvies Bridge and Northside Bridge in the coming weeks, all of which will be delivered with the utmost speed - as has been demonstrated today.’

Councillor J Sandwith asked the following question :

'Due to the fact that 1500 vehicles per day will be unable to cross the river Derwent in Workington will the Leader ask the M.O.D if Barkers Crossing could be left in place until we have two road bridges over the river in Workington?'

Councillor Heslop replied as follows :

‘Thank you for your question. I am advised that the County Council is in constant touch with relevant government departments and directly with the Army to ensure Barker's Crossing is retained for as long as is necessary to ensure residents of Workington have the maximum number of choices to enable them to cross the Derwent. Furthermore a publicity campaign is in hand to promote the use of all possible alternative travel modes to ensure the new temporary road bridge does not become congested. Additionally the County Council has put in place temporary traffic management measures around the bridge to further reduce the risk of congestion. I know that our colleagues in the County Council are committed to monitoring this position and will take appropriate action as may be necessary.

694 Notices of Motion

None received.

695 Mayor's Announcements

The Mayor made reference to the engagements attended by the Mayor and Deputy Mayor since the last meeting. The Mayor asked that the engagement shown at Cockermouth on 24 March 2010 be deleted.

696 Portfolio Holder Reports

Those present considered the content of the Portfolio Holders report which gave details of the key activities of the Executive since the last meeting. Particular

Page 3 reference was made to Concessionary Travel, Derwent Valley and Nuclear issues.

Members asked whether consideration could be given to contacting bus carriers to ask whether the hours of the concessionary travel pass scheme could be more flexible to accommodate those buses that fall just outside the permitted hours, when there are no other buses available, and were advised that negotiations were already underway.

Councillor McCarron-Holmes asked about the rumours in the media that there would be 1200 redundancies at Sellafield, and was advised that the portfolio holder had been in discussion with a spokesman at Sellafield Ltd who had asked that it be made clear to members that while the company understood that in periods of uncertainty people would speculate, at this time, the rumours were just speculation. Members were also advised that the company was reviewing plans for the next 12 months and ways to reduce expenditure, but would be meeting with Unions to keep them informed of the situation.

697 Executive Minutes

Members reviewed the contents of the minutes of the meeting of the Executive held on 3 March 2010.

Councillor Smith asked whether the £50,000 identified from the Community Recovery Fund to cover the cost of the Local Council Tax Discount scheme for flooded properties would cover the full cost, and Councillor Wilson undertook to provide an answer.

Agreed – That the Executive minutes be noted.

698 Reference from Executive (03/03/10) : Petition Scheme

This report was considered at Executive on 3 March 2010.

Resolved – That :

(a) A Petition Scheme as outlined in the report be introduced. (b) The threshold for signatures be agreed as; a. For ordinary petitions – 10 b. For petitions requiring debate – 1000 c. For petitions to hold officers to account – 500 (c) The definition for Senior Officer for petitions for holding Senior Officers to account be agreed as SMT Members (d) The Monitoring Officer be delegated with the power to reject petitions which he/she considers to be vexatious, abusive or otherwise inappropriate be agreed (e) The minimum age of a person who can sign a petition is 10

699 Reference from Executive (07/04/10) : Corporate Improvement Plan Refresh

This report was considered at Executive on 7 April 2010.

Page 4

Resolved – That the content of the refreshed Corporate Improvement Plan 2010-11 be approved.

The meeting closed at 8.40 pm

Page 5 This page is intentionally left blank

Page 6 Agenda Item 12

Allerdale Borough Council

Annual Meeting – 19 May 2010

The Leader of the Majority Group’s Report

Purpose of Report To receive details of the Executive Members chosen by the Leader and to receive the authority to act in respect of the Executive.

Recommendation (a) That the membership of the Executive be noted.

(b) That the authority to act in respect of the Executive be noted.

Environmental Implications None.

Community Safety Implications None.

Financial/Resource Implications None.

Human Rights Implications None.

Employment Implications None.

Health and Safety/Risk Implications None.

Wards Affected All

The Contribution this Decision would Clearly defines roles and responsibility make to the Council’s Key Aims enhances accountability.

Is this a key decision No

Lead Member of Staff Sarah Beattie, Democratic Services Manager Tel 01900 702554 E-mail sarah.beattie@allerdale.gov.uk

(A detailed list of implications is appended to the report)

In accordance with the Council’s Constitution, the Leader of the Council must submit details of his chosen Executive and the Council’s Authority to Act in respect of the Executive. Councillors are requested to note the attached report.

Sarah Beattie Democratic Services Manager

Page 7 Report Implications

Please delete where applicable.

Community Safety N Sport N Financial N Leisure N Legal Y Tourism N Social Inclusion N E-Government N Human Rights N North West Regional N Youth Issues N European N Ethnic Minority Issues N National N Older People Issues N Partnership N Disability Issues N Heritage/Culture N Employment (external to the Council) N Planning Policy N Employment (internal) N Enforcement N Environmental/sustainability N Transport N Environmental/visual N Asset Management N Health N Health & Safety N

Is this a statutory recommendation? Y

Is this a key decision? N

Has a risk assessment been undertaken? N

Wards affected ……………………………All…………………………………………

Background papers ………………………………………………………………………………

Page 8

Leader of the Council

Councillor Timothy Heslop High Dyke Cockermouth Cumbria CA13 0RA

Tel 01900 823276

Derwent Valley Ward

Portfolio – Strategic Leadership and Partnerships, Communications

Spokesperson for the following functions:

• Strategic Leadership • Communications • Strategic Partnerships

Deputy Leader of the Council

Councillor David Wilson 9 Lawn Terrace Silloth-on-Solway Cumbria CA7 4AW

Tel 016973 31004

Aspatria Ward

Portfolio: Finance and Asset Management

Spokesperson for the following functions:

• Financial Services • Procurement • Asset Management • Coast Protection and Inland Drainage

Page 9

Councillor Margaret Jackson

34 Derwent Mill Cockermouth CA13 OHG Tel: 01900 821191

Christchurch Ward

Portfolio: Housing and Planning

Spokesperson for the following functions:

• Planning • Development Control • Planning Policy • Planning Conservation • Building Control • Housing Strategy and Support • Homelessness / Hostels

Councillor Mike Davidson

19 Mason Street Workington CA14 3EH Tel: 01900 602935

St Johns Ward

Portfolio: Policy, Performance and Improvement

Spokesperson for the following functions:

• Organisational Development and Improvement • Audit • Policy and Performance • Risk Management • Business Continuity • Community Consultation • Information Management • Nuclear Issues

Page 10

Councillor Chris Garrard

Bent Dyke Eaglesfield Cockermouth CA13 0SF Tel: 01900 822835

Dalton Ward

Portfolio: Resources

Spokesperson for the following functions:

• Payroll • Democratic Services • Legal Services • Valuation • Business Support • HR (Operational and Policy) • ICT

Councillor Ron Munby

Isel Hall West Isel Cockermouth CA13 0QG Tel 01900 825355

Keswick Ward

Portfolio: People

Spokesperson for the following functions:

• Food Hygiene • Environmental Health and Protection • Health and Safety • Customer Services • Bereavement Services • Licensing and Land Charges • TIC’s • Revenues and Benefits

Page 11

Councillor Sam Standage

6 Harrot Hill Cockermouth CA13 OBL Tel: 01900 822488

All Saint Ward

Portfolio: Places

Spokesperson for the following functions:

• Streetscene • Green Spaces • Refuse Collection and Recycling • Waste • Sports • CCTV • Car Parks • Emergency Planning • Neighbourhoods / Rural Support • AONB

Councillor George Scott

Knox Wood Thornby Moor Aikton Wigton, CA7 OLA Tel: 016973 43812

Wigton Ward

Portfolio: Business

Spokesperson for the following functions:

• Economic Development • Town Centre Management • Tourism Development • Carnegie Theatre • Museums • Markets • Arts

Page 12 Executive

The Executive has responsibility for all the functions of the Council unless they are delegated elsewhere, whether by law or under this Constitution.

The main responsibilities of the Executive are:

(a) To determine how expenditure on services should be undertaken; (b) Approving the commencement of procurements of services, supplies and works not already identified in the capital programme, which come within the scope and definition of a key decision; (c) To agree annual reports; (d) To monitor the budget for particular services; (e) To make recommendations on the Policy Framework and annual revenue budget and capital programme to the Council; (f) To agree strategies and plans at a level below the Policy Framework; (g) To take decisions to implement the Council’s policies; (h) To agree responses to consultation papers when appropriate; (i) To make appointments to and the payment of grants to outside bodies within its remit; and (j) To receive and consider referrals from the Scrutiny Board and Scrutiny Panels.

Page 13 This page is intentionally left blank

Page 14 Agenda Item 13

Allerdale Borough Council

Annual Meeting – 19 May 2010

Membership of Committees

Purpose of Report To receive nominations to Committees / Tribunals for 2010/11 and to confirm the Terms of Reference.

Recommendations (a) That the nominations be agreed. (Appendix A)

(b) That the Terms of Reference be confirmed (Appendix B)

(d) A Chief Officer’s Panel be established – nominations are sought – 3 Alliance and 2 Labour

Environmental Implications None.

Community Safety Implications None.

Financial/Resource Implications None.

Human Rights Implications None.

Employment Implications None.

Health and Safety /Risk Implications None.

Wards Affected All

The Contribution this Decision would Clearly defines roles/responsibilities and make to the Council’s Key Aims enhances accountability

Is this a key decision No

Portfolio Holder Chris Garrard

Lead Member of Staff Sarah Beattie, Democratic Services Manager - Tel 01900 702554 E-mail [email protected]

(A detailed list of implications is appended to the report)

Page 15

Attached are the nominations received for Committees and Tribunals (Appendix A) and the Terms of Reference (Appendix B)

Councillors are requested to consider the nominations to Committees for 2010/11 and terms of reference for 2010/11.

Councillors are also requested to consider the establishment of a Chief Officers Panel with the following terms of reference :

• To make recommendations to the Council on the appointment of the Chief Executive • To appoint Chief Officers, Deputy Chief Officers and Statutory Officers • Disciplinary action and grievances in relation to Chief Officers, Deputy Chief Officers and Statutory Officers • Dismissal of Chief Officers, Deputy Chief Officers and Statutory Officers • Applications for Voluntary Redundancy / Early Retirement from Chief Officers

All of the above will be in accordance with Employment Procedure Rules and Council Policies.

Nominations are sought for the Chief Officers Panel – 3 Alliance and 2 Labour.

Therefore, Councillors are requested to agree that the Appeals Panel, Appointments Panel and Redeployment Panel set up to consider Chief Officers and Deputy Chief Officers employment issues during the transformation process, be disbanded.

Sarah Beattie Democratic Services Manager

Page 16

Report Implications

Please delete where applicable.

Community Safety N Sport N Financial N Leisure N Legal N Tourism N Social Inclusion N E-Government N Human Rights N North West Regional N Youth Issues N European N Ethnic Minority Issues N National N Older People Issues N Partnership N Disability Issues N Heritage/Culture N Employment (external to the Council) N Planning Policy N Employment (internal) N Enforcement N Environmental/sustainability N Transport N Environmental/visual N Asset Management N Health N Health & Safety N

Is this a statutory recommendation? N

Is this a key decision? N

Has a risk assessment been undertaken? N

Wards affected ……………All…………………………………..

Background papers ………………………………………………………………………………

Page 17 This page is intentionally left blank

Page 18 Committee Places 2010/11

Scrutiny Board

Joint Chairman: T Fee, C McCarron-Holmes

Alliance Labour (3) Independent Group (5) (1) A Caine N Hardy Vacant T Fee C McCarron- Holmes M Gainford M Wood D Robinson A Tyson

Scrutiny Panel 1

Joint Chairmen: J Lister, C McCarron-Holmes

Alliance Labour (3) Independent Group (4) (1) B Hardon C Armstrong M Snaith J Lister P Kendall D Robinson C McCarron- Holmes A Tinnion

Scrutiny Panel 2

Joint Chairmen: T Fee, N Hardy

Alliance Labour (4) Independent Group (4) (0) T Fee J Ardron J Hunter N Hardy H McIntosh J Holliday S Moffat I Humes

Partnership Scrutiny

Chairman:

Alliance Labour (2) Independent Group (2) (0) B Hardon N Hardy J Hunter C McCarron- Holmes

Page 19 Development Panel

Chairman: Vice Chairman: Nominations: I Francis Nominations:

Alliance Labour (8) Independent Group (10) (2) J Armstrong W Bacon W Jefferson A Caine P Bales M Snaith I Francis C Holding J Hunter J Holliday J Lister I Humes H McIntosh P Kendall J Mounsey M Wood D Fairbairn A Smith A Tinnion A Tyson

Licensing Committee

Chairman: Vice Chairman: Nominations: H McIntosh Nominations:

Alliance Labour (6) Independent Group (8) (1) T Fee W Bacon J Mumberson I Francis D J T Kemp J H. Milburn A Kendall J Hunter J Wood H McIntosh M Wood J Mounsey P Bales A Tinnion S Moffat

Standards Committee

Chairman: P Robertson Vice Chairman:

Alliance Labour (1) Independent Non-Council Parish Group (2) (0) Members (5) Representatives D Fairbairn J Wood T Alston D Brown M Gainford P Robertson V de Quincey G Page D Birch K Robley C Breen

Page 20 Audit Committee

Chairman: J Mounsey Vice Chairman:

Alliance Labour (3) Independent Group (3) (1) V Hodgson A Smith Vacant J Mounsey J Colhoun A Tyson J Ardron

Complaints Tribunal

Chairman: S Moffat Vice Chairman:

Alliance Labour (1) Independent Group (1) (1) S Moffat N Hardy M Snaith Substitute Substitute Substitute E Nicholson C Armstrong Vacant

Personnel Tribunal

Chairman: E Nicholson Vice Chairman: S Moffat

Alliance Labour (1) Independent Group (2) (0) S Moffat A Kendall E Nicholson Substitute Substitute D Robinson J Ardron

Discretionary Housing Payments

Chairman: T Fee Vice Chairman:

Alliance Labour (1) Independent Group (1) (1) T Fee C Armstrong M Snaith Substitute Substitute J Hunter I Humes

Page 21 Housing Tribunal

Chairman: J Mounsey Vice Chairman: H McIntosh

Alliance Labour (1) Independent Group (2) (0) J Mounsey I Humes H McIntosh Substitute Substitute J Lister M Wood

Licensing Panel 1

Alliance Labour (3) Independent Group (4) (0) J H. Milburn W Bacon T Fee D Kemp J Mounsey J Wood A Tinnion

Licensing Panel 2

Alliance Labour (2) Independent Group (4) (1) I Francis A Kendall J Mumberson J Hunter M Wood H McIntosh P Bales S Moffatt

Harrington Harbour and Dock Board

Chairman: M Davidson Vice Chairman:

Alliance Labour (1) Independent Non- Group (2) (1) Council Members A Caine B Cannon Vacant Ken Hyde M Davidson Stan Herbert

Page 22 Non-Politically Proportionate Committees

Informal County District Forum (Non-Politically Proportionate) (Numbers set in agreement with County Council)

Alliance Labour (2) Independent Group (3) (1) M Davidson A Smith J Mumberson D Wilson J Gardner T Heslop

Member Development Working Group (Non-Politically Proportionate) (Number of members may vary-current membership is shown)

Chairman: C Garrard Vice Chairman: D Wilson

Alliance Labour (3) Independent Group (4) (0) A Caine J Holliday D Wilson C Armstrong M Gainford J Ardron C Garrard

Page 23 This page is intentionally left blank

Page 24 Appendix B

Terms of Reference:

Council

• Adopting and changing the Constitution

• Approving or adopting the Budget and Policy Framework. The list of strategies and plans forming the Councils Budget and Policy Framework is set out below and must be approved by the Council on the recommendation of the Executive and where appropriate the relevant non-Executive committee.

• Subject to the urgency procedure, making decisions about any matter in the discharge of an executive function which is covered by the Budget and Policy Framework where the decision maker is minded to make it in a manner which would be contrary to the Budget and Policy Framework.

• Appointing the Leader of the Council

• Agreeing and/or amending the terms of reference for committees, deciding on their composition and making appointments to them, unless the Council has delegated the latter function

• Appointing the Chairs of the Scrutiny Board and Scrutiny Panels

• Appointing representatives to outside bodies unless the appointment is an Executive function or has been delegated by the Council

• Adopting an Allowances Scheme

• Changing the name of the area or conferring the title of Honorary Alderman

• Confirming the appointment of the Head of Paid Service

• Making, amending, revoking, re-enacting or adopting bylaws and promoting or opposing the making of local legislation or personal bills

• All local choice functions which the Council decides should be undertaken by itself rather than the Executive, and

• All other matters which, by law, must be reserved to Council

The Policy Framework means the following plans and strategies:- (i) those required by law. • Corporate Plan

Page 25 • Crime and Disorder Reduction Strategy • Cumbria Community Strategy • Local Area Agreement • Local Authority Policy Statement under the Gambling Act 2005 • Local Development Framework • Statement of Licensing Policy • West Cumbria Sustainable Community Strategy

(ii) other plans and strategies which the Council may decide to adopt. • Asset Management Plan • Emergency Planning

The Budget includes the allocation of financial resources to different services and projects, proposed contingency funds, the Council Tax base, setting the Council Tax, and decisions relating to the control of the Council’s borrowing requirement, the control of its capital expenditure, and the setting of virement limits. The Council shall normally approve as part of the budget the annual Treasury Management Strategy Statement.

Executive

• To determine how expenditure on services should be undertaken

• Approving the commencement of procurements of services, supplies and works not already identified in the capital programme, which come within the scope and definition of a key decision

• To agree annual reports

• To monitor the budget for particular services

• To make recommendations on the Policy Framework and annual revenue budget and capital programme to the Council

• To agree strategies and plans at a level below the Policy Framework

• To take decisions to implement the Council’s policies

• To agree responses to consultation papers when appropriate

• To make appointments to and the payment of grants to outside bodies within it’s remit and

• To receive and consider referrals from the Scrutiny Board and Scrutiny Panels

Page 26 Scrutiny

General Role – Overview and Scrutiny look at the quality of council services and other issues that affect the lives of people in Allerdale. The Overview and Scrutiny Board / Panels will listen to the concerns of local people to investigate how the Council and other organisations are performing and where necessary seek improvement. They will

• Review any actions taken in connection with the discharge of any of the Council’s functions both in relation to individual decisions and performance over time.

• Exercise the right of call-in of any decision taken by the Executive, or by officers under the Executive arrangements, which has not yet been implemented.

• Consider any Councillor Call for Action requests, and take any follow up action as required.

• Submit reports and/or make recommendations to the Executive, to Council or to any appropriate partnership or external agency on the delivery of public services.

• Respond to consultation by the Executive

Specific Duties

• The Overview and Scrutiny Committees will review policies and contribute to policy development to assist the Council and the Executive in the development of its budget and policy framework by in- depth analysis of policy issues.

• They will carry out research and consultation with the community, local businesses and other appropriate interest groups in considering different policy options.

• They will question Members of the Executive, of Committees, officers and other appropriate people to canvass opinion and gather evidence to assist their conclusions and liaise with external organisations to gather evidence based on wide-ranging views.

• They will make recommendations to the Executive, to an appropriate Committee or to Council arising from the outcome of the scrutiny process.

Page 27 • They will invite other public bodies or partnerships in the Borough to participate in the scrutiny process and question any person (with their consent).

• Overview and Scrutiny will report annually to full Council and the Chairs will jointly keep Scrutiny practices, procedures and work programmes under periodic review.

Development Panel

• To consider and decide upon applications for planning permission and related matters within the Borough unless otherwise delegated;

• To approve draft local development documents for consultation purposes;

• To formulate views upon planning applications with the National Park and upon County Matters;

• To determine applications for hazardous substances consent under the Planning (Hazardous Substances) Act 1990.

Licensing

• To consider and decide upon applications received under the Licensing Act 2003 and the Gambling Act 2005.

• To consider and recommend any necessary changes in licensing policy.

• To hear appeals in respect of the following legislation:-

Licence for dog breeding establishments under Breeding of Dogs Act 1973 Licence to keep riding establishment under Riding Establishments Act 1964 Licence for animal boarding establishment under the Animal Boarding Establishments Act 1963 Licence to keep pet shop under Pet Animals Act 1951 Street Trading Consent under the Local Government (miscellaneous provisions) Act 1982 Licence to keep dangerous wild animal under the Dangerous Wild Animals Act 1982 Licence for a zoo under the Zoo Licensing Act 1981 Licence for a caravan site under the Caravan Sites and Control of Development Act 1960 Registration of premises as skin piercing establishment under Local Government (Miscellaneous Provisions) Act 1982

Page 28 License to hire pleasure craft under the Public Health Acts Amendment Act 1907 as applied by the Local Government Act 1972 and byelaws made thereunder

Licensing Panel

• To consider and decide upon applications received under the new Licensing Act 2003

Standards Committee

• Promoting and maintaining high standards of conduct by councillors and co-opted members;

• Assisting councillors and co-opted members to observe the councillor's code of conduct;

• Advising the Council on the adoption or revision of the councillor's code of conduct;

• Monitoring the operation of the councillor's code of conduct;

• Advising, training or arranging to train councillors and co-opted councillors on matters relating to the councillor's code of conduct;

• Granting dispensations to councillors and co-opted members from requirements relating to interests set out in the councillor's code of conduct;

• Dealing with any reports from a case tribunal or interim case tribunal and any report from the monitoring officer on any matter which is referred by an ethical standards officer to the monitoring officer;

• Considering applications from the Council’s employees for exemption from political restrictions in respect of their posts;

• In relation to complaints about member conduct :

o Reviewing and assessing complaints o Reviewing local assessment decisions o Conducting hearings following investigations o The exercise of the above in relation to parish council's wholly or mainly in its area and the councillors of those parish councils.

Page 29 Audit Committee

To provide independent assurance of the adequacy of the risk management framework and the associated control environment, independent scrutiny of the authority's financial and non-financial performance to the extent that it affects the authority's exposure to risk and weakens the control environment, and to oversee the financial reporting process including:

• Examining proposals for the Terms of Reference of Internal Audit • Approving the Internal Audit Strategic and Annual Plans • Reviewing the progress report from the Head of Internal Audit • Reviewing the progress report from External Audit summarising work done and emerging findings • Reviewing the Head of Internal Audit’s Annual Opinion and Report • Advising on the adequacy of management response to issues identified by audit activity, including External Audits management letter • Quality assuring reports from Internal Audit reviews • Examining and approving Statement of Accounts • Considering and approving the Annual Governance Statement

Harrington Harbour and Dock Board

To exercise the Council’s function in respect of Harrington Harbour under the Harrington Harbour Order 1902 and the Harbours Act 1964 and to support the further process of regeneration in Harrington Harbour

Chief Officers Panel

All of the above will be in accordance with Employment Procedure Rules and Council Policies.

Page 30 Personnel Tribunal

• To consider upon appeals and grievances in relation to disciplinary, grading, capability and redeployment following an officer decision.

Discretionary Housing Payments Tribunal

• To consider second stage appeals for discretionary housing payments

Complaints Tribunal

• To consider and decided upon any appeal under the Council's complaints procedure

Housing Tribunal

• To consider and decide upon appeals against the decisions of staff in relation to renovation grants etc.

Allerdale / County Joint Liaison Group

• To work with Cumbria County Councils’ Allerdale Area Committee to consider matters of mutual interest to both Allerdale Borough Council and Cumbria County Council and to report/make recommendations to Executive and/or Council.

Member Development Working Group

• To consider, approve and encourage Training and Development activities to promote the continuous improvement of Allerdale Borough Council and its Councillors • To recommend, review and amend as necessary the Councillor Training Strategy • To recommend, review and amend training documents, processes and procedures as necessary • To agree, monitor and review a councillor training and development programme for the year ahead (or beyond) in respect of the Councillor Training Strategy and within the Training Budget • To develop an induction programme and promote the mentoring scheme for all newly elected councillors • To oversee maintaining the standards of the North West Employers Organisation Charter for member development achieved in 2004 • To draft and develop a plan of action to attain level two of the NWEO Charter for member development • To operate as a forum to discuss all councillor training requirements

Page 31 This page is intentionally left blank

Page 32 Agenda Item 14

Allerdale Borough Council

Council – 19 May 2010

Recommendations Referred to Council

Table of Fares

The following recommendation has been referred to Council by the Licensing Committee held on the 21 April 2010. It is for Council to consider its response.

Recommended –That Council be requested to agree to vary the fares as set out below;

Distance (Tariff 1)

If the distance does not exceed 1.6 kilometres (1 mile) for the whole distance 290 PENCE

If the distance exceeds 1.6 kilometres (1 mile) for the first 1.6 kilometres (1 mile) 290 PENCE

For each subsequent 0.32 kilometres (1/5th of a mile) or uncompleted part thereof 39 PENCE

Waiting Time

For each period of three minutes or uncompleted part thereof 39 PENCE

Extra Charges

(Tariff 2) For hiring commenced between Midnight and 6.00am Plus 50% OF THE ABOVE FARE

(Tariff 3) All day on Bank and Public Holidays and to 4.00a.m. on the day following. Hirings commenced between 6.00pm and Midnight on Christmas Eve and New Years Eve To include Easter Sunday To include Boxing Day and any bank holidays given in lieu Plus 75% OF THE ABOVE FARE

(Tariff 4) Christmas Day and New Year’s Day Plus 100% OF THE ABOVE FARE

Page 33 For each article of luggage conveyed outside the passenger compartment or the carriage for the whole distance 15 PENCE

For each person in excess of two 50 PENCE

Fouling Charge £50.00

***** The above rates of fare are applicable only to:

1. Journeys taken entirely within the Borough of Allerdale

2. Journeys ending outside the Borough of Allerdale where no fare or rate is agreed in advance of such journeys between the hirer and the driver.

*****

G Roach Democratic Services Coordinator

Page 34 Allerdale Borough Council

Licensing Committee – 21 April 2010

Regulation and Control of Hackney Carriage Table of Fares Motor Propelled Hackney Carriage

The Subject of the Decision To present the current table of fares for the Committee to review and give consideration to a variation of these fares

The Reason for the Decision For the annual consideration of the table of fares in conjunction with the trade

Recommendation None

Climate Change/Environmental None Implications

Community Safety Implications None

Financial/Resource Implications £758.48 costs to the council already incurred to advertise amendment to the table of fares

Human Rights Implications None

Employment Implications None

Health & Safety and Risk None Management Implications

Data Quality Implications None

Equality Impact Assessment No completed

Wards Affected All

The Contribution this Decision would N/A make to the Council’s Key Aims

Portfolio Holder Councillor R. Munby

Lead Member of Staff Gillian Collinson Land Charges & Licensing Services Manager Tel: 01900 702692 Email: [email protected]

(A detailed list of implications is appended to the report)

Page 35 1.0 Introduction

1.1 On 27 January 2010 following consultation with the trade, the Licensing Committee considered its annual review of the Table of Fares for hackney carriage vehicles. The report is attached for information purposes (appendix 1). Two responses were submitted in response to the initial consultation.

1.2 The Committee amended the Boxing Day element of tariff 3 of the table of fares as follows:

Tariff 3: All day on bank and public holidays and to 4am on the day following. Hiring’s commenced between 6pm and midnight on Christmas Eve and New Years Eve.

*Boxing Day – If 26 December falls on a Saturday/Sunday tariff 3 will apply. Any bank holiday awarded in lieu will be Tariff 1.

1.3 The recommendation of the Committee was confirmed by Council on 3 March 2010 and as per Section 65(1) of the Local Government (Miscellaneous Provisions) Act 1976 the proposed changes were advertised in the Times and Star on 12 March. Two weeks were allowed for objections to be submitted.

2.0 Objections

2.1 Objections have been received from the taxi trade namely, Workington and District Taxi Group (2 letters), Brian Sparks, Sue McKenzie, Stephen Robinson (2 letters) and Brian Dobinson. They have been invited to attend today’s meeting to make further representations to the Committee.

2.2 The recommendation of this Committee will be considered by Council on 19 May 2010 and that decision will be final.

G COLLINSON LAND CHARGES AND LICENSING SERVICES MANAGER

Lic27Jan10-TableofFares.gc 15 January 2010

Page 36 Report Implications

Please delete where applicable.

Community Safety N Sport N Financial N Leisure Y Legal N Tourism Y Social Inclusion N E-Government N Human Rights N North West Regional N Youth Issues N European N Ethnic Minority Issues N National N Older People Issues N Partnership N Disability Issues N Heritage/Culture N Employment (external to the Council) N Planning Policy N Employment (internal) N Enforcement Y Environmental/sustainability N Transport Y Environmental/visual N Asset Management N Health N Health & Safety N

Is this a statutory recommendation? No

Is this a key decision? No

If this is a key decision, has it been approved by CMT N/A

Has a risk assessment been undertaken? No

Wards affected All

Background papers Licensing Committee Report dated 27.01.10. Workington and District Taxi Group (2 letters) Brian Sparks Sue McKenzie Stephen Robinson (2 letters) Brian Dobinson

Page 37 This page is intentionally left blank

Page 38 Allerdale Borough Council

Licensing Committee - 27 January 2010

Regulation and Control of Hackney Carriage Table of Fares Motor Propelled Hackney Carriage

The Subject of the Decision To present the current table of fares for the Committee to review and give consideration to a variation of these fares

The Reason for the Decision For the annual consideration of the table of fares in conjunction with the trade

Recommendation As contained within paragraph 5 of the report

Climate Change/Environmental None Implications

Community Safety Implications None

Financial/Resource Implications Advertisement costs to the council if amendments to the table of fares

Human Rights Implications None

Employment Implications None

Health & Safety and Risk None Management Implications

Data Quality Implications None

Equality Impact Assessment No completed

Wards Affected All

The Contribution this Decision would N/A make to the Council’s Key Aims

Portfolio Holder Councillor R. Munby

Lead Member of Staff Gillian Collinson Land Charges & Licensing Services Manager Tel: 01900 702692 Email: [email protected]

(A detailed list of implications is appended to the report)

Page 39 1.0 Introduction

1.1 The last variation of the table of fares by this Authority was on 1st April, 2009. Alterations were made to Tariff 3 namely to extend Tariff 3 to 4am on the day following Bank and Public Holidays. The current table of fares for Hackney Carriage vehicles is as follows:-

Distance (Tariff 1)

If the distance does not exceed 1.6 kilometres (1 mile) for the whole distance 260 PENCE

If the distance exceeds 1.6 kilometres (1 mile) for the first 1.6 kilometres (1 mile) 260 PENCE

For each subsequent 0.32 kilometres (1/5th of a mile) or uncompleted part thereof 36 PENCE

Waiting Time

For each period of three minutes or uncompleted part thereof 36 PENCE

Extra Charges

(Tariff 2) For hiring commenced between Midnight and 6.00am Plus 50% OF THE ABOVE FARE

(Tariff 3) All day on Bank and Public Holidays and to 4.00a.m. on the day following. Hirings commenced between 6.00pm and Midnight on Christmas Eve and New Years Eve Plus 75% OF THE ABOVE FARE

(Tariff 4) Christmas Day and New Year’s Day Plus 100% OF THE ABOVE FARE

For each article of luggage conveyed outside the passenger compartment or the carriage for the whole distance 15 PENCE

For each person in excess of two 50 PENCE

Fouling Charge £50.00

***** The above rates of fare are applicable only to:

1. Journeys taken entirely within the Borough of Allerdale

2. Journeys ending outside the Borough of Allerdale where no fare or rate is agreed in advance of such journeys between the hirer and the driver.

*****

Page 40 2.0 Background Information

2.1 The table of fares are reviewed on an annual basis. For Members information the previous years amendments have been as follows: -

i) 10/3/99 increase from £1.60 to £1.80 for 1st mile increase from 26 pence to 30 pence for each 1/5th of a mile. increase in 3 minute waiting charge from 32 to 35 pence.

ii) 23/2/2000 increase from £1.80 to £2.00 for 1st mile increase from 30 pence to 32 pence for each 1/5th of a mile (members originally recommended that Tariff 2 commence at 11pm. However this was amended to midnight at full Council on 12th January 2000).

iii) 01/04/2002 increase from £2.00 to £2.20 for 1st mile increase from 32 pence to 36 pence for each 1/5th of a mile increase in 3 minute waiting charge from 35 to 36 pence fouling charge increased from £25 to £50.

(iv) 01/04/2003 Licensing Committee recommended an increase but was not accepted by Full Council. The tariff remained unchanged.

(v) 01/04/2004 Only Tariff 3 amended to include between 6.00 p.m. and Midnight on Christmas Eve and New Years Eve.

(vi) 01/04/2005 Increase of Tariff 1 from £2.20 to £2.40 for 1st mile.

(vii) 01/04/2006 No change.

(viii) 01/04/2007 Increase of Tariff 1 from £2.40 to £2.60 for 1st mile. For each person in excess of two from 25p to 50p.

(ix) 01/04/2008 No change.

(x) 01/04/2009 Tariff 3 amended as per paragraph 1.1

3.0 Responses from the Trade

3.1 Observations have been invited from the Trade and two responses were received.

a) Mr Sparks – In answer to your request I definitely believe a substantial increase is required this year. Running costs dictate that the distance should be lifted to 300 pence. Waiting time should be lifted to 40 pence for every three minutes. With the inevitable yearly increases in minimum wage 36 pence does not leave enough to sit the vehicle legally on a public highway. Luggage and extra person are fine as it is almost impossible to convince the people in this Borough, we can legally charge extras.

Fouling can stay at £50 because we can still negotiate a mini valet for that price and it would be an impossible task to pursue any loss of earnings due to vehicle down time.

Page 41

b) Mr. Irving – It is my opinion that the Table of Fares should remain the same other than for the night rate. It might be agreed that in most every work place, after 10.00p.m. is considered night shift. Therefore could we start Tariff 2 at 11.00 p.m. which would be in line with neighbouring Copeland?

4.0 Licensing Manager’s Comments

4.1 Difficulties were experienced over the festive period of 2009 as the trade required clarification on whether Tariff 3 was to be charged on Boxing Day (falling on a Saturday) or the following Monday (28 December) which was a Bank Holiday given in lieu of Boxing Day. In the table of fares Tariff 3 refers to Bank and Public Holidays. The advice given to the trade was that tariff 3 should be charged on the Monday. However, the Committee may wish to consider amending the wording in Tariff 3 and naming Boxing Day. This will avoid confusion in the future for the trade and the public particularly as a similar situation will arise in 2010 and 2011.

4.2 A further day causing confusion every year is Easter Sunday. This is neither a Bank nor Public Holiday. The committee may wish to give consideration to whether this should named as attracting an additional tariff to tariff 1.

5.0 Recommendation

5.1 Members are asked to consider the current table of fares taking into consideration the following:

a) The responses from the Trade to the consultation. b) For Members information the vehicle and drivers licence fees are currently £115.00 and £63.00 respectively. At the writing of this report it is not known whether fees will be increased in 2010/11. c) Licensing Manager’s comments re Boxing Day and Easter Sunday.

5.2 The table of fares are fixed in accordance with Section 65(1) of the Local Government (Miscellaneous Provisions) Act 1976. If Members agree to vary the fares subject to confirmation from Full Council this must be published in at least one newspaper circulating in the Borough. Following the publication of such Notice, the new Table of Fares shall come into operation on 1st April 2010 provided no objections are received.

G COLLINSON LAND CHARGES AND LICENSING SERVICES MANAGER

Lic27Jan10-TableofFares.gc 15th January, 2010

Page 42 Report Implications

Please delete where applicable.

Is this a statutory recommendation? No

Is this a key decision? No

If this is a key decision, has it been approved by CMT N/A

Has a risk assessment been undertaken? No

Wards affected All

Background papers None

Page 43 This page is intentionally left blank

Page 44 Page 45 Page 46 Page 47 Page 48 Page 49 Page 50 Page 51 Page 52 Agenda Item 15

Allerdale Borough Council

Council – 19 May 2010

Recommendations Referred to Council

Local Governance and Partnership Strategy

The following recommendation has been referred to Council by the Executive Committee held on the 12 May 2010. It is for Council to consider its response.

Recommended – That Council be requested to agree that;

a) The Executive put in place the necessary arrangements to form the Allerdale (Local Strategic) Partnership and ensures the Councils policy making, consultation and performance management processes are fully embedded in the new partnership arrangements. This should include shadow arrangements to move the new partnership arrangements forward at the earliest opportunity b) The Executive consider resourcing a dedicated Officer to lead on the development and implementation of the new Partnership arrangements and consideration of this be included in the phase 3 Transformation process c) The Executive agrees that each of the defined 5 localities in Allerdale needs a properly resourced and managed Locality Board that will be an important part of the overall strategy d) Urgent agreement needs to be reached in principle with Cumbria County Council and in relation to the Governance and Management arrangements of the proposed locality working proposals as part of Project Allerdale discussions.

G Roach Democratic Services Coordinator

Page 53 This page is intentionally left blank

Page 54 Allerdale Borough Council

Executive - 12 May 2010

Local Governance and Partnership Strategy

The Subject of the Decision For members of the Executive to agree the way forward in relation to the formation of an Allerdale Local Strategic Partnership and embedding locality working in the Borough as outlined in the attached Local Governance and Partnership Strategy

The Reason for the Decision New arrangements are required for managing partnership working in Allerdale following a review of the West Cumbria Local Strategic Partnership arrangements with Copeland BC and Cumbria County Council.

Recommendations 1. The Executive agree to put in place the necessary arrangements to form the Allerdale (Local Strategic) Partnership and ensures the Councils policy making, consultation and performance management processes are fully embedded in the new partnership arrangements. This should include shadow arrangements to move the new partnership arrangements forward at the earliest opportunity 2. The Executive consider resourcing a dedicated Officer to lead on the development and implementation of the new Partnership arrangements and consideration of this be included in the phase 3 Transformation process. 3. That the Executive agrees that each of the defined 5 localities in Allerdale needs a properly resourced and managed Locality Board that will be an important part of the overall strategy. 4. Urgent agreement needs to be reached in principle with Cumbria County Council and in relation to the Governance and Management arrangements of the proposed locality working proposals as part of Project Allerdale discussions

Page 55

Climate Change/Environmental No direct implications but the new Implications partnership arrangements will enable better consultation and locality involvement in climate change and environmental issues

Community Safety Implications Improved partnership and locality working will enable better consideration of community safety issues

Financial/Resource Implications 1) There is provision of £59,000 towards LSP management in the base budget for 2010/11 to fund the proposed changes. 2) Locality working will require reallocation of existing resources under the on going transformation process to support officer time from this Council. It is anticipated that other public service providers will provide locality lead officer time and negotiations are ongoing.

Human Rights Implications None

Employment Implications There could be direct employment implications for the Council under new arrangements

Health and Safety and Risk There are no health and safety risks Management Implications associated with this report. Potential risks to the Councils reputation if there is a significant gap between the end of previous partnership arrangements and the new arrangements being in place

Data Quality Implications Role of Performance Officer, previously part of the now ended Strategic Co ordination Unit, will be managed through the Corporate Improvement Team

Equality Impact Assessment None required completed

Wards Affected All wards in Allerdale

The Contribution this Decision would The new arrangements will help deliver the make to the Council’s Key Aims revised Corporate Improvement Plan and aid consultation on it.

Is this a Key Decision Yes

Page 56

Portfolio Holder Cllr Tim Heslop, Leader of the Council

Lead Member of Staff David Martin, Director of Partnerships and Community 01900 702773 [email protected] Ian Payne, Strategic Manager-Places 01900 702565 [email protected]

(A detailed listed of implications is appended to the report)

1.0 Introduction

1.1 Allerdale Borough Council has a key role to play in local place making and ensuring the well being of its communities through the way it carries out its business and exercises its many powers. The Council has a responsibility to ensure its communities are involved in local decision making and as part of proposals to transform the way the Council delivers its services and puts its customers first, the attached document is a starting point which outlines how the Council will set out new arrangements for local governance including a review of the Local Strategic Partnership (LSP) and the development of Locality working.

The approach to the Strategy has been to look at a range of questions: what sort of communities are we trying to develop? How can we measure achievement? What are the most effective delivery processes? Who is responsible for these? and how do we bridge the gap between the current position of the Council and where we want to be in the future?

The Locality Strategy has been written in the full recognition that individuals and families want to make a difference to their own lives and to the communities in which they live and therefore the vision for Allerdale Borough Council is to work with our partners to reshape and ensure a co-ordinated approach to public services focusing on the needs of citizens and communities within the Borough.

Considerable progress has been made in improving local services but rising public expectations and the challenging financial climate requires Allerdale Borough Council to continue to drive forward the transformation of local services, combining greater responsiveness with continuing improvements in efficiency.

In order to do this the Council has to challenge traditional methods of delivery and to keep all Council activity under review and work with other public bodies to share assets, systems, data, skills and knowledge more effectively. This strategy proposes devolutionary reforms and rebalancing the key relationships between its partners and communities particularly through the reform of the Local Strategic Partnership.

Stronger local leadership, greater resident participation in decisions traditionally made by the Council and an enhanced role for community groups can all help to develop a strong locality connection.

Page 57

This strategy sets out the reasons for change (both internal and external). It puts in place the transformation agenda currently taking place within the Council that has at its centre to raise the quality of its public services with the main emphasis on consulting, involving and encouraging its citizens and communities to take a strong role in how their communities are working.

SUMMARY OF RECOMMENDATIONS

• The responsibility for the Allerdale (Local Strategic) Partnership lies within the Policy and Performance team under the Deputy Chief Executive to ensure that partnership issues and outcomes are fully embedded in the Councils policy making, consultation and performance management processes;

• The Council needs to resource a dedicated Officer to lead on the development and implementation of the new Partnership arrangements and in the first instance it is proposed that the existing Partnerships Officer undertakes this work;

• Urgent agreement needs to be reached in principle with Cumbria County Council and in relation to the Governance and Management arrangements;

• Allerdale Borough Council needs to strengthen its consultation programme and improve consultation arrangements and to be clear out in the localities about what it trying to achieve;

• Each locality needs a properly resourced and managed Locality Board that will be an important part of the overall strategy particularly in the drive forward for participatory budgeting from Central Government;

• The use of resources needs to be supported by robust shared intelligence gathering and analysis across Services and across the whole of the Council;

• Devolving some autonomy to Officers or frontline staff provides flexibility to vary what they do in response to diverse community needs and priorities;

• Delivery of services should be integrated across agencies with patterns of service differing in each locality according to the needs of that locality (one size does not fit all);

• Locality working should strengthen the representational role of local elected members as well as the links with the Third Sector organizations;

• There has to be integrated service delivery around shared purpose amongst public sector organizations

• Allerdale needs to continue discussions with Cumbria County Council about governance at the local level including the role of Neighbourhood Forums

Page 58 • The role of the Public Sector Delivery Board needs to be reviewed, along with partner organisations

• There needs to be a roll out across Allerdale for the Locality Strategy implementation over a 12 month period (or longer as necessary) within the context of the developing Organisational Improvement Plan

2) New LSP Arrangements

The starting point for the new strategy is the review of existing LSP arrangements and both Copeland and Allerdale need to move forward with their individual arrangements following agreement to end the exiting West Cumbria Partnership by the Leadership Committee of the partnership.

LSPs are a mechanism to help align budgets, focus mainstream spending on agreed priorities, formalise joint working and formulation and implementation of the statutory sustainable community strategy .They do not have independent legal status, they are not service delivery organisations and there are no hard and fast set of principles for their composition or operation. There is no one model nationally that will guarantee future success but they do depend on the co operation and support of partners to make them successful. The composition of LSPs is a local decision but simply must involve key players in the area, and at the right level, to make them credible.

The link between LAA’s and associated national indicators which Allerdale has a role in helping to deliver, and which the County Council has a formal responsibility as accountable body, and LSP’s, is not straight forward. However, in Cumbria, the CSP is undergoing a process of change and refocus which gives an opportunity to reflect the emerging county structure at the local level. This review includes a fresh look at the county wide thematic partnerships and a review of the various strategic level groups eg CLASB, Joint Districts and Chief Execs group and coming forward with a more streamlined approach to the CSP to help decision making in a coherent way, avoiding duplication.

Under any new Allerdale (Local Strategic) Partnership (ALSP) arrangements, it is proposed that the existing Leadership Committee shall remain as a West Cumbria wide forum, along with a refocused Public Service Delivery Board. The PDSB needs to be more closely involved with aligning public mainstream resources with areas of need in West Cumbria. Thematic Partnerships will also remain much as they are in the short term, but in line with the changes at CSP, it is suggested a review of their role, terms of reference, membership and objectives is necessary to make them more responsive and relevant to changing conditions.

The Allerdale (Local Strategic) Partnership should be connected to the locality working agenda. This can occur by ensuring locality Boards or Partnerships are represented on the ALSP along with relevant public service delivery bodies, community/ voluntary sector and local Members from Allerdale and the County Council. A proposed ALSP structure could be :-

Page 59

Chair-Leader of the Council 5 Locality reps (not necessarily Members) 1 County Council Member 1 Allerdale Member 1LDNP 1Health 1Police 1 CALC 1Third Sector/Voluntary Sector

The composition of the ALSP needs further refinement but there needs to be consideration of whether or not there should be some form of executive board to help better manage the process.

The key issue of course is that the 5 different localities in Allerdale have different arrangements and are in different stages of development. North Allerdale is of particular concern in this respect. Local partnerships could be in the form of new locality boards in some areas where existing arrangements are not appropriate. These Boards will need to be supported by partnership co ordinators at the local level.

The revised LSP structure gives an opportunity for the Council to demonstrate to partners and the communities of Allerdale the importance of effective partnership and locality working to Allerdale BC and in the first instance at least, the Leader should chair the Allerdale (Local Strategic) Partnership Forum. It is suggested that a “shadow board” be set up at the earliest opportunity to move the process forward in Allerdale, under the direction of the Deputy Chief Executive, when appointed.

David Martin Director of Partnerships and Community

file ref date

Page 60 Report Implications

Please delete where applicable.

Community Safety Y Sport N Financial Y Leisure N Legal Y Tourism N Social Inclusion Y E-Government N Human Rights N North West Regional N Youth Issues N European N Ethnic Minority Issues N National N Older People Issues N Partnership Y Disability Issues N Heritage/Culture N Employment (external to the Council) N Planning Policy N Employment (internal) Y Enforcement N Environmental/sustainability Y Transport N Environmental/visual Y Asset Management N Health Y Health and Safety N

Is this a statutory recommendation? N

Is this a key decision? Y Has a risk assessment been undertaken? N

Wards affected ………………All Background papers ……”Future Generation”, the Sustainable Community Strategy for West Cumbria…………………………………………………………………………

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Page 62

ALLERDALE BOROUGH COUNCIL

LOCAL GOVERNANCE AND PARTNERSHIP STRATEGY

POSITION STATEMENT AND PROPOSAL FOR DISCUSSION

Page 63

ALLERDALE BOROUGH COUNCIL – LOCALITY AND PARTNERSHIP STRATEGY

EXECUTIVE SUMMARY

INTRODUCTION

Allerdale Borough Council has a key role to play in local place making and ensuring the well being of its communities through the way it carries out its business and exercises its many powers. The Council has a responsibility to ensure its communities are involved in local decision making and as part of proposals to transform the way the Council delivers its services and puts its customers first, this document is a starting point which outlines how the Council will set out new arrangements for local governance including a review of the Local Strategic Partnership (LSP) and the development of Locality working.

Page 64 Stronger local leadership, greater resident participation in decisions traditionally made by the Council and an enhanced role for community groups can all help to develop a strong locality connection.

SUMMARY OF RECOMMENDATIONS

• Urgent agreement needs to be reached in principle with Cumbria County Council and in relation to the Governance and Management arrangements;

• Allerdale Borough Council needs to strengthen its consultation programme and improve consultation arrangements and to be clear out in the localities about what it trying to achieve;

• The use of resources needs to be supported by robust shared intelligence gathering and analysis across Services and across the whole of the Council;

• Devolving some autonomy to Officers or frontline staff provides flexibility to vary what they do in response to diverse community needs and priorities;

Page 65 • Delivery of services should be integrated across agencies with patterns of service differing in each locality according to the needs of that locality (one size does not fit all);

• Locality working should strengthen the representational role of local elected members as well as the links with the Third Sector organizations;

• There has to be integrated service delivery around shared purpose amongst public sector organizations

• Allerdale needs to continue discussions with Cumbria County Council about governance at the local level including the role of Neighbourhood Forums

• The role of the Public Sector Delivery Board needs to be reviewed, along with partner organisations

Page 66 INTRODUCTION

This strategy sets out the approach for Allerdale Borough Council in developing new arrangements for local governance including a review of the Local Strategic Partnership (LSP) and the development of Locality working.

The proposals set down in the document aim to provide a clear link between the Sustainable Communities Strategies for Cumbria and West Cumbria/Allerdale and the needs of the individual localities within Allerdale.

The fundamental task is to influence and improve the delivery of mainstream services and to influence lasting change.

The LSP is the mechanism by which all providers of services to local communities, including Allerdale Borough Council, Police, Health, Business, Fire and the voluntary and community sector come together to co-ordinate joined up services and deliver improved outcomes for local people. Beyond this, the LSP has a clear remit in ensuring local partners individually and collectively meet the duty to involve.

Locality Working is about recognizing that different communities have different needs and adapting service design and delivery across the public sector to reflect those needs and involve local people in decision making.

Why Change?

A number of triggers are behind the notion to amend existing arrangements :- • The need to strengthen the links between local stakeholders and community in Allerdale to better inform council decisions as part of the transformation process and review of the Councils priorities and strategies over coming years. • The evolution of the concept of locality and joint working in the borough presents an opportunity to better support local communities and give them a role in decision making. This involves a review of joint working opportunities with the County Council, in particular to improve efficiencies. This may even evolve into joint decision making at the local /Allerdale Area Committee level. • The Council is facing serious budget constraints over the foreseeable future resulting in a review of all of its activities and services. This involves a thorough review of its staffing structure, functions and associated required budget savings .This work is ongoing.

Page 67

THE LOCAL STRATEGIC PARTNERSHIP

Background

It is absolutely crucial that Allerdale Borough Council takes this opportunity to develop and implement a more simplistic and understandable format for the LSP to work as in the past there has been widespread confusion and over bureaucracy that has been unnecessary and complicated leading to the key players and the communities unable to understand the purpose and the role that the combined LSP has played in West Cumbria.

Following consideration of a series of reports in 2009, outlining a number of different approaches to how the West Cumbria Partnership should evolve, the WCSP Leadership Committee agreed in November of that year to revise the current shared partnership arrangements. The proposals agreed by the Committee essentially involve the formation of separate partnerships for Allerdale and Copeland aimed at strengthening local input into Council decision making processes in each area and to provide officer support from the Local Authorities to embed partnership management and administration in respective staffing establishments.

The Executive approved the principle of separate LSP’s at its December 2009 meeting and this discussion paper aims to take forward the key issues around how this could happen and inform a further report to Executive outlining how an Allerdale LSP could be formed and managed. It is important to remember that the December 09 Exec report also supported the principle of a West Cumbrian dimension to partnership activity and hence the existing Thematic Partnerships and Leadership Committee should remain with a coordination remit for West Cumbria. Future arrangements for the West Cumbria Public Service Board are currently being debated but it is generally agreed that the Board requires a clearer focus and remit.

It is also important to note that whilst the Borough Council has agreed to amend the partnership arrangements, there has been little consultation with other public service delivery bodies or the community/voluntary sector other than verbal updates to the last WC Partnership Forum in November 2009. It is therefore vital that once proposals are worked up, consultation is carried out to help shape the new structures.

Existing Arrangements

Currently, the Partnership is managed through a jointly funded Strategic Coordination Unit (SCU) currently comprising an establishment of 4 staff ( 2 posts vacant, one of which is covered by a temporary worker), based in Allerdale

Page 68 House but employed by Copeland, under a Service Level Agreement between Allerdale and Copeland Borough Councils and Cumbria County Council.

The SCU’s key role is to manage the preparation, implementation and monitoring of “Future Generation”, the Sustainable Community Strategy for West Cumbria. Should new arrangements be implemented, the sustainable community strategy may need to be reworked for Allerdale in parallel with the review of the Council’s Corporate Improvement Plan( dependant upon the emerging proposal for a county wide single sustainable community strategy, currently being developed through the CSP structures), Constitution and Financial strategies. In the short term however, the existing West Cumbria wide strategy will remain as the Councils adopted strategy to meet statutory requirements.

The parties to the Service Agreement are Copeland, Allerdale and the County Council, with ABC and CBC contributing some £59k each and the County £18k. The County Council contribution is lower as they claim as they fully support the costs of the Cumbria Strategic Partnership and do not ask for district contributions - supporting a WCLSP is additional cost.

In addition to the SCU, there is a jointly funded Director of Public Service Delivery again employed by Copeland but part funded by Allerdale (the County Council have no involvement with this post). This post is not covered by the SLA mentioned above. This post supervises the CDRP, line manages Neighbourhood Management staff in Copeland and Allerdale, supports the Public Service Delivery Board and Chairs the West Cumbria Performance Group as well as an influencing role amongst public service providers. Whilst the CDRP is not part of the LSP, there will need to be a review of how this is delivered over coming months given the County Council, as funder, are reviewing funding arrangements from financial year 2011. Interim arrangements for line managing CDRP staff are in hand with on going discussions with the County Council likely to lead to that council managing the local staff, including the CDRP Coordinator. Allerdale is taking forward revised arrangements for delivering on Crime and Disorder Act S.17 responsibilities following the loss of budget under Transformation savings.

These existing arrangements have been in place for some years, however, 2009/10 is the first time that Allerdale BC has had a formal budget allocation to contribute to the £173 k pa running costs of the SCU. In previous years, this was found from budget underspends and from a small allocation in the Regeneration budget. There is no budget provision for the DPSD post in the current year and costs will inevitably have to be found jointly by Copeland and Allerdale, amounting to some £30k per authority. Provision will need to be found from Allerdale budgets for this.

The staff in the SCU, together with the DPSD have had formal notice from Copeland BC, as employer, which expires on 31st March 2010 but may include pay in lieu of notice for unexpired formal notice beyond that date. The Councils

Page 69 now need to look at what, if any, transitional arrangements need to be in place until new arrangements are in place to develop the local partnership and support mechanisms.

These processes may well take the formal dissolution of the West Cumbria Strategic Partnership into May or June of 2010, with associated additional redundancy costs for affected staff amounting to £48,705 to be shared between the 3 Councils. Allerdale’s share will be in the region of £15k.

The SCU and DPSD staff are included on the Allerdale redeployment list.

Whilst day to day management of the partnership is through the SCU, the partnership is governed by the provisions of a Memorandum of Agreement , as amended in Sept 2008,which sets out how the 3 Councils will jointly exercise their statutory duty to prepare and monitor the sustainable communities strategy for the social, economic and environmental well being of West Cumbria. This memorandum will need to be modified by formal adoption of any proposed changes by each signatory Council or may be terminated wef 31st March each year by giving notice to the other Councils by 1st January of that year and any associated costs are shared as outlined above.

Towards a new Allerdale (Local Strategic) Partnership.

The Council is undergoing a series of transformational service reviews which will have associated budget, staffing and service level implications. It is at the same time getting to grips with the implications of locality working to help it become more locally responsive and to improve efficiencies by joint working with the County town, parish and Councils, for example in the delivery and management of local street scene services.

This is therefore an ideal opportunity to look at the LSP and see how it can be better embedded in the Council’s structure and help the council better deliver positive outcomes for its communities, fulfill its duty to inform, consult and involve, as well as generate a real community role in Council decision making as part of the locality working agenda.

Additional benefits will accrue from local stakeholders having a more direct route into Allerdale decision making, policy development and prioritisation processes.

Given the emerging locality agenda in Allerdale, which may see the development of a more formalised approach including the appointment of locality lead officers and locality boards in the 5 localities in the borough, any new LSP arrangements need to build on this approach and develop the capacity to deliver.

Page 70 Governance issues

LSPs are a mechanism to help align budgets , focus mainstream spending on agreed priorities, formalise joint working and formulation and implementation of the statutory sustainable community strategy .They do not have independent legal status, they are not service delivery organisations and there are no hard and fast set of principles for their composition or operation. There is no one model nationally that will guarantee future success but they do depend on the co operation and support of partners to make them successful. The composition of LSPs is a local decision but simply must involve key players in the area and at the right level, to make them credible.

The link between LAA’s and associated national indicators which Allerdale has a role in helping to deliver (and which the County Council has a formal responsibility as an accountable body) and LSP’s is not straight forward, however, in Cumbria, the CSP is undergoing a process of change and refocus which gives an opportunity to reflect the emerging county structure at the local level. This review includes a fresh look at the county wide thematic partnerships and has resulted in new strategic level groups such as the Leaders Forum, and Chief Execs group and coming forward with a more streamlined approach to the CSP. Under any new Allerdale (Local Strategic) Partnership (ALSP) arrangements, it is proposed that the existing Leadership Committee shall remain as a West Cumbria wide forum, and consideration be given to of the future role of the Public Service Delivery Board. Thematic Partnerships will remain much as they are in the short term, but in line with the changes at CSP, it is suggested a review of their role, terms of reference, membership and objectives is necessary to make them more responsive and relevant to changing conditions.

It is felt that in the short term however, that the Economic partnership role will be undertaken by Britain’s Energy Coast West Cumbria. Where these thematic groups report to and how they are coordinated and managed is a key issue that requires further discussion with partners in West Cumbria however in the short term, existing arrangements should be able to continue.

The Allerdale (Local Strategic) Partnership should be connected to the locality working agenda as discussed above. This can occur by ensuring locality Boards or Partnerships are represented on the ALSP along with relevant public service delivery bodies, community/ voluntary sector and local Members from Allerdale and the County Council.

The key issue of course is that the 5 different localities in Allerdale have different arrangements and are in different stages of development. North Allerdale is of particular concern in this respect. The composition of the ALSP needs further refinement but there needs to be consideration of whether or not there should be some form of executive board to help better manage the process

Page 71

The revised LSP structure gives an opportunity for the Leader of the Council and Chief Executive to demonstrate the importance of effective partnership working to Allerdale BC and in the first instance at least, the Leader should chair the Allerdale ( Local Strategic) Partnership Forum .

Internal Management Arrangements

It is proposed that following structure changes associated with transformation the responsibility for the Allerdale (Local Strategic) Partnership lies within the Policy and Communications team under the Deputy Chief Executive. In the interim, the Corporate Improvement Team will lead this is to ensure that partnership issues and outcomes are fully embedded in the Councils policy making, consultation and performance management processes.

The Council’s involvement with the Public Service Delivery Board in West Cumbria should continue through the Chief Executive whilst it reviews its role and function. Support arrangements for the PSDB, if required, will need to be thought through given the likely departure of the DPSD. Coordination between Copeland, the County and Allerdale on this will be vital and perhaps the three Councils could share or alternate admin support and Chair.

The Council will need to appoint a high quality dedicated officer to lead on the development and implementation of the new partnership arrangements and in the first instance the existing Partnerships Officer role has been attached to the Corporate Improvement Team, with a key priority to put in place the beginnings of new partnership arrangements over the next twelve months. This will align the existing development work on locality management and joint working activities with the new partnership proposals.

There is a current allocation of £59k in budget for 2010/11 should be released to provide support to enable the partnership arrangements to be developed as quickly as possible.

Page 72 LOCALITY WORKING

POLICY CONTEXT FOR LOCALITY WORKING

From April 2009 local authorities have a “duty to inform, consult and involve” (henceforth referred to as the duty to involve). This means providing greater opportunities for local people to get involved and influence the decisions that affect them.

In July 2008 the Government published the white paper “Communities in Control: real people, real power” which aims to pass power into the hands of local communities. This builds on the 2006 local government white paper “Strong, safe and prosperous communities” which signaled devolution of power from National Government offices to town halls and from local authorities to local communities in England.

The key aims were to enable effective local services and to create better places by:

• Promoting more responsive services and empowered communities • Advocating a stronger role for local authorities as community leaders • Promoting stronger and more stable local authority leadership • Supporting councillors in their role as democratic champions • Fundamentally rebalancing the central-local relationship • Promoting community cohesion • Developing the economic prosperity for towns, cities and regions

The general direction of travel has been confirmed and further developed in a publication from the Department of Communities and Local Government entitled “Unlocking the Talent in our Communities” March 2008. This focuses on:

• Improving deprived areas through regeneration and promoting work and enterprise • Encouraging active citizenship and reviving civic society and local democracy • Improving local public services by involving local users and consumers • Strengthening local accountability

Evidence also shows that action at the neighbourhood level is likely to be more effective where local authorities and the Local Strategic Partnerships (LSPs) have in place effective arrangements at the more strategic level.

There is also strong encouragement for “participatory budgeting” with the explicit aim that these will be operating to some extent in every Local Authority area by 2012. Allerdale Borough Council’s intentions towards devolved/participatory

Page 73 budgets are as yet undefined, however this is a key feature of a mature partnership arrangement and must be an ambition.

Clearly within the Council’s Corporate Improvement Plan 2008 – 2011 strategic planning must embrace community needs, tackling issues such as health, safer communities, worklessness, regeneration, environment, housing, inclusive communities and street scene initiatives.

THE VISION FOR ALLERDALE BOROUGH COUNCIL

Allerdale Borough Council’s vision is of a strong, dynamic, local government creating communities that are vibrant, healthy, prosperous, safe and sustainable and in which all communities share in the prosperity currently enjoyed in parts of the Borough.

Allerdale Borough Council is seeking to become a ‘needs led’ Authority, which fully engages with local communities. Involvement in local governance arrangements will increase participation and improve the Council’s “approval rating” (Impact of Locality Working, below).

The need for more efficient and effective services is paramount and locality working will assist in this by informing the design and delivery of front line services and breaking down organizational boundaries to enable more effective joined-up working. These arrangements will

• Improve and simplify the ways in which the Council and the Public Sector as a whole engages with local people and communities • Give local people and communities an improved opportunity to inform the Council what their priorities are • Work with elected members, partners and local people to identify and resolve local issues and problems • Improve the services that the public receives and use public money as effectively as possible • Join up service delivery at a local level including delivery of the Local Area Agreement

NEW LOCAL PERFORMANCE FRAMEWORK – The Comprehensive Area Assessment (CAA)

From April 2009 the new comprehensive area assessment (CAA) was introduced, replacing comprehensive performance assessment (CPA). CAA is intended to back up improved local accountability and responsiveness to citizens with the assurance and challenge of more risk-based and proportionate assessment and inspection.

Page 74 This applies to local authorities and their service-delivery partners (for example the police, Jobcentre Plus and NHS Trusts). National Government has been working to clarify how the single performance framework for local government and its partners will align and co-ordinate with frameworks for other sectors.

The Comprehensive Area Assessment (CAA) will be assessing how well an authority and its partners know and understand the needs and aspirations of communities. Inspectorates of local services will be seeking evidence of the effective implementation of the duty to involve as follows:

• Whether local partners are working together to engage local people in setting priorities • Whether local people have been engaged in developing, commissioning and delivering local services • The extent to which local partners have sustainable arrangements, mechanisms and tools to engage local people • The extent to which the arrangements are co-ordinated across partnerships • Whether partners are encouraging empowerment, giving people a greater sense of influence over local decisions • Whether partners give feedback and make changes as a result of engagement and inform people of these changes

IMPACT OF LOCALITY WORKING

The impact of locality working will ultimately be judged through the National Indicator set measures:

NI 1 % of people who believe people from different backgrounds get on well together in their local area. Currently Allerdale’s score is 77.2%, below the average for District Councils. NI 2 % of people who feel that they belong to their neighbourhood. Currently Allerdale’s score is 73.1%, above the average for District Councils. NI 3 Civic participation in the local area. Currently Allerdale’s score is 15.6%, below the average for District Councils. NI 4 % of people who feel they can influence decisions in their locality. Currently Allerdale’s score is 26.5%, below the average for District Councils. NI 5 Overall/general satisfaction with local area. Currently Allerdale’s score is 86.3%, above the average for District Councils.

WHO ELSE IS INVOLVED?

Locality working requires the full range of public sector agencies, principally County, District, Town and Parish Councils, Police and Health Services to work together to meet the specific needs of local areas. Third Sector and other Government agencies such as Connexions and Job Centre+ are also potential partners.

Page 75

PRINCIPLES OF LOCALITY WORKING

The principles for Locality working in Cumbria have been agreed through Cumbria Strategic Partnership:

Community Focus – democratic accountability Successful delivery of services in a locality requires the leadership of that community through the elected County, District and Parish Councillors and effective engagement with all sections of the community. Through effective involvement the community shares responsibility for its own future and provides information to tackle the issues identified and direct participation in problem solving. The Locality Co-ordinator A dynamic co-ordinator, who works in each locality with local councillors, leads involvement of local residents and has the authority to facilitate the alignment of local services delivered by different partnership organisations Management of each locality takes place in partnership Each locality area includes partnership working between individuals from the community and others who have public and 3rd sector management responsibility for relevant local service delivery. Multi agency delivery team Local service delivery resources may either be based within a locality service area, or can be a recognised virtual multi agency team. Joint community intelligence analysis Service delivery should be driven through an approach whereby all available community information is collated and analysed to provide the locality manager with the intelligence required to effectively task partnership resources. Communication A willingness to share information between agencies that motivates and encourages communication between all levels and services. Strategic buy-in All partners are committed to the principles and aims of locality working. At a Chief Officer/Executive/Cabinet level there is an acknowledgement that this is delivered through mainstreamed resources. Allocation of resources There is no requirement for any additional budget to make locality working successful. Effective locality working is based around realignment of existing resources and core costs being met by mainstreamed budgets. Agreed shared targets Local service delivery is based around an agreed shared plan identifying priorities and performance targets. Clearly defined and understood mapping of localities and communities All partners have a common understanding of the local service delivery area boundaries and the identified neighbourhoods / communities within that area Commitment to step changes towards 2011 Public service organisations will to move towards the above principles, within existing structures in their current agendas, ready for full integration by 2011. Learning and development

Page 76 Locality working is a developing agenda requiring activity in new areas of work. Organisations undertake to commit to develop elected members, community activists and staff, in order they have the skills, knowledge, behaviours and support, to effectively provide locality working in Cumbria.

WHERE IS ALLERDALE BOROUGH COUNCIL NOW?

There is very little at present that could be regarded as mature locality working that meets the above principles. Some existing arrangements, however, could form the foundation of meaningful partnerships in the long term.

In terms of devolved working, there is again limited activity by the Council. Local Links and Area Offices provide contact points and discussions are ongoing with the County Council on the devolution of some service functions. The new arrangements for Street Scene Officers will come into operation in April 2010 and delegation of Flood Recovery Funding will act as an informal pilot for Participatory Budgeting.

THE FIVE LOCALITIES OF ALLERDALE (KESWICK, MARYPORT, NORTH ALLERDALE, COCKERMOUTH AND WORKINGTON)

KESWICK (Wards: Keswick, Derwent Valley) Arrangements in Keswick follow on from the Keswick Area Partnership and are taking the form of the “Derwent 7”, an active cluster of parishes. However at a recent meeting of the Flood Recovery Group it was decided to spend some of the allocation of £50k offered by Allerdale to restart a Community Led group along the lines of the former Keswick Area Partnership.

MARYPORT (Wards: Ellen, Ellenborough, Ewanrigg, Flimby, Netherhall) Maryport Partnership has the necessary buy-in from local communities and partner agencies, along with formal governance arrangements. However the Partnership is dependent upon the support of a Co-ordinator.

NORTH ALLERDALE (Wards: Aspatria, Boltons, Holme, Marsh, Silloth, Solway, Wampool, Warnell, Waver, Wharrels, Wigton) The North Allerdale Development Trust is a key organization in the area but is rightly pursuing its own agenda or rural regeneration. Locality working is patchy and will require parallel arrangements.

COCKERMOUTH (Wards: All Saints, Broughton St Bridgets, Christchurch, Crummock)

Page 77 The Cockermouth Partnership ceased in April 2009. However following the November 2009 floods a Community Flood Recovery Group has been established and the Chamber of Trade has re-formed. The Community Flood Recovery Group is developing an Action Plan for the wider locality.

The Town Council is active in pursuing locality working arrangements and developing a Locality Plan but there is still limited contact with the outlying parishes.

WORKINGTON (Wards: Clifton, Dalton, Harrington, Moorclose, Mossbay, Seaton, St Johns, St Michaels, Stainburn) South Workington Neighbourhood Partnership can form the nucleus of a locality partnership although there is a difference in emphasis between locality and neighbourhood management.

Considerable work needs to be done to help form the partnership with the wider Workington communities and outlying parishes. Although limited in geographical extent, a Community Flood Recovery Group is also active.

Please note:

There are also a number of smaller groups forming for example the Melbreak Partnership, the Ireby and Uldale parishes and voluntary and third sector organizations all of whom are showing a willingness to move forward and work together.

Page 78

GOVERNANCE AND MANAGEMENT STRUCTURES, ROLES AND RESPONSIBILITIES

Effective Governance arrangements are essential for the success both of the LSP and Locality working. The needs of the individual localities must be recognized at the LSP level and Borough wide services provided by LSP members need to be delivered effectively in local areas.

LOCALITY BOARDS

These will be an important part of the overall Governance Framework. Each board will consider and agree how they will engage locally with partners and members of the public to shape local service delivery and champion mechanisms for community engagement. Locality Boards will consist of Members from all 3 tiers of local government, along with representatives from 3rd Sector organizations, the business community and other groups active in the area.

As locally focused bodies it is important that Locality Boards will:

• Have a good understanding of local issues and opinions backed by local information, evidence and research, in the form of a Locality Plan • Have strong cross-service communications and action on local service, community, partner and partnership issues • Represent the Locality on the LSP • Have the opportunity to advise the Council and LSP on local priorities and supporting evidence based decision making • Have oversight of “discretionary” financial resource allocations deployed at a local level and reporting back to the local community on this.

There is a strong encouragement for “participatory budgeting” from national Government with the explicit aim that it will be operating to some extent in every LAA area by 2012 and Locality Boards will have a strong role to play in this development.

The Locality Boards will require a formal mechanism to engage/consult with local residents and other stakeholders. The existing network of Neighbourhood Forums could provide this mechanism, albeit with some substantial amendments to their terms of reference.

LEAD OFFICER ROLES

The Locality working principles adopted by the Cumbria strategic partnership include the need for a “dynamic coordinator, who works in each locality with local councillors, leads involvement of local residents and has the authority to facilitate the alignment of local services delivered by different partnership organizations”

Page 79

The role of coordinator will vary between localities. In some areas, a full-time officer may be required, in others, a nominated lead officer may be appropriate. The coordinators can be drawn from any of the partners within the locality or employed by one organization with financial and in kind support from partners.

Their responsibilities could be:

• To promote and negotiate the implementation of localized service planning and delivery and community engagement • Lead the initiation, co-ordination, management, development, implementation and evaluation of the locality action plan • To enhance strategic partnerships and relationships in the locality • To lead the co-ordination and performance management at both at a frontline level of effective public service delivery • To co-ordinate the multi agency team allocated to the Locality • To ensure coherence between strategic initiatives affecting the area

Devolving some autonomy to Officers or frontline staff provides flexibility to vary what they do in response to diverse community needs and priorities for instance street cleaners might be empowered to lead a rapid response to a fly-tipping incident rather than reporting it at the end of their shift.

ELECTED MEMBERS’ INVOLVEMENT

Locality Working should strengthen the representational role of local members but there are challenges inherent with Locality Working that involves members:

• Structures have to be developed that meet both duty to involve and the proposed duty to promote democracy and ensure that Members are actively involved in scrutinizing community engagement and empowerment initiatives and governance arrangements • Ensure Councillors are at the heart of engagement activities and are aware of and able to make best use of their powers to act as advocates of local issues. • Provide Councillors with tools to engage with their communities including devolved budgets or functions, clear roles and powers and sufficient support and resources • Provide a mix of training and support for Councillors to learn more enabling and facilitative approaches

THIRD SECTOR INVOLVEMENT

It is important to remember that the statutory guidance outlines three reasons for involving third sector organizations:

Page 80 • To inform, consult and/or involve third sector organizations if they are affected by, or interested in, a particular issue of Allerdale Borough Council • To act as advocates for local people particularly those who are marginalized or vulnerable • To help Allerdale Borough Council to reach out to marginalized and vulnerable groups

COMMUNITY CONSULTATION AND ENGAGEMENT

Allerdale Borough Council has to be clear about what it is trying to achieve, who our customers are, their needs and aspirations and how they wish to engage with the Council.

Consultation has to directly inform a decision or shape policy or service delivery arrangements. Consultation results should be used to set local performance standards and targets and certainly over time consultation should result in an increase in the percentage of local people who feel that the Council is listening to their views.

The results from the annual Place Survey will provide tangible evidence into whether the factors for success, in terms of involvement, are being met.

What can consultation achieve?

• Services can be targeted more closely at providing what people want • Take up of services can be improved, making unit costs lower • User satisfaction with services can be monitored over time providing a useful performance indicator on improvements in the quality of services • Results of consultation can be used to help to make decisions about policies, priorities and strategies • Allerdale Borough Council can strengthen its role in community leadership

HOW DO WE GET TO WHERE WE WANT TO BE?

The Action Plan below sets out the key activities that need to be undertaken to ensure that the Council’s plans for a revised and workable Local Strategic Partnership, underpinned by effective locality arrangements can be achieved.

Discussions with Copeland BC and Cumbria County Council are already under way to review the Local strategic Partnership.

In terms of locality arrangements, the principal players in the short term are Allerdale Borough Council and Cumbria County Council. Agreement needs to be reached in principle on the Governance and Management arrangements

Page 81 mentioned before in this paper. A target date of April 2011 would appear to be realistic, given the Transformation Programme/Corporate Strategy is built on a Customer Insight exercise in the months ahead.

Page 82 SUGGESTED GOVERNANCE STRUCTURE FOR PARTNERSHIP AND LOCALITY WORKING

Cumbria Strategic Partnership Chief Executives Group

Leaders Forum Public Service Delivery Board

Allerdale Local Strategic Partnership Page 83 Locality Boards

Locality Partnerships Neighbourhood Forums Town Council/Parishes

Community Need Residents Associations, Housing Associations, Community Group, Local Interest Groups

Individuals/Residents

Action Plan

Workstream Jan – Mar 2010 April – June 2010 July – March 2011 Action By Action By Action By LSP Review ABC Internal Submit discussion paper for arrangements CMT and Informal Executive to consider

Prepare report to Executive on proposed management arrangements for the Allerdale

Page 84 (LSP) and to agree budget and way forward

Ensure SCU and DPSB staff are included on the Allerdale redeployment list Partnership Prepare report for the Put in place support Review thematic arrangements Leadership Committee and arrangements for the Public partnerships role with WCSP Service Delivery Board partners, looking at terms of reference, Agree with Copeland and management, County Council to amend the membership and existing Partnerships objectives to ensure Memorandum continuing relevance

Consultation with WCSP members and especially the Chair Willie Slavin to discuss proposals

Joint discussion with Copeland and Cumbria County Council

22 Workstream Jan – Mar 2010 April – June 2010 July – March 2011 Action By Action By Action By officers to ensure co-ordination of the LSP transition process and links with locality working

Consult Britain’s Energy Coast West Cumbria Board about their proposed role as the Economic thematic partnership Community Undertake consultation with Involvement community groups to help to shape new structure of LSP and locality working in Allerdale Locality working ABC Internal Identify resource, staffing, Decision about Council services Work with Corporate Page 85 arrangements budget allocations for Locality that can be devolved to locality Improvement Plan that team level and what budgets can be will incorporate the devolved and to whom Single Sustainable Identify community intelligence Strategy for Cumbria analysis sources/staffing Programme of Training and development sessions for elected members

Programme of Training and Development sessions for internal staff to assist greater understanding and communication about Locality working

Roll out “Pride of Patch” to communities

Appoint relevant staffing resources to the Locality team – Lead Officer, Locality Co-

23 Workstream Jan – Mar 2010 April – June 2010 July – March 2011 Action By Action By Action By ordinators, support and administrative staff Partnership Confirm Locality boundaries Multi agency conference to start Roll out of the Strategy arrangements process of Allerdale LSP and across Allerdale locality working

Agree Governance model for locality working. Locality Boards composition and Governance

Integration of Cumbria CC Neighbourhood Team into Allerdale House Page 86 Community Undertake consultation with Recruitment to Locality Involvement community groups to help to Boards from elected shape new structure of locality members, community working in Allerdale reps and partners

Undertake customer Insight programme to identify needs and aspirations

Develop Locality Action Plans (Cockermouth as a path finder)

24 Agenda Item 16

Allerdale Borough Council

Executive – 12 May 2010 Council – 19 May 2010

Constitution Review

The Subject of the Decision To recommend to Council the approval of the amended Constitution.

The Reason for the Decision To ensure that the Council acts lawfully and to ensure greater clarity of roles, transparent decision making and streamlined Council processes.

Recommendations That Council be recommended to agree the amended Constitution.

Climate Change/Environmental None Implications

Community Safety Implications None

Financial/Resource Implications None

Human Rights Implications The Constitution incorporates rules on access to information

Employment Implications None

Health and Safety and Risk If the appropriate body does not make the Management Implications correct decisions in accordance with legislation the Council could be susceptible to Judicial Review proceedings.

Data Quality Implications None

Equality Impact Assessment N/A completed

Wards Affected All

The Contribution this Decision would Clear, accountable decision making make to the Council’s Key Aims

Is this a Key Decision Yes

Portfolio Holder Councillor Tim Heslop

Page 87 Lead Member of Staff Angela Harwood, Acting Monitoring Officer 01228 227350 [email protected]

(A detailed list of implications is appended to the report)

1.0 Introduction

1.1 This report asks the Council to approve the revised Constitution to ensure greater clarity of roles, transparent decision-making and streamlined Council processes.

2.0 The Local Government Act 2000 imposed the requirement for a Council Constitution. As part of the requirement statutory guidance was issued together with a ‘model’ Constitution that Council could adopt to suit local needs.

Allerdale produced a Constitution in 2000 which has not changed significantly for 10 years and there is a need for a wholesale revision at this time for the following reasons:-

a) to clarify roles of the Council and Executive;

b) to reconsider the provisions of the Policy Framework;

c) to ensure transparent decision-making including a revised scheme of delegation;

d) to review Financial Procedure Rules;

e) to facilitate modern ways of working including shared services and area working;

f) to clarify the role of Task Groups.

2.1 The system at Allerdale has, until now, evolved around the Council meeting being the main decision-making body of the Council and in a way to ‘trump’ any Executive or other body decisions. Allerdale is not alone in this presumption but it is erroneous and most other Councils locally have realised this is not the case.

2.2 It is clear from legislation, backed by Counsel’s Opinion, that the 2000 Act introduced the concept of “Cabinet Government”. The effect of this is that there must be a presumption that all Council decisions are Executive decisions unless there are other provisions that contradict this presumption. There are several provisions that fall under this heading:-

a) Budget and Policy Framework

The Council meeting is responsible for deciding the budget and policy framework and Executive must make decisions within that framework. It is only when a decision is proposed to be taken which is outside this framework that the Council

Page 88 can make the decision. The policies that make up the policy framework are found in the Constitution. If a decision is within the policy framework, no matter how important or contentious it may be, it is still an Executive decision.

The Monitoring Officer has responsibility for advising whether a decision is within the budget and policy framework. b) Statutory Provisions

Some legislation requires that Council must make decisions, which in other circumstances may be Executive decisions. The most recent example of this is the provision that the Council petition scheme must be approved by Council.

There are statutory instruments which state specifically which matters the Executive cannot decide and these are mainly regulatory and licensing functions. However the statutory instruments also make clear that these functions not being an Executive responsibility is the exception rather than the rule. c) Constitutional Provisions

The Constitution reserves to Council certain functions that must be exercised by the Council. These include

Appointing the Leader Adopting and changing the Constitution d) Scheme of Delegation

It is essential that the Council has transparent decision-making processes. This is so that the people of the area are aware of how decisions are made and who made them.

The Council do not presently have individual decision-making by members and these are made through Council, Executive and committees.

The revised Constitution has taken all the relevant responsibilities for certain bodies and people and tried to put them all in one place for easy reference. Senior management have all been asked to review their delegations and these are in the in Constitution together with a codifying of member body responsibility.

The recently introduced “Strong Leader” model has also changed the Constitution and give the Leader power to decide issues without agreement, for example the Leader now chooses the members of the Executive. e) Financial Rules

In view of the significant changes to the way the Council works and its decision- making processes the Council’s Financial Rules have been examined and revised. The Responsible Officer in relation to this is the S151 Officer.

Page 89 f) Modern Ways of Working

There are developments in the Council in relation to shared services and area working including the pilot “Allerdale Project”.

The Constitution has been designed to be flexible enough to facilitate these innovations e.g. shared Monitoring Officer arrangements. If there are any amendments needed the Constitution can be changed. This will be with the approval of Council.

g) Changes to Committees

The Employment Procedure Rules suggest the establishment of a Chief Officers Panel to deal with appointments, disciplinary and dismissal for Chief/Deputy Officers and Statutory Officers in accordance with the legislation. This is instead of two separate panels (Appointments and Redeployment).

The Scheme of Delegation suggests that Licensing Committee deals with Licensing Policy and the Licensing Panels deal with all other applications.

Task Groups

There are a number of Task groups established to look at issues of concern to the Council. There is an issue in relation to these as it is clear from the current Constitution that they are established by the Executive. However it would appear that the reports from these groups go to Council. This position cannot be sustained.

The whole issue of Task Groups needs to be examined as at the moment they seem to take the function of scrutiny but perhaps without the formalities or public access. They are also perceived as “mini committees” but do not have any decision-making powers.

It is clear that these Task Groups are not sub committees of the Council or Executive. They are not subject to the Public Access Rules or any scrutiny provisions. Their terms of reference make it clear that these are to be time- limited with specific crucial tasks to undertake.

Unfortunately, this has not happened with these Task Groups and therefore, any reference to them has to be removed from the Constitution.

The Executive will consider a report on suggestions on how to deal with these groups at a future meeting.

2.3 The next stage is to make the Constitution more interactive, accessible and user- friendly. For example the publishing of individual books/leaflets on individual parts of the Constitution.

ANGELA HARWOOD ACTING MONITORING OFFICER

Page 90

Report Implications

Please delete where applicable.

Community Safety N Sport N Financial N Leisure N Legal Y Tourism N Social Inclusion Y E-Government N Human Rights Y North West Regional N Youth Issues N European N Ethnic Minority Issues N National N Older People Issues N Partnership N Disability Issues N Heritage/Culture N Employment (external to the Council) N Planning Policy N Employment (internal) N Enforcement N Environmental/sustainability N Transport N Environmental/visual N Asset Management N Health N Health and Safety N

Is this a statutory recommendation? Y

Is this a key decision? Y

Has a risk assessment been undertaken? Y/N

Wards affected All

Background papers

Page 91 This page is intentionally left blank

Page 92

CONSTITUTION

Approved by Allerdale Borough Council 2010

Page 93 Contents

Page

Constitution

Part 1. Summary and Explanation 2

2. The Council

A. Role and Function 3-5 B. Council Procedure Rules 6-21 C. Budget and Policy Framework 22-25

3. The Executive

A. Role and Function 26-27 B. Executive Procedure Rules 28-30 C. Membership of Executive and Portfolio 31-34 Responsibilities

4. Scrutiny

Role and Function and Procedural Rules 35-41

5. Scheme of Delegation

A. Council, Executive, Committees and 42-47 Tribunals B. Officers 48-58 C. Joint Arrangements 59-60 D. Member Role Profiles 61-86

6. Procedures and Protocols

A. Public Access 87-102 B. Employment Procedure Rules 103-104 C. Members’ Code of Conduct 105-112 D. Protocol on Councillor/Officers Relations 113-117 E. Financial Regulations 118-216

Appendix 1 Management Structure 217

Page 94 1

Part 1: Summary and Explanation

The Council’s Constitution

The Constitution 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 sets out the basic rules governing the Council’s business. More detailed procedures and codes of practice are provided in separate rules and protocols.

The Constitution commits the Council to work in partnership to ensure its decisions are taken efficiently and effectively for the benefit of the Borough, to identify the decision-makers and hold them to account, and to incorporate propriety into the decision-making process.

Purpose of the Constitution

The purpose of the Constitution is to:

1. enable the Council to provide clear leadership to the community, in partnership with citizens, businesses, and other organisations;

2. support the active involvement of citizens in the process of Local Authority decision making;

3. help Councillors represent their constituents more effectively;

4. enable decisions to be taken efficiently and effectively;

5. create a powerful and effective means of holding decision-makers to public account;

6. ensure that no one will review or scrutinise a decision in which they were directly involved;

7. ensure that those responsible for decision making are clearly identifiable to local people and that they explain the reasons for decisions; and

8. provide a means of improving the delivery of services to the community.

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.

Page 95 2

Part 2: The Council

A. Role and Function

Functions of the Council

The following functions shall be exercised by the Council.

Decisions reserved to Council (a) adopting and changing the Constitution; (b) approving or adopting the Budget and Policy Framework. The list of strategies and plans forming the Council’s Budget and Policy Framework is set out below and must be approved by the Council on the recommendation of the Executive and where appropriate the relevant non-Executive committee; (c) subject to the urgency procedure making decisions about any matter in the discharge of an Executive function which is covered by the Budget and Policy Framework where the decision maker is minded to make it in a manner which would be contrary to the Budget and Policy Framework; (d) appointing the Leader of the Council; (e) agreeing and/or amending the terms of reference for committees, deciding on their composition, and making appointments to them, unless the Council has delegated the latter function; (f) appointing the Chairs of the Scrutiny Board and Scrutiny Panels; (g) appointing representatives to outside bodies, unless the appointment is an Executive function or has been delegated by the Council; (h) adopting an Allowances Scheme; (i) changing the name of the area, or conferring the title of Honorary Alderman; (j) confirming the appointment of the Head of Paid Service; (k) making, amending, revoking, re-enacting, or adopting byelaws, and promoting or opposing the making of local legislation or personal bills; (l) all local choice functions which the Council decides should be undertaken by itself rather than the Executive; and (m) all other matters which, by law, must be reserved to Council.

The Policy Framework

The Policy Framework means the following plans and strategies:- (i) those required by law. • Corporate Plan • Crime and Disorder Reduction Strategy • Cumbria Community Strategy • Local Area Agreement • Local Authority Policy Statement under the Gambling Act 2005

Page 96 3 • Local Development Framework • Statement of Licensing Policy • West Cumbria Sustainable Community Strategy

(ii) other plans and strategies which the Council may decide to adopt. • Asset Management Plan • Emergency Planning

The Budget The Budget includes the allocation of financial resources to different services and projects, proposed contingency funds, the Council Tax base, setting the Council Tax, and decisions relating to the control of the Council’s borrowing requirement, the control of its capital expenditure, and the setting of virement limits. The Council shall normally approve as part of the budget the annual Treasury Management Strategy Statement.

Council Appointments

Composition

The Council will comprise 56 Members, otherwise called Councillors. One or more Councillors will be elected by the voters of each Electoral Ward.

Eligibility

Only registered voters of the Borough/area, or those living or working there, or owning or leasing property there, will be eligible to hold the office of Councillor.

Election and Terms of Councillors

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.

Role and Function of the Mayor of Council

The Mayor, and, in his/her absence, the Deputy Mayor, will have the following roles and functions:

(a) Ceremonial Role: To represent the Council at events of a civic or ceremonial nature, whether organised by the Council or by some other body.

(b) Chairing the Council Meeting: The Mayor will be elected by the Council annually. The Mayor shall not chair any Council committee during his term of office.

(c) Responsibilities: (i) to uphold and promote the purposes of the Constitution, and to interpret the Constitution when necessary; (ii) 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; Page 97 4 (iii) 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 Members who are not on the Executive are able to hold the Executive to account; (iv) to promote public involvement in the Council’s activities; (v) to be the conscience of the Council.

Page 98 5 B. Council Procedure Rules

Contents Rule 1. Annual Meeting of the Council ...... 2. Ordinary Meetings ...... 3. Extraordinary Meetings ...... 4. Appointment of Substitute Councillors ...... 5. Time and Place of Meetings ...... 6. Notice of, and Summons to, Meetings ...... 6A. Postponement of Meetings ...... 7. Chair of Meeting ...... 8. Quorum ...... 9. Duration of Meeting ...... 10. Questions by Members ...... 11. Motions on Notice ...... 12. Motions without Notice ...... 13. Rules of Debate ...... 14. Previous Decisions and Motions ...... 15. Voting ...... 16. Minutes ...... 17. Record of Attendance ...... 18. Exclusion of the Public ...... 19. Members’ Conduct ...... 20. Disturbance by the Public ...... 21. Failing to Attend Meetings………………………………………………. 22. Attendance of Members…………………………………………………. 23. Suspension and Amendment of Council Procedure Rules ...... 24. Application to Committees and Sub-Committees ......

Page 99 6 1. Annual Meeting of the Council

1.1 Timing and business

The Annual Meeting will: (a) elect a person to preside if the Mayor of the Council is not present; (b) elect the Mayor of Council; (c) elect the Deputy Mayor of Council; (d) receive any declarations of interest from Members; (e) approve the minutes of the last meeting; (f) receive any announcements from the Mayor; (g) elect the Leader; (h) appoint at least one Overview and Scrutiny Committee, a Standards Committee, and such other Committees as the Council considers appropriate to deal with matters which are neither reserved to the Council nor are Executive functions (i) agree the Scheme of Delegation, or such part of it, as the Constitution determines it is for the Council to agree; and (j) consider any business set out in the notice convening the meeting.

1.2 Selection of Councillors on Committees and Outside Bodies

At the Annual Meeting, the Council meeting will: (a) decide which committees to establish for the following year; (b) decide the size and terms of reference for those committees; (c) decide the allocation of seats to political groups in accordance with the political balance rules; (d) receive nominations of Councillors to serve on each Committee and outside body; and (e) appoint to those Committees and outside bodies, except where appointment to those bodies has been delegated by the Council or is exercisable only by the Executive.

1.3 Method of Making Appointments

(a) Appointment of Leader and Other Individual Appointments (i) If only one nomination is received, the Mayor will declare the person nominated to be appointed. (ii) If two persons are nominated, there will be a vote by show of hands or recorded vote, whichever the meeting determines. The nominee with the highest number of votes will be declared duly appointed. In the event of equality of votes, then the Mayor will exercise a casting vote.

Page 100 7 (iii) If three or more persons are nominated, there will be a vote by show of hands or recorded vote, whichever the meeting determines. If one nominee has an overall majority of the votes cast, he/she will be declared duly appointed. If not, then the nominee with the lowest number of votes will be excluded from the next round of voting. This process will be repeated, if necessary, until only two nominees are left, when the procedure is as at (ii) above. At all stages, any equality will be resolved by the casting vote of the Mayor.

2. Ordinary Meetings

2.1 Ordinary Meetings will:

(a) elect a person to preside if the Mayor and Deputy Mayor are not present; (b) receive any declarations of interest from Members; (c) approve the minutes of the last meeting; (d) receive any announcements from the Mayor, Leader or Head of Paid Service; (e) deal with any business from the last Council Meeting; (f) receive petitions or questions from the public in accordance with the Public Access Rules of the Council; (g) (subject to relevant Council decisions), receive reports from the Executive and the Council’s Committees, and the minutes of public meetings of the Executive, and receive questions and answers on any of those reports in accordance with Rule 10.1 and answer questions in accordance with Rule 10.2. The total time allowed for questions on minutes of the Executive shall normally be limited to 15 minutes, but this period may be extended at the Mayor’s discretion. Similarly questions on the report of Overview and Scrutiny shall also be time-limited to 15 minutes; (h) receive reports about, and receive questions and answers on, the business of joint arrangements and external organisations; (i) consider any other business specified in the Summons to the Meeting, including consideration of proposals from the Executive in relation to the Council’s Budget and Policy Framework and reports of the Scrutiny Board and Panels for debate; (j) consider Motions for up to a specified period of 30 minutes. The Mayor may extend the specified period at his/her discretion; (k) hear speeches (not exceeding 5 minutes each), for up to a specified period of 15 minutes, from individual Members, of which at least 24 hours’ notice has been given to the Chief Executive. The Mayor may extend the specified period at his/her discretion.

Page 101 8 3. Extraordinary Meetings

3.1 Calling Extraordinary Meetings

Those listed below may require the Chief Executive to call Council Meetings in addition to Ordinary Meetings:

(a) the Council by resolution; (b) the Mayor of the Council; (c) the Monitoring Officer; (d) the Chief Finance Officer; and (e) any 5 Members of the Council, if they have signed a requisition presented to the Mayor of the Council and he/she has refused to call a meeting or has failed to call a meeting within seven days of the presentation of the requisition.

3.2 Business

An Extraordinary Meeting will only consider a specific item or items set out in the Summons to the Meeting.

4. Appointment of Substitute Councillors

4.1 Allocation

As well as allocating seats on Committees, the Council will allocate seats in the same manner for substitute councillors on Tribunals only

4.2 Powers and Duties

Substitute councillors will have all the powers and duties of any ordinary councillors of the Tribunal

4.3 Substitution Substitute councillors may attend meetings in that capacity only to take the place of the ordinary councillor for who they are the designated substitute.

5. Time and Place of Meetings

The time and place of Meetings will be determined by the Chief Executive and notified in the Summons, unless specifically decided by Council or the Committee concerned. Meetings of Council will commence at 7.00 p.m. unless otherwise agreed with the Mayor of the Council.

Page 102 9 6. Notice of, and Summons to Meetings

The Chief Executive will give notice to the public of the time and place of any Meeting, in accordance with the Public Access Rules. At least five clear days before a Meeting, the Chief Executive will send a Summons, signed by him or her, by post, to every Member of the Council, or leave it at their usual place of residence. The Summons will be accompanied by such reports as are available.

6A. Postponement of Meeting

The Chief Executive may postpone any meeting which has already been called by reason of inclement weather, other emergency, or exceptional reasons, after consultation with the Mayor or Chair of the member body concerned. Where the meeting involves two or more political groups, the group spokesperson for each group or, in the case of their non- availability, the group leaders shall also be consulted.

7. Chair of Meeting

The person presiding at the Meeting may exercise any power or duty of the Chair. Where these Rules apply to Committee and Sub-Committee Meetings, references to the Mayor also include the Chair of Committees and Sub-Committees.

8. Quorum

8.1 Council Meeting The quorum of a Council Meeting will be one quarter of the whole number of Members. During any Meeting, if the Mayor counts the number of Members present and declares there is not a quorum present, then the Meeting will adjourn for 15 minutes. If, after 15 minutes, the Mayor, after again counting the number of Members present, declares that there is still no quorum, the Meeting will adjourn immediately. Remaining business will be considered at a time and date fixed by the Mayor. If he/she does not fix a date, the remaining business will be considered at the next Ordinary Meeting.

8.2 Committee

No business will be transacted at any meeting of a committee unless at least one quarter of the whole number of councillors of the committee are present, provided that in no case will any business be transacted if less than three councillors are present.

8.3 Tribunal

(a) A quorum may consist of not less than two councillors. In the event of only two councillors being available, the business can only be conducted with the prior consent of everyone involved.

Page 103 10

(b) The consideration of all business which is on the agenda of a meeting brought to an end because there are fewer than two councillors or where those concerned are not prepared to proceed with only two councillors, and which is not completed before a meeting is brought to an end will be postponed to the next meeting of the tribunal.

9. Duration of Meeting

9.1 At all Meetings of the Council, or any of its Committees, which have commenced in the morning, there shall be an automatic adjournment for luncheon at 1.00 p.m., unless the body concerned resolves to continue or a luncheon break has already commenced. 9.2 At all Meetings of the Council, there shall be an automatic adjournment at 9.00 p.m., to a date to be fixed by the Mayor, unless the Council resolves to continue.

10. Questions by Member(s) on reports of the Executive or Committees

10.1 A Member of the Council may ask the Leader or the Chair of a Committee any question, without notice, upon an item of the report of the Executive or a Committee, when that item is being received or under consideration by the Council.

10.2 Where an undertaking is given to reply to a question in writing, a copy of the reply shall be made available to all members of the Council, except where the matter specifically concerns a single ward. This shall normally be actioned by emailing a copy of the reply to all Members.

10.3 Questions on Notice at Council

(a) Subject to Rule 10.5, a Member of the Council may ask:

the Mayor;

a Member of the Executive;

the Chair of any Committee or Sub-Committee; a question on any matter in relation to which the Council has powers or duties, or which affects the Borough, for up to a specified period of 15 minutes. The Mayor may extend the specified period at his/her discretion. Such questions shall be considered by the Council immediately after the report and minutes of the Executive.

10.4 Questions on Notice at Committees and Sub-Committees

Subject to Rule 10.5, a Member of a Committee or Sub-Committee may ask the Chair of it a question on any matter in relation to which the Council has powers or duties, or which affects the Borough, and which falls within the Terms of Reference of that Committee or Sub- Committee. Page 104 11 10.5 Notice of Questions

A Member may only ask a question under Rule 10.3 and 10.4 if either: (a) they have given at least two working days’ notice in writing of the question to the Chief Executive; or (b) the question relates to urgent matters, they have the consent of the Mayor to whom the question is to be put, and the content of the question is given to the Chief Executive by 12.00 p.m. on the day of the Meeting.

10.6 Response

An answer may take the form of: (a) a direct oral answer; (b) where the desired information is in a publication of the Council, or other published work, a reference to that publication; or where the reply cannot conveniently be given orally, a written answer.

11. Motions on Notice

11.1 Notice

Unless the Mayor is of the opinion that a Motion should be considered as a matter of urgency, written notice of every Motion, except for Motions which can be moved without notice under Rule 12, signed by at least one member, must be delivered to the Chief Executive not later than eight working days before the date of the Meeting. These will be entered in a book open to public inspection.

A Motion shall only be considered as a matter of urgency if any delay likely to be caused by the requirement to give not less than eight working days’ notice would seriously prejudice the Council’s or the public’s interest. The Minutes of the Council shall specify the grounds upon which the Motion is considered urgent.

11.2 Motion set out in Agenda

Motions for which notice has been given will be listed on the Agenda in the order in which notice was received, unless the Member(s) giving notice state, in writing, that they propose to move it to a later Meeting or withdraw it.

Page 105 12 11.3 Scope

Motions must be about matters for which the Council has a responsibility or which affect the Borough. Any decision about the acceptability of a Motion will be made by the Mayor and notified to the Member concerned by the Chief Executive.

12. Motions without Notice

The following Motions may be moved without notice: (a) to appoint a Mayor of the Meeting at which the Motion is moved; (b) in relation to the accuracy of the Minutes; (c) to change the order of business in the Agenda; (d) to refer back or to an appropriate body or individual a recommendation of the Executive, a Committee, or an Executive Member; (e) to appoint a Committee or Member arising from an item on the Summons for the Meeting; (f) to receive reports or adoption of recommendations of Committees or Officers and any resolutions following from them; (g) to withdraw a Motion; (h) to amend a Motion; (i) to proceed to the next business; (j) that the question be now put; (k) to adjourn a debate; (l) to adjourn a Meeting; (m) to continue the Meeting beyond the time fixed for automatic adjournment; (n) to suspend a particular Council Procedure Rule; (o) to exclude the public and press in accordance with the Public Access Rules; (p) to not hear further a Member named, or to exclude them from the Meeting; and (q) to give the consent of the Council where its consent is required by this Constitution.

13. Rules of Debate

13.1 No Speeches until Motion Seconded

No speeches may be made after the mover has moved a proposal and explained the purpose of it until the Motion has been seconded.

Page 106 13 13.2 Right to Require Motion in Writing

Unless notice of the Motion has already been given, the Mayor may require it to be written down and handed to him/her before it is discussed.

13.3 Seconder’s Speech

When seconding a Motion or Amendment, a Member may reserve his/her speech until later in the debate.

13.4 Content and Length of Speeches

Speeches must be directed to the question under discussion, or to a personal explanation or Point of Order. No speech may exceed 5 minutes without the consent of the Mayor.

13.5 When a Member may Speak Again

A Member who has spoken on a Motion may not speak again whilst it is the subject of debate, except: (a) to speak once on an Amendment moved by another Member; (b) to move a further Amendment if the Motion has been amended since he/she last spoke; (c) if his/her first speech was on an Amendment moved by another Member, to speak on the main issue (whether or not the Amendment on which he/she spoke was carried); (d) in exercise of a right of reply; (e) on a Point of Order; and (f) by way of personal explanation.

13.6 Amendments to Motions

(a) An Amendment to a Motion must be relevant to the Motion, and will either be: (i) to refer the matter to an appropriate body or individual for consideration or reconsideration; (ii) to leave out words; (iii) to leave out words and insert or add others; or (iv) to insert or add words; as long as the effect of (ii) to (iv) is not to negate the Motion.

Page 107 14 (b) Normally, 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. The Mayor may permit two or more Amendments to be discussed (but not voted upon) together, if circumstances suggest that this course would facilitate the proper conduct of the Council’s business. (c) If an Amendment is not carried, other Amendments to the original Motion may be moved. (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 Mayor will read out the Amended Motion before accepting any further Amendments, or, if there are none, put it to the vote.

13.7 Alteration of Motion

(a) A Member may alter a Motion of which he/she has given notice with the consent of the Meeting. The Meeting’s consent will be signified without discussion. (b) A Member may alter a Motion which he/she has moved without notice with the consent of both the Meeting and the seconder. The Meeting’s consent will be signified without discussion. (c) Only alterations which could be made as an Amendment may be made.

13.8 Withdrawal of Motion

A Member may withdraw a Motion which he/she has moved with the consent of both the Meeting and the seconder. The Meeting’s consent will be signified without discussion. No Member may speak on the Motion after the mover has asked permission to withdraw it unless permission is refused.

13.9 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. (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 the Amendment has the right of reply to the debate on his or her Amendment immediately before any reply by the mover of the Motion.

13.10 Motions which may be moved during Debate

When a Motion is under debate, no other Motion may be moved except the following Procedural Motions:

Page 108 15 (a) to withdraw a Motion; (b) to amend a Motion; (c) to proceed to the next business; (d) that the question be now put; (e) to adjourn a debate; (f) to adjourn a Meeting; (g) that the Meeting continue beyond the time fixed for adjournment under Rule 9.1 or 9.2; (h) to exclude the public and press in accordance with the Public Access Rules; and (i) to not hear further a Member named under Rule 19.3, or to exclude them from the Meeting under Rule 19.4.

13.11 Closure Motions

(a) A Member may move, without comment, the following Motions at the end of a speech of another Member: (i) to proceed to the next business; (ii) that the question be now put; (iii) to adjourn a debate; or (iv) to adjourn a Meeting. (b) If a Motion to proceed to next business is seconded, and the Mayor thinks the item has been sufficiently discussed, he or she will put the Procedural Motion to the vote. (c) If a Motion that the question be now put is seconded, and the Mayor thinks the item has been sufficiently discussed, he/she will put the Procedural Motion to the vote. If it is passed, he/she will give the mover of the original Motion and, if appropriate, the mover of an Amendment which is being debated, a right of reply before putting the Motion to the vote. (d) If a Motion to adjourn the debate, or to adjourn the Meeting, is seconded, and the Mayor thinks the item has not been sufficiently discussed, and cannot reasonably be so discussed on that occasion, he/she will put the Procedural Motion to the vote without giving the mover of the original Motion the right of reply. (e) A second Closure Motion may not be made for 15 minutes, unless it is moved by the Mayor.

13.12 Point of Order

A Member may raise a Point of Order at any time. The Mayor will hear them immediately. A Point of Order may only relate to an alleged breach of these Council Procedure Rules or the law. The Member must indicate the Rule or law, and the way in which he/she considers it has been broken. The ruling of the Mayor on the matter will be final.

Page 109 16 13.13 Personal Explanation

A Member may make a personal explanation at any time. A personal explanation may only relate to some material part of an earlier speech by the Member which may appear to have been misunderstood in the present debate. The ruling of the Mayor on the admissibility of a personal explanation will be final.

14. Previous Decisions and Motions

14.1 Motion to Rescind a Previous Decision

A Motion or Amendment to rescind a decision made at a Meeting of Council within the past 6 months cannot be moved unless the Notice of Motion is signed by at least 10 Members.

14.2 Motion Similar to one Previously Rejected

A Motion or Amendment in similar terms to one that has been rejected at a Meeting of Council in the past 6 months cannot be moved unless the Notice of Motion or Amendment is signed by at least 10 Members. Once the Motion or Amendment is dealt with, no one can propose a similar Motion or Amendment for 6 months.

15. Voting

15.1 Majority

Unless this Constitution provides otherwise, any matter will be decided by a simple majority of those Members voting and present in the room at the time the question was put.

15.2 Mayor’s Casting Vote

If there are equal numbers of votes for and against, the Mayor will have a second or casting vote. There will be no restriction on how the Mayor chooses to exercise a casting vote.

15.3 Show of Hands

Unless a recorded vote is demanded under Rule 15.4, the Mayor will take the vote by show of hands, or, if there is no dissent, by the affirmation of the Meeting.

Page 110 17 15.4 Recorded Vote

The vote will take place by recorded vote if one quarter of the members present at the meeting demanded such a vote by rising in their places or raising their hands. The names for and against the Motion or Amendment or abstaining from voting will be taken down in writing and entered into the minutes.

15.5 Right to Require Individual Vote to be recorded

Where any Member requests it immediately after the vote is taken, their vote will be so recorded in the Minutes to show whether they voted for or against the Motion or abstained from voting.

16. Minutes

16.1 Signing the Minutes

The Mayor will sign the Minutes of the proceedings at the next suitable Meeting. The Mayor will move that the Minutes of the previous Meeting be signed as a correct record. The only part of the Minutes that can be discussed is their accuracy.

16.2 No Requirement to Sign Minutes of Previous Meeting at Extraordinary Meeting

Where, in relation to any Meeting, the next Meeting for the purpose of signing the Minutes is a Meeting called under paragraph 3 of Schedule 12 to the Local Government Act 1972 (an Extraordinary Meeting), then the next following Meeting (being a Meeting called otherwise than under that paragraph) will be treated as a suitable Meeting for the purposes of paragraph 41(1) and (2) of Schedule 12 relating to signing of Minutes.

16.3 Form of Minutes

Minutes will contain all Motions and Amendments in the exact form and order the Mayor put them.

17. Record of Attendance

All Members present during the whole or part of a Meeting must sign their names on the attendance sheets before the conclusion of every Meeting to assist with the record of attendance.

Page 111 18 18. Exclusion of the Public

Members of the public and press may only be excluded either in accordance with the Public Access Rules in this Constitution, or Rule 20 (Disturbance by the Public).

19. Members’ Conduct

19.1 Standing to Speak

Except with the permission of the Mayor, when a Member speaks at Council, he/she must stand and address the Meeting through the Mayor. If more than one Member stands, the Mayor will ask one to speak and the others must sit. Other Members must remain seated whilst a Member is speaking unless they wish to make a Point of Order or a point of personal explanation.

19.2 Mayor Standing

When the Mayor stands during a debate, any Member speaking at the time must stop and sit down. The Meeting must be silent.

19.3 Member not to be heard further

(a) Members are reminded that when conducting Council business they should follow the requirement of the Code of Conduct to treat others with respect. Members’ attention is also drawn to the principles of the Council's approved Equality and Diversity Policy with its commitment to challenge all forms of discrimination. (b) If, having regard to the above, a member persistently disregards the ruling of the Mayor by behaving improperly or offensively, or deliberately obstructs business, the Mayor or any member may move that the member be not heard further. If seconded, the motion will be voted on without discussion.

19.4 Member to leave the Meeting

If the Member continues to behave improperly after such a Motion is carried, the Mayor may move that either the Member leaves the Meeting or that the Meeting is adjourned for a specified period. If seconded, the Motion will be voted on without discussion.

19.5 General Disturbance

If there is a general disturbance, making orderly business impossible, the Mayor may adjourn the Meeting for as long as he/she thinks necessary.

Page 112 19 20. Disturbance by the Public

20.1 Removal of Member of the Public

If a member of the public interrupts proceedings, the Mayor will warn the person concerned. If they continue to interrupt, the Mayor will order their removal from the Meeting room.

20.2 Clearance of Part of Meeting Room

If there is a general disturbance in any part of the Meeting room open to the public, the Mayor may call for that part to be cleared.

21. Failing to Attend Meetings

If for 6 months a Councillor attends no meeting of the authority, the Chief Executive must tell the council and unless the councillor has been given leave of absence by the council he will no longer be a councillor.

22. Attendance of Councillors

22.1 When a motion is referred to a committee, the proposer of the motion may attend and speak but not vote at that committee and any later meetings of the committee that directly relates to the motion.

22.2 Any Councillor may be present at a meeting of a committee of which they are not a member with the prior agreement of the Chair (which is not normally refused) at least 24 hours before the meeting. The Councillor will be entitled to speak on any local issue affecting their ward but may not take part in the proceedings generally and cannot vote on any issue. This is subject to members who have a prejudicial interest complying with any agreed codes of practice and leaving the room once they have made their representations and answered any questions and before any debate. They must not take part in any of the discussions or vote.

23. Suspension and Amendment of Council Procedure Rules

23.1 Suspension

All of these Council Procedure Rules, except Rule 1.3 and 16.2, may be suspended by Motion on notice or without notice if at least one half of the whole number of Members of the Council are present. Suspension can only be for the duration of the Meeting.

Page 113 20 23.2 Amendment

Any Motion to add to, vary, or revoke these Council Procedure Rules will, when proposed and seconded, stand adjourned without discussion to the next Ordinary Meeting of the Council, to await a report from the Monitoring Officer.

24. Application to Committees and Sub-Committees

All of the Council Procedure Rules apply to Meetings of Council. Only Rule 6A applies to Meetings of the Executive. Only Rules 1.3, 4-9, 6A, 10.3, 15-18, 19.2-19.5, 20, 22 and 23.1 (but not Rule 19.1) apply to Meetings of Committees and Sub-Committees.

Page 114 21 C. Budget and Policy Framework

1. The Framework for Executive Decisions

The Council will be responsible for the adoption of its Budget and Policy Framework. Once the Budget or a Policy Framework policy or strategy is in place, it will be the responsibility of the Executive to implement it.

2. Process for Developing the Budget and Policy Framework

The process by which the Budget and Policy Framework shall be developed is: 2.1(a) The Executive will publicise by including in the Forward Plan and by other methods, 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 Chairs of the Scrutiny Board will also be notified. The consultation period shall wherever possible be maximised to allow as full a response as possible but in each instance will be not less than 4 weeks. (b) At the end of that period, the Executive will then draw up firm proposals having regard to the responses to that consultation. If the Scrutiny Board wishes to respond in that consultation process then it may do so. As the Scrutiny Board has responsibility for fixing its own work programme, it is open to the Scrutiny Board to investigate, research or report in detail with policy recommendations before the end of the consultation period. The Executive will take any response from the Scrutiny Board into account in drawing up firm proposals for submission to the Council, and its report to Council will reflect the comments made by the Scrutiny Board and consultees and the Executive’s response.

(c) Once the Executive has approved the firm proposals, they will be referred at the earliest opportunity to the Council for decision.

(d) In reaching a decision, the Council may adopt the Executive’s proposals, amend them, refer them back to the Executive for further consideration, or in principle, substitute its own proposals in their place.

(e) If it accepts the recommendation of the Executive without amendment, the Council may make a decision which has immediate effect. Otherwise, it may only make an in-principle decision. In either case, the decision will be made on the basis of a simple majority of votes cast at the meeting.

(f) The decision will be publicised and a copy shall be given to the Leader.

(g) Within 5 clear days of receiving notice of the Council’s decision, the Leader, on behalf of the Executive may

(i) inform the Council of any disagreement that the Executive has with any of the Council’s objections or amendments and the reasons for any such disagreement; or (ii) submit a revised plan, strategy or Budget as amended by the Executive, with reasons for the amendments, to the Council for consideration. Page 115 22 (h) If no response is received from the Leader within the 5 clear days set out above any ‘in-principle’ decision of the Council will automatically become effective. (i) If a response is received from the Leader within the 5 clear days set out above, the Monitoring Officer will call a Council meeting within a further 10 clear days or sooner to meet statutory deadlines. The Council will take into account the Leader’s response and (by simple majority) either:

(a) approve the Executive’s original recommendations; or

(b) approve the Executive’s amended recommendations (if any are made); or

(d) approve a different decision which does not accord with the Executive’s recommendations or disagreement with the Council’s ‘in principle decision’ or objections.”

(j) The decision shall then be made public and shall be implemented immediately.

(k) In approving the Budget and Policy Framework, the Council will also specify the extent of virement within the Budget and degree of in-year changes to the Policy Framework which may be undertaken by the Executive in accordance with paragraphs 5 and 6 of these Rules (Virement and in-year adjustments). Any other changes to the Policy and Budget Framework are reserved to the Council

3. Decisions Outside the Budget or Policy Framework

(a) Subject to the provisions of paragraph 5 (virement) the Executive, committees of the Executive, individual Executive councillors 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 Council, then that decision may only be taken by the Council, subject to 4 below.

(b) If the Executive, committees of the Executive, individual Executive councillors 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 be referred by that body or person to the Council for decision, unless the decision is a matter or urgency, in which case the provisions in paragraph 4 (urgent decisions outside the Budget and Policy Framework) shall apply.

Page 116 23

4 Urgent Decisions Outside the Budget or Policy Framework

(a) The Executive, a committee of the Executive, an individual Executive councillor 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 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 Chairs of the Scrutiny Board agree that the decision is a matter of urgency.

The reasons why it is not practical to convene a quorate Meeting of Council, and the Chairs of the Scrutiny Board consent to the decision being taken as a matter of urgency, must be noted on the record of the decision. In the absence of the Chairs of the Scrutiny Board the consent of the Mayor of the Council and, in the absence of both, the Deputy Mayor, will be sufficient.

(b) Following the decision, the decision taker will provide a full report to the next available Council meeting explaining the decision, the reasons for it and why the decision was treated as a matter or urgency.

5 Virement

5.1 The Council’s Virement Scheme is annexed to the Financial Procedure Rules.

6 In-Year Changes to Policy Framework

The responsibility for agreeing the Budget and Policy Framework lies with the Council, and decisions by the Executive, an individual Executive councillor or officers, or joint arrangements discharging Executive functions must be in line with it. No changes to any policy and strategy which make up the Policy Framework may be made by those bodies or individuals except those changes:

(a) which will result in the closure or discontinuance of a service or part of service to meet a budgetary constraint;

(b) necessary to ensure compliance with the law, ministerial direction or government guidance;

(c) in relation to the Policy Framework in respect of a policy which would normally be agreed annually by the Council following consultation, but where the existing policy document is silent on the matter under consideration.

(d) which are allowed by Financial Regulations and Virement Rules (see 5).

Page 117 24

7 Call-In of Decisions Outside the Budget or Policy Framework

(a) Where the Scrutiny Board is of the opinion that an Executive decision is, or if made would be, contrary to the Policy Framework, or contrary to or not wholly in accordance with the Council’s budget, then it shall seek advice from the Monitoring Officer and/or Chief Finance Officer.

(b) In respect of functions which are the responsibility of the Executive, the Monitoring Officer’s report and/or Chief Finance Officer’s report shall be to the Executive with a copy to every member of the Council. Regardless of whether the decision is delegated or not, the Executive must meet to decide what action to take in respect of the Monitoring Officer’s report and to prepare a report to Council in the event that the Monitoring Officer or the Chief Finance Officer conclude that the decision was a departure, and to the Scrutiny Board if the Monitoring Officer or the Chief Finance Officer conclude that the decision was not a departure.

(c) If the decision has yet to be made, or has been made but not yet implemented, and the advice from the Monitoring Officer and/or the Chief Finance Officer is that the decision is or would be contrary to the Policy Framework or contrary to or not wholly in accordance with the budget, the Scrutiny Board may refer the matter to Council. In such cases, no further action will be taken in respect of the decision or its implementation until the Council has met and considered the matter. The Council shall meet within 28 days of the request by the Scrutiny Board. At the meeting it will receive a report of the decision or proposals and the advice of the Monitoring Officer and/or the Chief Finance Officer. The Council may either:

(i) endorse a decision or proposal of the Executive decision taker as falling within the existing budget and Policy Framework. In this case no further action is required, save that the decision of the Council be minuted and circulated to all councillors in the normal way;

(ii) amend the council’s financial regulations or policy concerned to encompass the decision or proposal of the body or individual responsible for that Executive function and agree to the decision with immediate effect. In this case, no further action is required save that the decision of the Council be minuted and circulated to all councillors in the normal way;

(iii) where the Council accepts that the decision or proposal is contrary to the Policy Framework or contrary to or not wholly in accordance with the budget, and does not amend the existing framework to accommodate it, require the Executive to reconsider the matter in accordance with the advice of either the Monitoring Officer/Chief Finance Officer.

Page 118 25 Part 3: The Executive

A. Role and Function

The Executive is the main decision making body of the Council.

The Executive has responsibility for all the functions of the Council unless they are delegated elsewhere, whether by law or under this Constitution.

The main responsibilities of the Executive are:

No Executive functions are delegated to individual members of the Executive.

Executive Appointments

The Leader

The Leader will be a councillor elected to the position of Leader of the Council by a simple majority at the Council meeting.

Where the Council passes a resolution to remove the Leader from office a new Leader shall be elected at the meeting which passes the resolution or at a subsequent meeting. The Council shall decide, by a simple majority of members present and voting, whether to elect a new Leader at the same meeting as the resolution was carried to remove the Leader from office.

The Deputy Leader

The Leader of the Council shall appoint a member to be Deputy Leader of the Council. The Deputy Leader shall be a member of the Executive.

If for any reason the Leader of the Council is unable to act or the office of Leader of the Council is vacant, the Deputy Leader will act in his/her place.

If for any reason the Deputy Leader of the Council is unable to act or the office is vacant, the Executive will act in the Leader of the Council’s place or will arrange for a member of the Executive to act in his place.

Page 119 26 The Executive Members

The Leader of the Council shall also appoint between one and eight other members of the Council to serve on the Executive.

Changes in the Composition of the Executive

The Leader, Deputy Leader and other Executive Members shall hold office until:

(a) they resign from office; or (b) they are suspended from being councillors under Part III of the Local Government Act 2000 (although they may resume office at the end of the period of suspension); or (c) if in the case of the Leader he/she is removed from office by resolution of the Council; or (d) if in the case of the Deputy Leader and Executive Members they are removed from office by the Leader of the Council; or (e) the date of the Council’s Annual meeting in the year in which ordinary Borough Council elections take place.

(i) The Leader of the Council shall notify the Chief Executive in writing of the size and composition of the Executive and of any changes thereto and the date from which any changes are to take effect. (ii) The Chief Executive shall inform all members of the Council of any changes to the size and composition of the Executive within seven working days of being notified by the Leader of the Council.

Page 120 27 B. Executive Procedure Rules

1. Operation of the Executive

1.1 Making Executive Decisions

The Leader may discharge any of the functions of the Executive himself/herself or may arrange for Executive functions to be discharged by:

(i) the Executive as a whole; (ii) a committee of the Executive; (iii) an individual member of the Executive; (iv) an officer; or (v) joint arrangements;

The Leader may assign to any member of the Executive specific portfolio responsibilities with or without authority to exercise Executive functions in relation to those responsibilities.

1.2 Delegation by the Leader

The Leader will present to the Annual meeting of the Council a written proposal of delegations to be made by him/her for inclusion in the Council’s Scheme of Delegation. The document presented by the Leader will contain the following information about Executive functions in relation to the coming year:

(i) the names, addresses, and electoral divisions of the people appointed to the Executive; (ii) the extent of any authority to be delegated to Executive Members individually, including details of any limitation on their authority; (iii) the terms of reference and constitution of such Executive committees as the Executive has appointed, and the names of Executive Members appointed to them; (iv) the nature and extent of any delegation of Executive functions to any other authority or any joint arrangements, and the names of any Executive Members appointed to any joint committee for the coming year; and (v) the nature and extent of any delegation to officers, with details of any limitation on that delegation, and the title of the officer to whom the delegation is made.

1.3 Sub-delegation of Executive functions

(a) Where the Executive, a committee of the Executive, or an individual Executive Member is responsible for an Executive function, they may delegate further to joint arrangements, or an officer. (b) If the Leader delegates functions to the Executive, then the Executive may delegate further to a committee of the Executive or to an officer. (c) Unless the Leader directs otherwise, a Committee of the Executive to whom functions have been delegated by the Leader may delegate further to an officer. (d) Even where Executive functions have been delegated, that fact does not prevent the discharge of delegated functions by the person or body who delegated.

Page 121 28 1.4 Schemes of Delegation and Executive Functions

(a) The extent of any delegation by the Leader in accordance with the provisions above must be recorded in a Scheme of Delegation. Any amendments to the Scheme must be reported to the Council at its next scheduled meeting. Any delegation to any committees of the Executive must be similarly reported. (b) The Leader may make an amendment to the Scheme of Delegation relating to Executive functions at any time during the year. To do so, the Leader must give written notice to the Chief Executive. The notice must set out the extent of any amendment to the schemes of delegation. The Chief Executive will then include the Leader’s proposals in the schemes of delegation as appropriate and shall report the changes to the Council at its next meeting and include them in this Constitution. The Chief Executive will present a report to the next Ordinary meeting of the Council setting out the changes proposed by the Leader.

1.5 Transitional Provisions

(a) The arrangements for the discharge of Executive functions set out in these Rules are to take effect from the election of a new Leader of the Council at the Council’s Annual meeting. Until the new Leader notifies the Chief Executive of any proposals for changing the arrangements for making Executive decisions, the arrangements set out in the Constitution in force at the date of the Council meeting shall continue to apply.

1.6 Executive Meetings

The Executive will meet at such times as may be agreed by the Leader. The Executive shall meet at the Council’s main offices, or at other locations to be agreed by the Executive.

1.7 Quorum

(a) The quorum for a meeting of the Executive shall be not less than one quarter of the members of the Executive appointed by the Leader of the Council from time to time with the number being rounded up to the nearest whole number; such number to include the Leader or Deputy Leader or, in the absence of both, a specified member of the Executive designated by the Leader or Deputy Leader.

1.8 How Decisions are to be taken by the Executive

Voting at meetings of the Executive and its committees will be by a simple majority of those members voting and present in the room at the time the question is put; in the event of equality, the Chair will have a second or casting vote.

2. How Executive Meetings are conducted

2.1 Chair

The Leader, or in his/her absence the Deputy Leader, will chair any meeting of the Executive or its committees at which he/she is present. In the absence of both, a member of the Executive designated by the Leader/Deputy Leader shall preside.

Page 122 29 2.2 Business

At each meeting of the Executive, the following business will be conducted:

(a) declarations of interest, if any (b) consideration of the minutes of the last meeting; (c) matters referred to the Executive (whether by the Scrutiny Board or Panels or by the Council) for reconsideration by the Executive. (d) consideration of reports from Overview and Scrutiny Committees; and (e) matters set out in the agenda for the meeting, and which shall indicate which are key decisions.

2.3 Putting items on the Executive Agenda

(a) The Leader will decide upon the schedule for the meetings of the Executive. He/she may put on the agenda of any Executive meeting any matter which he/she wishes, whether or not authority has been delegated to the Executive, a Committee of it, or any member or officer in respect of that matter. The Chief Executive will comply with the Leader’s requests in this respect. (b) With the agreement of the Leader any member of the Executive may require the Chief Executive to make sure that an item is placed on the agenda of the next available meeting of the Executive for consideration. If he/she receives such a request, the Chief Executive will comply. (c) The Chief Executive will make sure that an item is placed on the agenda of the next available meeting of the Executive where a relevant Overview and Scrutiny Committee or the Council have resolved that an item be considered by the Executive. (d) The Monitoring Officer and/or the Chief Finance Officer may include an item for consideration on the agenda of an Executive meeting and may require the Chief Executive to call such a meeting in pursuance of their statutory duties. In other circumstances, where any two of the Head of Paid Service, Chief Finance Officer, and Monitoring Officer are of the opinion that a meeting of the Executive needs to be called to consider a matter that requires a decision, they may jointly include an item on the agenda of an Executive meeting. If there is no meeting of the Executive soon enough to deal with the issue in question, then the person(s) entitled to include an item on the agenda may also require that a meeting be convened at which the matter will be considered.

Page 123 30 C. Membership of Executive

Leader of the Council

Councillor Timothy Heslop High Dyke Cockermouth Cumbria CA13 0RA

Tel 01900 823276

Derwent Valley Ward

Portfolio – Strategic Leadership and Partnerships, Communications

Spokesperson for the following functions:

• Strategic Leadership • Communications • Strategic Partnerships • Data Protection

Deputy Leader of the Council

Councillor David Wilson 9 Lawn Terrace Silloth-on-Solway Cumbria CA7 4AW

Tel 016973 31004

Aspatria Ward

Portfolio: Finance and Asset Management

Spokesperson for the following functions:

• Financial Services • Procurement • Asset Management • Coast Protection and Inland Drainage • Data Protection

Page 124 31

Councillor Margaret Jackson

34 Derwent Mill Cockermouth CA13 OHG Tel: 01900 821191

Christchurch Ward

Portfolio: Housing and Planning

Spokesperson for the following functions:

• Planning • Development Control • Planning Policy • Planning Conservation • Building Control • Housing Strategy and Support • Homelessness / Hostels • Data Protection

Councillor Mike Davidson

19 Mason Street Workington CA14 3EH Tel: 01900 602935

St Johns Ward

Portfolio: Policy, Performance and Improvement

Spokesperson for the following functions:

Page 125 32

Councillor Chris Garrard

Bent Dyke Eaglesfield Cockermouth CA13 0SF Tel: 01900 822835

Dalton Ward

Portfolio: Resources

Spokesperson for the following functions:

• Payroll • Democratic Services • Legal Services • Valuation • Business Support • HR (Operational and Policy) • ICT • Data Protection

Councillor Ron Munby

Isel Hall West Isel Cockermouth CA13 0QG Tel 01900 825355

Keswick Ward

Portfolio: People

Spokesperson for the following functions:

• Food Hygiene • Environmental Health and Protection • Health and Safety • Customer Services • Bereavement Services • Licensing and Land Charges • TIC’s • Revenues and Benefits • Data Protection

Page 126 33

Councillor Sam Standage

6 Harrot Hill Cockermouth CA13 OBL Tel: 01900 822488

All Saint Ward

Portfolio: Places

Spokesperson for the following functions:

• Streetscene • Green Spaces • Refuse Collection and Recycling • Waste • Sports • CCTV • Car Parks • Emergency Planning • Neighbourhoods / Rural Support • AONB • Data Protection

Councillor George Scott

Knox Wood Thornby Moor Aikton Wigton, CA7 OLA Tel: 016973 43812

Wigton Ward

Portfolio: Business Spokesperson for the following functions: • Economic Development • Town Centre Management • Tourism Development • Carnegie Theatre • Museums • Markets • Arts • Data Protection

Page 127 34 Part 4 Overview and Scrutiny Procedure Rules

1. Arrangements for Scrutiny Board and Panels

1.1 Guiding Principles

1.1.1 The guiding principle for the work of Overview and Scrutiny is that it should involve constructive criticism with the aim of improving decision-making. Whilst it is accepted that some work (particularly call-in) could potentially be adversarial in a political environment, the emphasis of the work of Overview and Scrutiny should be on making a positive contribution to the development of policy and performance

1.1.2 While Overview and Scrutiny will review Executive decisions through the “call-in” mechanism, importantly, they will also assist in the development of Allerdale Borough Council’s policies by looking at proposed and existing policies and the effectiveness of their delivery, including reviewing whether new policies or changes to existing policies are needed.

1.2 General Role

1.2.1 Overview and Scrutiny look at the quality of council services and other issues that affect the lives of people in Allerdale. The Overview and Scrutiny Board/Panels will listen to the concerns of local people to investigate how the Council and other organisations are performing, and where necessary seek improvement.

They will

• Review any actions taken in connection with the discharge of any of the Council’s functions both in relation to individual decisions and performance over time. • Exercise the right of call-in of any decision taken by the Executive, or by officers under the Executive arrangements, which has not yet been implemented. • Consider any Councillor Call for Action requests, and take any follow up action as required. • Submit reports and/or make recommendations to the Executive, to Council or to any appropriate partnership or external agency on the delivery of public services. • Respond to consultation by the Executive.

Page 128 Specific Duties

Overview and Scrutiny will review policies and contribute to policy development to assist the Council and the Executive in the development of its budget and policy framework by in-depth analysis of policy issues.

They will carry out research and consultation with the community, local businesses and other appropriate interest groups in considering different policy options.

They will question Members of the Executive, of Committees, officers and other appropriate people to canvass opinion and gather evidence to assist their conclusions and liaise with external organisations to gather evidence based on wide-ranging views.

They will make recommendations to the Executive, to an appropriate Committee or to Council arising from the outcome of the scrutiny process.

They will invite other public bodies or partnerships in the Borough to participate in the scrutiny process and question any person (with their consent).

Overview and Scrutiny will report annually to full Council and the Chairs will jointly keep scrutiny practices, procedures and work programmes under periodic review.

2. Overview and Scrutiny Structure

2.1 Overall Structure

2.1.1 The Council will appoint a Scrutiny Board and two Scrutiny Panels to carry out all aspects of Scrutiny on behalf of the Council.

The Scrutiny Board will oversee the work of Overview and Scrutiny.

2.2 Functions for the Scrutiny Board

• To consider the Forward Plan and decide on scrutiny action if any; • To consider the Executive minutes; • To consider and agree any call-in requests; • To consider Councillor Call for Actions and any follow-up action which is required; • Take an overview and manage the scrutiny work plan; • Consider and agree the steps required to comply with new legislation; • To be a point of co-ordination for all scrutiny activity and reports, including joint scrutiny;

Page 129 • To consider performance monitoring and allocate any areas of concern to the appropriate panel; • To receive complaints’ monitoring information; • Take an overview and consider scrutiny training needs; • To take the lead on the Scrutiny/Executive relationship; • To carry out scrutiny which is best suited to the parliamentary-style of scrutiny, such as responding to public consultations; • To convene a meeting of all Scrutiny Members as appropriate.

2.3 The Scrutiny Board will support, and be supported by, Scrutiny Panels One and Two. Scrutiny Panel One and Scrutiny Panel Two would look and feel like standing task and finish groups. The panels would meet on a shift basis, with their meetings arranged on completion of the work plan.

3.0 Membership of Scrutiny Board/Panels

3.1 All councillors, except members of the Executive, may be members of an Overview and Scrutiny Committee or task and finish group. However, no member may scrutinise a decision in which he/she has been directly involved in making.

3.2 The Scrutiny Board shall comprise 9 members, with the Joint Chairs each also chairing one of the two scrutiny panels.

3.3 No member may act as a replacement member for any member of the Scrutiny Board or Panels.

4. Meetings of the Scrutiny Board

The Scrutiny Board will meet at least 12 times per year at the Council’s main offices or at a venue agreed by the Board, the meetings will be open for the public to attend except where personal or confidential matters are being discussed. Scrutiny Panels will meet as and when required by the projects allocated on the work plan

Overview and Scrutiny may appoint sub committees for a specific task, on completion of which they will cease to exist.

Scrutiny Panels shall be entitled to appoint non-voting co-optees, where they bring specialist expertise, experience and interest.

The Joint Chairs of each Scrutiny Panel, or any 3 Councillors of each Scrutiny Panel (from at least 2 political groups) and the monitoring officer or the proper officer may call a meeting of Scrutiny if considered necessary or appropriate.

Page 130 5. Quorum

No business will be transacted at any Overview and Scrutiny meeting unless at least one quarter of the total membership of that panel are present. In no case will any business be transacted if less than 3 councillors are present.

6. Chair(s)

Each Scrutiny Board/Panel will have joint Chairs (one ruling group and one leading opposition group) and the chair will be rotated in accordance with the work programme of that panel.

In the absence of both joint Chairs, a Councillor appointed to do so by those Councillors present will preside.

7. Work Programme

The Chairs of Overview and Scrutiny will hold joint responsibility for setting and prioritising the work programmes of their Panels in consultation with its membership. They will ensure that the items put forward reflect the principles of scrutiny.

8. Agenda Items

Any member of the Council may give written notice to the Proper Officer that they wish an item, which falls within the scope of Overview and Scrutiny, to be included on the agenda of the Board for approval and allocation. If the Proper Officer receives such a notification, then discussion with the Chairs of the scrutiny board and panels will determine the legitimacy of the request. They will also investigate the earliest opportunity that the panels could reasonably consider the item, taking account of agreed priorities in the existing work plan.

The Scrutiny Board will also consider requests from Council or the Executive to review particular areas of Council activity, and will agree the earliest opportunity that the panels could reasonably consider these requests taking similar account of agreed priorities in the work plan.

9. Reports

Reports from Overview and Scrutiny, making recommendations or observations on the Council’s policies, budgets and service delivery will be submitted to Executive or Council as appropriate.

Page 131 Where the issue being reported has been the subject of a call-in, the process which can delay the implementation of an Executive decision pending further investigation, the reports will be prepared according to the agreed timetable for call-ins to be found in these procedural rules.

The Chair or his/her representative will be invited to present the report to the Executive and to answer any further questions.

If Overview and Scrutiny cannot agree on one single final report to the Council or Executive, then one further minority report may be prepared and submitted for consideration. In this instance, an invitation to present the scrutiny reports to the Executive will be at the Leader’s discretion. If the Executive does not agree or amends the Scrutiny recommendations, the responsible Portfolio Holder will give a full account of the Executive’s reasons to the next Scrutiny Board meeting, either in person or by means of a written report following discussion with the Scrutiny Chairs.

The Call-In Procedure

Initiating a Call-In a) If three Councillors wish an Executive decision to be reviewed, they may, within 8 clear working days of the date on which the decision was made, fill in a formal written request to the Monitoring Officer. The request must be received by close of business on the eighth day. (No decision of the Executive may be implemented until the call-in period has expired).

Accepting or rejecting a Call-in b) The Chairs of the Scrutiny Board will be asked to jointly determine within three clear working days of receipt of the request, giving due regard to the advice of the Monitoring Officer or his representative, whether there are material grounds for the call-in to take place. Material grounds for call-in might include: • That the decision falls outside of the agreed budgetary and policy framework of the Council (in which case the Overview and Scrutiny Board will report back to Council – see Budget and Policy Framework rules). • That the decision taken falls outside of the terms of reference of the Executive. • That the decision was made without all relevant information or that the information supplied to the Executive may be flawed in some way.

Page 132 • That the decision taken related to a high profile issue and there has been inadequate consultation. c) If the Scrutiny Board Chairs are unable to agree whether there are material grounds for call-in, the monitoring officer will decide whether the reasons given are material and his decision will be final. d) If the call-in request is rejected, a letter will be sent to those Councillors who requested the call-in giving the grounds for refusal. e) If the call-in request is accepted, Members of the Scrutiny Board will be notified as soon as practicable.

Carrying out the Call-in f) Once agreement has been reached to accept a call-in, the Executive decision, which is the subject of the call-in, may not be implemented until Overview and Scrutiny has reported back to the Executive or Council in accordance with this procedure. g) A meeting of the Scrutiny Board will take place to consider the Executive decision within 5 clear working days of the acceptance of the call-in request. h) Every consideration will be given to accommodate previous commitments of those called to give evidence, however in the event that no mutually agreeable date can be found, Members and Officers may be required to attend a call-in meeting provided three clear working days notice have been given (unless the Leader (or where the call-in is to be reported to Council, the Mayor, and the Scrutiny Board Chairs are both in agreement to an extension of this call-in procedure).

Agreeing and submitting a report i) When the Overview and Scrutiny Board has met to consider the call-in it shall have 5 clear working days to draft and agree a report of its findings and/or recommendations which will be reported to the next available Executive or Council meeting in accordance with the Scrutiny reporting process in the Constitution.

Page 133

CALL-IN PROCEDURE Clear working Days* 0 Executive takes decision 1-8 Any three Councillors can initiate a call-in 9-12 Scrutiny Chairs or Monitoring Officer take a decision to accept or refuse the call-in 13-18 Committee meeting is held 19-24 Scrutiny Boad drafts and agrees a report Report presented to next available Executive or Council meeting in accordance with agreed reporting process.

* This would be the maximum number of days to complete the call-in procedure.

Page 134

Part 5 Scheme of Delegation

The Council is required by the Local Government Act 2000 and regulations made under it, to indicate how it has arranged for its functions to be carried out. The Council has delegated its functions by means of its Scheme of Delegation which follows these pages in this part of the Constitution.

Functions of the Council are either Executive or non-Executive. Non Executive functions are delegated to non-Executive committees. All other functions are Executive functions and are delegated either to the Executive, individual Executive Members, officers or joint arrangements with other local authorities and public bodies.

The scheme is adopted with the intent that there should be a streamlining and simplification of the decision-making process of the Council and accordingly it should be interpreted widely rather than narrowly.

A. The Council, Executive, Committees and Tribunals

1. The Council

Functions

The Council will exercise the functions set out in Part 2A.

2. The Executive

Functions

The Executive will exercise the functions set out in Part 3A.

3. The Scrutiny Board

Functions

The Scrutiny Board will exercise the functions set out in Part 4.

4. The Scrutiny Panels

Functions

The Scrutiny Panels will exercise the functions set out in Part 4.

Page 135

5. Licensing Committee

Functions

1. To consider and recommend any necessary changes in licensing policy.

6. Licensing Panels

Functions

1. To consider and decide upon applications received under the Licensing Act 2003 and the Gambling Act 2005.

2. To consider and decide upon applications for licences for street trading, take away foods, public entertainment, private hire and hackney carriages and any other licence applications unless otherwise delegated.

3. To hear appeals in respect of the following legislation:-

2.1 Licence for dog breeding establishments under Breeding of Dogs Act 1973

2.2 Licence to keep riding establishment under Riding Establishments Act 1964

2.3 Licence for animal boarding establishment under the Animal Boarding

2.4 Licence to keep pet shop under Pet Animals Act 1951

2.5 Street Trading Consent under the Local Government (Miscellaneous Provisions) Act 1982

2.6 Licence to keep dangerous wild animals under the Dangerous Wild Animals Act 1982

2.7 Licence for a zoo under the Zoo Licensing Act 1981

2.8 Licence for a caravan site under the Caravan Sites and Control of Development Act 1960

2.9 Registration of premises as skin piercing establishment under Local Government (Miscellaneous Provisions) Act 1982

Page 136 2.10 Licence to hire pleasure craft under the Public Health Acts Amendment Act 1907 as applied by the Local Government Act 1972 and byelaws made thereunder

7. Development Panel

Functions:

1. To consider and decide upon applications for planning permission and related matters within the Borough unless otherwise delegated;

2. To approve draft local development documents for consultation purposes;

3. To formulate views upon planning applications with the National Park and upon County matters.

4. To determine applications for hazardous substances consent under the Planning (Hazardous Substances) Act 1990.

8. Standards

Functions

The Standards Committee will have the following role and function:

1. Promoting and maintaining high standards of conduct by councillors and co-opted councillors;

2. Assisting councillors and co-opted councillors to observe the councillors‘ Code of Conduct;

3. Advising the Council on the adoption or revision of the councillors’ Code of Conduct;

4. Monitoring the operation of the councillors’ Code of Conduct;

5. Advising, training, or arranging to train councillors and co-opted councillors on matters relating to the councillors’ Code of Conduct;

6. Granting dispensations to Councillors and co-opted councillors from requirements relating to interests set out in the councillors’ Code of Conduct;

Page 137 7. Dealing with any reports from a case tribunal or interim case tribunal and any report from the Monitoring Officer on any matter which is referred by an ethical standards officer to the monitoring office

8. Considering applications from the Council’s employees for exemption from political restrictions in respect of their posts;

9. In relation to complaints about member conduct:

• Receiving and assessing complaint; • Reviewing local assessment decisions • Conducting hearings following investigation • The exercise of the above in relation to parish councils wholly or mostly in its area and the councillor’s of those parish councils.

9. Audit

Functions

The Committee will provide independent assurance of the adequacy of the risk management framework and the associated control environment, independent scrutiny of the authority’s financial and non-financial performance to the extent that it affects the authority’s exposure to risk and weakens the control environment, and to oversee the financial reporting process including

1. Examining proposals for the Terms of Reference of Internal Audit;

2. Approving the Internal Audit Strategic and Annual Plans;

3. Reviewing the progress report from the Head of Internal Audit;

4. Reviewing the progress report from External Audit summarising work done and emerging findings;

5. Reviewing the Head of Internal Audit’s Annual Opinion and Report;

6. Advising on the adequacy of management response to issues identified by audit activity, including external audit’s management letter;

7. Quality assuring reports from Internal Audit reviews;

8. Examining and approving the Statements of Accounts;

9. Considering and approving the Annual Governance Statement

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10. Allerdale/County Joint Liaison Group

Functions

To work with Cumbria County Councils’ Allerdale Area Committee to consider matters of mutual interest to both Allerdale Borough Council and Cumbria County Council and to report/make recommendations to Executive and/or Council.

11. Harrington Harbour and Dock Board

Functions

12. Personnel Tribunal

Functions

To consider appeals and grievances in relation to disciplinary, grading, capability and redeployment following an officer decision.

13. Discretionary Housing Payments Tribunal

Functions

To consider second stage appeals for discretionary housing payments

14. Housing Tribunal

Functions

To consider and decide upon appeals against the decisions of officers in relation to renovation grants

15. Complaints Tribunal

Functions

To consider and decide upon any appeal under the Council’s complaints procedure

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16. Chief Officers’ Panel

Functions

1. To make recommendations to the Council on the appointment of the Chief Executive. 2. To appoint Chief Officers, Deputy Chief Officers and Statutory Officers. 3. Disciplinary action and grievances in relation to the Chief Officers, Deputy Chief Officers and Statutory Officers. 4. Dismissal of Chief Officers, Deputy Chief Officers and Statutory Officers. 5. Applications for Voluntary Redundancy/Early Retirement from Chief Officers.

All of the above will be in accordance with Employment Procedure Rules and Council Policies.

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B. Delegation of Council Functions and Executive Functions to Officers

A. Introduction

1. Scope

1.1 This scheme sets out the extent to which the functions of the Council or the Executive are delegated to officers and should be interpreted widely rather than narrowly. It is divided into the following sub-sections:

A Introduction

B General Delegation to all Strategic Managers

C Specific Delegation to all Strategic Managers

D Specific Delegation to Officers with Statutory Responsibilities

1.2 In this scheme “officer” means the holder of any post named in this scheme as having delegated powers and duties.

1.3 In this scheme “strategic manager” means the Chief Executive, Deputy Chief Executive and Strategic Managers.

2. Exercise of delegated powers

2.1 Functions in this section may be exercised by the nominated officer(s) and includes anything which facilitates, or is conducive or incidental to, the discharge of these functions, tasks, or responsibilities.

2.2 Where an officer has been given delegated authority by this section they may authorise any member of their staff to act on their behalf.

2.3 An officer may refer a delegated matter to the Executive or the Council Meeting or to one of its Committees for decision rather than take the decision themselves.

2.4 When exercising delegated powers officers must always have regard to the following implications of the decision. When necessary, advice should be taken:-

(a) financial

(b) legal

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(d) human resources

(e) environmental

(f) corporate social responsibility

(g) crime and disorder

(h) risks

(i) policy and performance

2.5 Before taking a decision under delegated powers, an officer will notify the relevant Executive member and Ward member(s) of any action which is likely to be contentious or politically sensitive.

2.6 Officers will keep members of the Executive informed of the work of their service area.

2.7 When exercising delegated powers officers will consult with staff in another service area if the decision is likely to impact on the work of that service area.

2.8 When exercising delegated powers an officer will always have regard to the requirements of the Constitution. 2.9 The Chief Executive may authorise one officer to exercise the delegated powers of another officer in the absence of the latter.

3. Overall Limitations

3.1 This scheme does not delegate to an officer any matter which:

(a) has been reserved to the Council Meeting (b) has been reserved to any committee (c) has been reserved to the Executive (d) may not by law be delegated to an officer.

3.2 In exercising delegated powers officers shall:

(a) not go beyond the provision in the revenue or capital budgets for their service or agree individual items of expenditure or virement beyond that permitted by Financial Regulations.

Page 142 (b) have regard to any report by the Head of Paid Service or the Monitoring Officer under sections 4 and 5 of the Local Government and Housing Act 1989 or of the Chief Finance Officer under section 114 of the Local Government Finance Act 1988.

(c) maintain a full record of the exercise of those powers, including all relevant details, in accordance with any corporate guidance given by the Monitoring Officer.

(d) have regard to any report from the Council’s internal and external auditors in relation to a fundamental weakness in management and financial controls.

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B. General Delegation to all Strategic Managers

1. To take such action as may in their opinion be necessary or appropriate in connection with:

(a) all operational management matters for those functions and service areas for which they have responsibility under this Constitution;

(b) persons and/or property for which they and their service has responsibility;

(c) the implementation of decisions properly authorised by the Council or a committee, the Executive or an individual member of the Executive or by an Officer acting under delegated powers;

(d) the performance of any action for which they are specified as responsible in any policy, procedure or other document approved or adopted by the Council Meeting or a committee, the Executive or an individual member of the Executive or by an Officer acting under delegated powers.

2. To serve a requisition for information about an interest in land using powers relevant to the operation of the service area.

3. To manage, direct and control all resources allocated to their service area in accordance with the Council’s policies and procedures.

4. To co-ordinate and monitor work through approved plans and policies, ensuring compliance with targets and performance to the relevant committee.

5. To determine the level of charges for Council services in order to maximise income and in accordance with agreed charging policies.

6. To ensure compliance with and discharge of all relevant legislation, Acts of Parliament, orders, regulations and directives and the Council’s policies and procedures (including all enforcement matters).

7. To provide and submit a bid for resources in accordance with the approved budget process.

8. To support Councilors in their monitoring and community governance roles.

9. To recommend to the Monitoring Officer and or the Deputy Monitoring Officer, the prosecution or instigation of any legal proceedings on behalf of the Council.

10. To issue licences and registrations relating to any of the approved functions.

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11. To support the Executive in the development of the Council’s Policy Framework.

12. To proactively implement the Council’s equal opportunity policies and practices in employment and service delivery.

13. To ensure appropriate arrangements for regular consultation with Allerdale Borough Council citizens in order to develop understandings of service needs and priorities as the basis for planning provision and building democratic participation.

14. To submit statutory plans and statutory responses to consultation documents to the relevant body where the deadline for submission occurs prior to the date of the relevant meeting.

15. In the absence of the Chief Executive and in accordance with an agreed rota, to undertake on his/her behalf such actions as are required to enable the Council to fulfill its functions.

Page 145 C. Specific Delegations to Strategic Managers

1. Chief Executive

1.1 To exercise the functions of the Head of Paid Service and in this role:

(a) to exercise overall responsibility for corporate management and operational issues (including overall management responsibility for all staff);

(b) to give professional advice to all parties in the Council decision making process;

(d) to ensure that the Council achieves and delivers its objectives; and

(e) to represent the Authority on partnerships and external bodies (as required by statute or by the Authority).

1.2 To co-ordinate, direct and monitor the Council’s initiatives to achieve value for money in the delivery of its functions.

1.3 To be responsible for performance review issues.

1.4 To lead the Strategic Management Team.

1.5 After consultation with the Leader of the Council, to authorise action and incur expenditure, where urgent action is needed to enable the Council to fulfil its functions subject to reporting thereon to the Council Meeting.

1.6 To act as Returning Officer in local elections

1.7 To undertake the duties of Electoral Registration Officer.

1.8 To consider and report on any report of the Local Government Ombudsman and to decide on and implement the action to be taken.

1.9 To undertake all activities in connection with the Council’s Human Resources or civic/ceremonial function.

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1.10 (a) To determine all staffing matters in accordance with the Officer Employment Rules and relevant Council policies. This includes determining matters relating to structure (additions, reductions and other changes to the establishment), appointment, dismissal or discipline of staff, except in relation to those posts which are Chief Officers and Deputy Chief Officers under the Local Government and Housing Act 1989.

(b) Where the decision of the Head of Paid Service taken under (a) above requires consideration of the financial/budgetary implications and a decision in that respect only, then the matter will be referred to the Executive, provided that the remit of the Executive shall be limited to decisions on financial matters only.

1.11 To establish and maintain working relationships with employees and Trade Unions.

2. Deputy Chief Executive

2.1 To be deputy Chief Executive and discharge the functions of the Chief Executive in the Chief Executive’s absence.

2.2 To exercise the Council’s powers and duties in relation to organisational development and improvement, policy and performance, risk management and business continuity, communications, community consultation, strategic partnerships, information management and human resource services.

3. Strategic Manager (Business)

3.1 To exercise the Council’s powers and duties in relation to planning, building control, regeneration, housing, homelessness, travellers, economic development, town centre management, tourism development, museums, arts and culture.

3.2 To discharge the Council’s development control and related functions except any matter reserved to the Development Panel including

(a) Any application or matter which is referred to the Development Panel by any Member of the Council within 21 days of the issue of the weekly list of planning applications.

Page 147 (b) All applications where the proposed decision of the Strategic Manager would, in his or her opinion, be contrary to the policies of the Council as expressed in the Development Plan and/or any emerging plan approved by the Council for the purposes of development control decision making.

(c) Any application submitted on any matter directly affecting or involving a Member or Officer of the Council where the Strategic Manager has been informed of the involvement.

(d) Matters which the Strategic Manager considers to raise issues of major importance or of wider interest or of an innovative or controversial nature and which Members will therefore wish to discuss.

3.3 Regarding building control, to be the Council’s designated proper officer and discharge Building Control functions.

4. Strategic Manager (Places)

To exercise the Council’s powers and functions in relation to streetscene, parks and open spaces, grounds maintenance, parking and asset management services, contract services, waste management, recycling, pest control, public conveniences, sports development street naming and numbering, CCTV, emergency planning, locality management, areas of outstanding natural beauty, coast protection and drainage.

5. Strategic Manager (People)

5.1 To exercise the Council’s powers and functions in relation to environmental health, corporate health and safety, environmental protection, contact centres, tourist information centres, cemeteries and bereavement services, licensing and land charges and revenues and benefits (shared service).

5.2 To authorise enforcement action in relation to regulatory functions exercised.

6. Strategic Manager (Resources)

6.1 To exercise corporate Council functions in relation to financial services, procurement, payroll, legal services, democratic services, valuation, audit services, internal business support and information technology services (and for any other corporate functions for which made responsible),

6.2 To sign Certificates to be issued under Section 2 and Section 3 of the Local Government (Contracts) Act 1997 (the Chief Finance Officer is also authorised to sign).

Page 148 D. Specific Delegations to Officers with Statutory Responsibilities

1. Monitoring Officer and Governance Manager

1.1 To act as the Council’s Monitoring Officer under Section 5 of the Local Government and Housing Act 1989.

1.2 Functions of the Monitoring Officer:

(a) Maintaining the Constitution. The Monitoring Officer will maintain an up-to-date version of the Constitution and will ensure that it is widely available for consultation by members, officers and public.

(b) Ensuring lawfulness and fairness of decision making. After consulting with the Head of Paid Service and Chief Finance Officer, the Monitoring Officer will report to full Council or to the Executive in relation to an Executive function if he or she considers that any proposal, decision or omission would give rise to unlawfulness or if any decision or omission has given rise to maladministration. Such a report will have the effect of stopping the proposal or decision being implemented until the report has been considered.

(c) Supporting the Standards Committee. The Monitoring Officer will contribute to the promotion and maintenance of high standards of conduct through provision of support to the Standards Committee.

(d) Proper officer for access to information. The Monitoring Officer will ensure that Executive decisions, together with the reasons for those decisions and relevant officer reports and background papers are made publicly available as soon as possible.

(e) Advising whether Executive decisions are within the Budget and Policy Framework. The Monitoring Officer will advise whether decisions of the Executive are in accordance with the Budget and Policy Framework.

(f) Providing advice The Monitoring Officer will provide advice on the scope of powers and authority to take decisions, maladministration, financial impropriety, probity and Budget and Policy Framework issues to all councillors.

(g) Restrictions on posts. The Monitoring Officer cannot be the Chief Finance Officer or the Head of Paid Service

1.3 All proper officer functions not allocated to other officers. Solicitor to the Council.

Page 149 1.4 Authority to affix the Common Seal of the Council.

1.5 To execute any appropriate legal documents and to issue licences and to take all necessary action relating thereto arising out of the exercise of any function or the performance of any powers delegated to the Borough Council.

1.6 To take action for the recovery of compensation for damage to any property belonging to the Council.

1.7 To institute proceedings for any offence (except where specifically delegated to a Committee or other officer) and to authorise officers to appear in proceedings under Section 223 of the Local Government Act 1972.

1.8 To institute, defend, participate or settle any legal proceedings in any case where such action is necessary to give effect to decisions of the Council, or in any case where the Monitoring Officer considers that such action is necessary to protect the Council’s interests.

2. Chief Finance Officer and Finance Manager

2.1 Functions of the Chief Finance Officer:

(a) Ensuring lawfulness and financial prudence of decision making. After consulting with the Head of Paid Service and the Monitoring Officer, the Chief Finance Officer will report to the Council or to the Executive in relation to an Executive function and the Council’s external auditor if he or she considers that any proposal, decision or course of action, will involve incurring unlawful expenditure, or is unlawful and is likely to cause a loss or deficiency or if the Council is about to enter an item of account unlawfully, or the Council has insufficient resources to meet its spending.

(b) Administration of financial affairs. The Chief Finance Officer will have responsibility for the administration of the financial affairs of the Council. Internal audit is delegated under the Accounts and Regulations 1996.

(c) Contributing to corporate management. The Chief Finance Officer will contribute to the corporate management of the Council, in particular through the provision of professional financial advice for the strategic planning and policy making process to ensure efficient and effective use of resources.

Page 150 (d) Providing advice. The Chief Finance Officer will provide advice on the scope of the powers and authority to take decisions, maladministration, financial impropriety, probity and budget and Policy Framework issues to all councillors and will support and advise councillors and officers in their respective roles. Advice will also be provided on treasury and cash flow management, pensions, trust funds, safe custody of assets, including risk management and insurance.

(e) Give financial information. The Chief Finance Officer will provide financial information to the media, members of the public and the community. Also financial management information to officers and councillors.

(f) Accounts. The Chief Finance Officer will prepare statutory and other accounts, associated grant claims and supporting records.

2.2 Delegated powers conferred on the Chief Finance Officer under the Council’s Financial Regulations.

2.3 To be the officer with responsibility for the proper administration of the Council’s financial affairs under Section 151 of the Local Government Act 1972.

2.4 To facilitate and manage the co-ordination of medium term financial planning, annual budget planning, budget monitoring and the preparation of statutory and other accounts, associated grant claims and supporting records.

2.5 To operate all the statutory requirements relating to payroll matters.

2.6 To undertake all treasury management activity in accordance with the annual treasury management policy statement and other management policies as determined by the Council.

2.7 To deal with the Council’s insurances in consultation with the Monitoring Officer in respect of any legal matter arising therefrom and in consultation with the relevant officer in respect of specific claims.

Page 151 C. Joint Arrangements

Arrangements to Promote Wellbeing

The Council or the Executive, in order to promote the economic, social, or environmental wellbeing of its area, may:

(a) enter into arrangements or agreements with any person or body;

(b) co-operate with, or facilitate, or co-ordinate the activities of, any person or body; and

Joint Arrangements

(a) The Council may establish joint arrangements with one or more local authorities and/or their executives to exercise functions which are not executive functions in any of the participating Authorities, or advise the Council. Such arrangements may involve the appointment of a Joint Committee with these other Local Authorities.

(b) The Executive may establish joint arrangements with one or more Local Authorities to exercise functions which are executive functions. Such arrangements may involve the appointment of Joint Committees with these other Local Authorities.

(c) Except as set out below, the Executive may only appoint Executive Members to a Joint Committee, and those Members need not reflect the political composition of the Local Authority as a whole.

(d) The Executive may appoint members to a Joint Committee from outside the Executive in the following circumstances:

• the joint committee has functions for only part of the area of the Authority, and that area is smaller than two-fifths of the Authority by area or population. In such cases, the Executive may appoint to the Joint Committee any Councillor who is a Member for an Electoral Ward which is wholly or partly contained within the area;

• the Joint Committee is between a County Council and a single District Council, and relates to functions of the Executive of the County Council. In such cases, the Executive of the County Council may appoint to the Joint Committee any Councillor who is a Member for an Electoral Division which is wholly or partly contained within the area.

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In both of these cases, the political balance requirements do not apply to such appointments.

(e) Details of any joint arrangements, including any delegations to Joint Committees, will be found in the Council’s scheme of delegation.

Delegation to and from Other Local Authorities

(a) The Council may delegate non-executive functions to another Local Authority or, in certain circumstances, the Executive of another Local Authority.

(b) The Executive may delegate executive functions to another Local Authority or, in certain circumstances, to the Executive of another Local Authority.

(c) The decision whether or not to accept such a delegation from another Local Authority shall be reserved to the Council Meeting.

Page 153 D. Member Role Profiles

No Role Introduction 1 Front Line Councillor 2 Leader of the Council 3 Deputy Leader of the Council 4 Executive Members/Portfolio Holders 5 Overview and Scrutiny Chairmen 6 Chairman of Regulatory Committees 7 Elected Member of Standards Committee 8 Chairman of Employment Matters and Audit Committees 9 Vice Chairman of Committees (Scrutiny, Standards, Regulatory and other) 10 Member of a Committee 11 Mayor 12 Deputy Mayor

Page 154 INTRODUCTION

Welcome to Allerdale Borough Council’s Elected Member Role profiles. These have been designed in order to provide a clear outline of the various roles that members undertake.

The profiles have been developed to help members identify any learning and development needs they have, and to assist the Corporate Governance Manager to ensure the provision of the right training to the right members.

As the role of the elected member is constantly changing, it has been agreed that these role profiles will be reviewed every two years to ensure they are still relevant and that they describe fully the breadth of work being done.

Page 155 Role 1: Front Line Councillor

Key duties in the following areas:

Community liaison

1. To participate constructively and effectively in the good governance of the Council, Allerdale as a whole and your local area.

2. To act in a manner which promotes the best interests of Allerdale, its residents and those who work in Allerdale.

3. To collectively be the council’s policy makers and carry out a number of strategic and corporate leadership functions.

4. To deal effectively with the concerns of local residents on issues pertaining to the Council and its partners.

5. To represent the interests of the ward for which elected and their communities

6. To bring the views of the community into the council’s decision making processes and to be the advocate of their communities.

7. To participate effectively in all relevant consultative processes with the local community and with other organisations.

8. To ensure effective contact with community representatives and other local stakeholders as appropriate and represent their views.

9. To develop and maintain a working knowledge of the organisation’s services and activities and other matters which affect and impact on the local community.

Overview and scrutiny and regulatory roles

1. To be involved in reviewing the Council’s policies, budget, strategies and service delivery through the overview and scrutiny processes when you are not a Member of the Executive, with a view to assessing their effectiveness in meeting the strategic objectives of the authority and the needs of its residents. To carry out this role in relation to scrutinising partners.

2. To participate actively and effectively as a Member on any scrutiny, regulatory or other Committee/Board/Panel, assembly or forum to which the Councillor is appointed.

Page 156 Statutory

1. To fulfill the statutory requirements of an elected Member of a local authority and to participate in those decisions and activities reserved to the Council.

2. To develop and maintain a working knowledge of the authority’s services, management arrangements, powers, duties and constraints.

3. To develop and maintain a working knowledge of the council’s partners and their services

Ways of working

1. To have a good understanding of the Council rules set out in the Constitution, determining how Council meetings are meant to be run.

2. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt.

3. To comply with the Member/Officer protocol as set out in the Constitution.

4. To ensure that the principles of equality and fairness are integral to all actions and policies of the council.

5. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible.

6. To make use of new technology as a means of effective communication.

7. To develop good working relationships with other members and with employees of the authority.

Skills and knowledge required

1. Good communication and interpersonal skills

2. Ability to use ICT to support their role

3. Ability to relate and deal with the public in a professional and timely manner

4. Ability to work effectively with council officers and outside organisations

5. Community Leadership skills including managing ward and case work

Page 157 6. Ability to manage conflicting priorities, stress and time.

7. Understanding and appreciation of diversity and equalities issues

8. Understanding of the legislation relating to duties, obligations and rights of elected members

9. A good understanding of how local, national and European government operates, including the statutory and financial frameworks.

10. Ability to keep abreast of issues affecting local government

Page 158 Role 2: Leader of the Council

Key duties in the following areas:

Leadership

1. To provide effective corporate and strategic leadership and direction for the Council.

2. To lead and chair the Executive and ensure it’s overall effectiveness.

3. To ensure effective arrangements for consultation and community planning and to lead in developing the Council’s partnerships with other organisations.

4. To work with portfolio holders to consider and agree actions to ensure effective delivery of services within their portfolios against the agreed policies of the Council, and to ensure the delivery of the Executive’s responsibilities.

5. To ensure that the recommendations of the Scrutiny Board/Panels are fully considered in the formulation and development of Council policy.

6. To ensure effective communication of all Executive decisions and recommendations to Council and to the public.

7. To ensure that the Executive manages the business of the Council within the financial limits set by the Council.

8. To ensure Members of the Executive abide by the code of conduct and Member/Officer protocol.

Overall responsibility

1. To ensure effective governance arrangements are in place.

2. To ensure that the Executive exercises responsibility for the prudent management of the Council’s affairs including Value for Money and the Council’s budget.

3. To have overall responsibility for the political management of the authority, and the delivery of agreed Council priorities, strategies and policies.

Page 159 4. To ensure the preparation of a forward plan, before the start of each calendar month, which sets out the details of any matters which he/she considers are likely to be the subject of a Key Decision within the next four calendar months.

5. To consider matters of urgency.

Community liaison

1. To be the main Member representative of the Council, with other portfolio holders as appropriate, in dealing with the community, business, voluntary sector and other local and national organisations, other than in respect of ceremonial events.

2. To ensure effective liaison with other political groups within the Council.

Decision making

1. To take collective responsibility and be accountable for decisions and recommendations reached by the Executive.

2. To bring to the Executive all matters that require a collective decision at Member level and ensuring that approved policies and strategies are implemented and delivered effectively.

Ways of working

1. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt.

2. To comply with the Officer/Member protocols as set out in the Constitution.

3. To ensure that the principles of equality and fairness are integral to all actions and policies of the Council.

4. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible.

5. To make use of new technology as a means of effective communication.

Page 160 Skills and knowledge required

1. Good communication and interpersonal skills, including negotiation skills.

2. To have the ability to analyse and grasp complex issues.

3. A good understanding of how local, national and European government operates, including the statutory and financial frameworks.

4. A clear understanding of the operation of the council, including the economic and social situation within Allerdale

5. Business and financial acumen.

6. Effective leadership skills.

7. Ability to chair meetings and facilitate open discussion.

8. The ability to work effectively with council officers, the public, the media, government and regional agencies and partner organisations.

9. Ability to represent the council and its ambitions at government and regional level and in negotiations with strategic partners.

10. Appreciation of risk based decision-making.

Page 161 Role 3: Deputy Leader of the Council

Key duties in the following areas:

Leadership

1. To support and deputise for the Leader of the Council in his/her executive functions.

2. To lead and chair the Executive and ensure its overall effectiveness in the absence of the Leader of the Council.

Community liaison

1. To support and deputise for the Leader of the Council in his/her community liaison responsibilities.

2. To support and deputise for the Leader of the Council in his/her role of ensuring effective liaison with other political groups within the Council.

Decision making

1. To take collective responsibility and be accountable for decisions and recommendations reached by the Executive.

2. To bring to the Executive all matters that require a collective decision at Member level working collaboratively and to ensure that approved policies and strategies are implemented and delivered effectively.

Ways of working

1. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt.

2. To comply with the Member/Officer protocol as set out in the Constitution.

3. To ensure that the principles of equality and fairness are integral to all actions and policies of the Council.

4. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible.

5. To make use of new technology as a means of effective communication.

Page 162 Skills and knowledge required

1. Good communication and interpersonal skills, including negotiation skills.

2. To have the ability to analyse and grasp complex issues.

3. A good understanding of how local, national and European government operates, including the statutory and financial frameworks.

4. A clear understanding of the operation of the council, including the economic and social situation within Allerdale.

5. Business and financial acumen.

6. Effective leadership skills.

7. Ability to chair meetings and facilitate open discussion.

8. The ability to work effectively with council officers, the public, the media, government and regional agencies and partner organisations.

9. Appreciation of risk based decision making

Page 163 Role 4: Executive Member/Portfolio holder

Key duties in the following areas:

Leadership

1. To take the lead role in:

Preparing strategies and plans in consultation with the appropriate Strategic Manager(s) for the service or corporate area within their portfolio; preparing the budget to support the strategies and plans and having oversight that expenditure is contained within the budget limits as set by the Council.

Achieving and reviewing Value for Money in the service or corporate area within their portfolio.

Ensuring appropriate regard is given to the community’s interests and to any equalities and diversity issues

2. Within the community and all appropriate agencies and bodies, to be the principal spokesperson for the service or corporate area within their portfolio.

3. To represent the Council on Allerdale wide, regional and national bodies, or at events or conferences, related to the portfolio.

4. To set appropriate local performance objectives and targets for the service or corporate area within the portfolio and ensuring all Members of the Council are informed of progress.

Policy development

1. To bring forward policy issues for consideration by the Executive effectively and fully contributing to the Executive’s considerations, recommendations and decisions within your portfolio and on cross-cutting issues.

2. To contribute and support partnerships to support and assist in the effective delivery of strategies and plans.

3. To contribute to the community planning process which will inform and structure the strategies and plans.

Page 164 4. To engage in the Council’s overview and scrutiny process and ensuring that their recommendations in relation to your portfolio are fully considered.

Decision making

1. To take collective responsibility and be accountable for decisions and recommendations reached by the Executive.

2. To bring to the Executive all matters that require a collective decision at Member level and ensuring that approved policies and strategies are implemented and delivered effectively.

Ways of working

1. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt.

2. To comply with the Member/Officer protocol as set out in the Constitution.

3. To ensure that the principles of equality and fairness are integral to all actions and policies of the Council.

4. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible.

5. To make use of new technology as a means of effective communication.

Skills and knowledge required

1. Good communication and interpersonal skills

2. To have the ability to analyse and grasp complex issues including interpreting performance information.

3. A good understanding of how national and local government operates, including the statutory and financial frameworks.

4. A clear understanding of the operation of the council, including the economic and social situation within Allerdale

5. Ability to understand the council’s budget especially in respect of the relevant portfolio

6. Leadership skills.

Page 165 7. The ability to work effectively with council officers, the public, the media and partner organisations.

8. Ability to work as part of a team

9. Appreciation of risk based decision making

Page 166 Role 5: Chairman of Scrutiny Board and Panels

Key duties in the following areas:

Leadership

1. To lead the overview and scrutiny function of the Council in the areas of responsibility determined by the Council, by engaging all members of the Board and Panels with officer support.

2. To lead on the scrutiny of budget plans, policies and strategies proposed by the Executive to ensure that the Council’s Executive is effectively held to account for its decisions and performance.

3. To lead on the responses or recommendations and advice from Scrutiny to the Executive and Council.

4. To lead on the monitoring and review of policies, strategies and budget decisions and implementation of proposals for change to policies or practices in pursuit of the achievement of Value for Money.

5. To lead on the scrutiny of external reports on performance and any consequent proposals or recommendations to the Executive or the Council.

6. To lead in conjunction with the Chair(s) of the Panels on identifying cross cutting strategy issues and ensuring a corporate approach to overview and scrutiny.

7. To lead the overview and scrutiny of cross cutting issues and to encourage partners to account for their actions and decisions.

8. To initiate and develop constructive relationships with Members of the Executive, senior officers and partners.

9. To chair meetings ensuring open and frank discussion and ensuring members of their Committee abide by the code of conduct and Member/Officer protocol during the meetings.

Co-ordination

1. To establish, annually, a manageable programme of work for the Committee.

Page 167 2. To liaise and communicate on a regular basis with relevant officers and specialists to ensure the receipt of appropriate advice to inform effective overview and scrutiny.

3. To set up mechanisms to ensure regular contact with non Executive Councillors, community representatives and local stakeholders to inform effective overview and scrutiny.

4. To co-ordinate with other Overview and Scrutiny Board and Panels to share good practice, promote the work and independence of the process and further develop the overview and scrutiny role.

Policy

1. To develop policy or practice in specific areas and scrutinise the implementation of policies and strategies by the Executive and non Scrutiny Committees of the Council.

2. To contribute effectively to the Council’s scrutiny process by ensuring the questioning of the relevant portfolio holder on the development of policy and strategies.

Ways of working

1. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt.

2. To comply with the Member/Officer protocol as set out in the Constitution.

3. To ensure that the principles of equality and fairness are integral to all actions and policies of the Council.

4. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible.

5. To make use of new technology as a means of effective communication.

Skills and Knowledge required

1. Good communication and interpersonal skills

2. To have the ability to analyse and grasp complex issues including interpreting performance information.

3. Leadership and chairmanship skills

Page 168

4. Project and time management skills

5. A good understanding of how national and local government operates including the statutory and financial frameworks throughout each one.

6. A clear understanding of the operation of the council, also its contact/working with adjoining local authorities on joint staffing departments

7. A clear understanding of the social and economic situation within Allerdale

8. Ability to influence and work constructively with members, officers, the partner organisations.

9. Ability to work as part of a team.

10. Keep abreast of legislation and policy in the area within the remit of the overview and scrutiny committee.

Page 169 Role 6: Chairman of Regulatory Committees

Key duties in the following areas:

1. To ensuring the overall coordination and management of the Committee’s functions relating to Licensing and Development Control.

2. To chair and manage Committee meetings and ensure the Committee achieves its terms of reference.

3. To ensure the efficient carrying out of the processes for which the Committee has responsibility.

4. To demonstrate fair and open decision making by or on behalf of the Committee.

5. To ensure members’ information needs are met so they can contribute fully to the decision-making within the committee process.

6. To ensure Committee members obtain the necessary skills to contribute to the work of the committee and to work with officers to provide training if necessary.

7. To be willing to learn about the professional disciplines and services relevant to the work of the Committee.

Ways of working

1. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt.

2. To comply with the Member/Officer protocol as set out in the Constitution, and any other relevant protocols related to the regulatory committee.

3. To ensure members of their Committee abide by the Member/Officer protocol.

4. To ensure that the principles of equality and fairness are integral to all actions and policies of the council.

5. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible. Training related to licensing and development control is compulsory. Members can not sit on these committees without this training.

6. To make use of new technology as a means of effective communication.

Page 170

Skills and Knowledge required

1. Knowledge of the legislation regulating the work of the Committee

2. Ability to apply best practice in making decisions related to the work of the Committee

3. Good communication and interpersonal skills

4. Leadership and chairmanship skills

5. Project and time management skills

6. Ability to influence and work constructively with members, officers, the public and outside organisations.

7. Ability to work as part of a team.

Page 171 ROLE: 7 Elected Members of Standards Committee

Key duties in the following areas:

1. To lead the relevant standards function of the Council, ensuring the overall coordination and management of the process.

2. To chair and manage meetings of the Standards Committee and ensure the Committee achieves its terms of reference.

3. To ensure the efficient carrying out of the standards process and keep under review the standards process and codes within the framework provided by the Standards Board for England.

4. To monitor the preparation and presentation of appropriate reviews to ensure that the outcomes are fully taken into account in the formulation of policy by the Council.

5. To promote high standards of conduct by all elected members.

6. To assist elected members observe the Council’s Code of Conduct.

7. To monitor and review the Code of Conduct and arrangement of appropriate training for all elected members to ensure its proper application.

8. To keep yourself and the Committee fully up to date with all relevant legislation and good practice relating to the Standards Committee.

9. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt.

10. To comply with the Member/Officer protocol as set out in the Constitution.

11. To ensure members of their committee abide by the code of conduct and Member/Officer protocol.

12. To ensure that the principles of equality and fairness are integral to all actions and policies of the council.

13. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible.

14. To make use of new technology as a means of effective communication.

Page 172 Skills and Knowledge required

1. Good communication and interpersonal skills

2. Leadership and chairmanship skills

3. Project and time management skills

4. Ability to influence and work constructively with members, officers, the public and outside organisations.

5. Ability to work as part of a team.

Page 173 ROLE: 8 Chairman of Employment Matters and Audit Committee

Key duties in the following areas:

1. To ensure the overall coordination and management of the Committee functions relating to Employment Matters, Appointments, Dismissals Appeals and Audit.

2. To chair and manage Committee meetings and ensure the Committee achieves its terms of reference.

3. To ensure the efficient carrying out of the processes for which the Committee has responsibility.

4. To demonstrate fair and open decision making by or on behalf of the Committee.

5. To ensure members’ information needs are met so they can contribute fully to the decision-making within the committee process.

6. To ensure Committee members obtain the necessary skills to contribute to the work of the committee and to work with officers to provide training if necessary.

7. To be willing to learn about the professional disciplines and services relevant to the work of the Committee.

Ways of working

1. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt.

2. To comply with the Member/Officer protocol as set out in the Constitution.

3. To ensure members of their Committee abide by the Member/Officer protocol.

4. To ensure that the principles of equality and fairness are integral to all actions and policies of the council.

5. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible.

6. To make use of new technology as a means of effective communication.

Page 174 Skills and Knowledge required

1. Knowledge of the legislation regulating the work of the Committee

2. Ability to apply best practice in making decisions related to the work of the Committee

3. Good communication and interpersonal skills

4. Leadership and chairmanship skills

5. Project and time management skills

6. Ability to influence and work constructively with members, officers, the public and outside organisations.

7. Ability to work as part of a team.

Page 175 ROLE: 9 Vice/Deputy Chairman of Committees (Overview and Scrutiny, Standards and Regulatory and other)

Key duties in the following areas:

Leadership

1. To support and deputise for the Chairman in his/her role and responsibilities.

2. To lead and chair the Committee and ensure its overall effectiveness in the absence of the Chairman.

3. To sum up the debate and propose recommendations to the Chairman.

4. To lead on task groups as requested.

Ways of working

1. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt.

2. To comply with the Member/Officer protocol as set out in the Constitution.

3. To ensure that the principles of equality and fairness are integral to all actions and policies of the council.

4. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible.

5. To make use of new technology as a means of effective communication.

Skills and Knowledge required

1. Good communication and interpersonal skills.

2. Ability to understand complex issues and summarise into clear ways forward.

3. Leadership and chairmanship skills.

4. Project and time management skills.

5. Ability to influence and work constructively with members, officers, the public and outside organisations.

6. Ability to work as part of a team.

Page 176 ROLE: 10 Member of a Committee (including co-opted members)

Key duties in the following areas:

1. To participate actively and effectively as a member on any scrutiny, regulatory or other committee/panel, assembly or forum to which you are appointed.

2. To contribute actively in the overview and scrutiny of the Council’s policies, budget, strategies and service delivery as a member of the committee.

3. To develop and maintain a working knowledge of the organisation, services and activities and other matters which affect and impact on the role of the committee.

4. To obtain the necessary skills to contribute to the work of the committee and attend training if necessary.

5. To be willing to learn about the professional disciplines and services relevant to the work of the Committee.

Ways of working

1. To comply with the Council’s Code of Conduct or such other code of conduct as the Council may from time to time adopt. (This applies to co- opted members who vote and does not apply to non-voting co-optees).

2. To comply with the Member/Officer protocol as set out in the Constitution.

3. To ensure that the principles of equality and fairness are integral to all actions and policies of the Council.

4. To take part in training and development programmes to ensure that this role is undertaken as effectively as possible.

5. To make use of new technology as a means of effective communication.

6. To prepare adequately to ensure participation.

Skills and Knowledge required

1. Good communication and interpersonal skills

2. Ability to work constructively with other members, officers, the public and outside organisations.

3. Ability to work as part of a team.

Page 177 ROLE: 11 Mayor

Key duties in the following areas:

Ways of working

1. To carry out the roles and functions of the Mayor of Allerdale, representing the Council at civic and ceremonial events with the full dignity commensurate with the position and the tradition of the office of the Mayor.

2. 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 interest of the community.

3. To remain politically neutral whilst acting as an ambassador for the Council and its community and local democracy: promoting the Council’s corporate policies, promoting Allerdale to the business community and visitors, raising awareness of citizenship issues.

Skills and knowledge required

1. Good communication and interpersonal skills

2. To have the ability to analyse and grasp complex issues.

3. A good understanding of how local, national and European government operates, including the statutory and financial frameworks.

4. A clear understanding of the operation of the council, including the economic and social situation within Allerdale.

Page 178

Role: 12 Deputy Mayor

Key duties in the following areas:

Ways of Working

1. To support the Mayor in his/her role and deputises for him/her in his/her absence.

2. 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 interest of the community.

Skills and knowledge required

1. Good communication and interpersonal skills

2. To have the ability to analyse and grasp complex issues.

3. A good understanding of how local, national and European government operates, including the statutory and financial frameworks.

4. A clear understanding of the operation of the council, including the economic and social situation within Allerdale

Page 179 86 Part 6: Procedures and Protocols

A Public Access Rules

1. Scope

These rules apply to all meetings of the Council, Committees established by the Council, Overview and Scrutiny Committees (which includes the Scrutiny Board and Scrutiny Panels), the Standards Committee and regulatory committees and public meetings of the Executive.

2. Additional Rights to Information

These rules do not affect any more specific rights to information contained elsewhere in the Constitution or the law.

3. Rights to Attend Meetings

Members of the public may attend all meetings subject only to specific exceptions in these rules. Where the Executive meets to consider a key decision, the meeting must be held in public, unless exempt or confidential information is to be discussed.

4. Notices of Meeting

The Council will give at least 5 clear days notice of any meeting by posting details of the meeting at Allerdale House, Workington, Cumbria.

5. Access to Agenda and Reports before the Meeting

The Council will make copies of the agenda and reports open to the public available for inspection at Allerdale House, Workington, Cumbria and on the Council’s web site at least 5 clear days before the meeting. If an item has been added to the agenda later, the revised agenda (where reports are prepared after the summons has been sent out, the designated officer shall make each such report available to the public as soon as the report is completed and sent to Councillors) will be open to inspection for the time the item was added to the agenda.

6. Supply of Copies

The Council will supply copies of:

(a) any agenda and reports which are open to public inspection; (b) any further statements or particulars necessary to indicate the nature of the item’s in the agenda; and (c) if the Monitoring Officer 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.

Page 180 87 7. Access to Minutes etc. after the Meeting

The Council will make available copies of the following for six years after a meeting:

(a) the minutes on the meetings, or records of the decisions taken, together with reasons, for all meetings of the Executive, excluding any part of the minutes of proceedings when the meeting was not open to the public or which disclose exempt or confidential information;

(b) a summary of any proceedings not open to the public where the minutes open to inspection would not provide a reasonably fair and coherent record;

(d) reports relating to items when the meeting was open to the public.

8. Background Papers

The relevant Strategic Manager will set out in every report 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. but does not have to include published works or those which disclose exempt or confidential information.

The Council will make available for public inspection for four years after the date of the meeting one copy of each of the documents on the list of background papers.

9. Summary of Public Rights

A written summary of the public’s rights to attend meetings and inspect and copy documents will be kept at Allerdale House, Workington and will be made available to the public on the Council’s web site.

10. Exclusion of Access by the Public to Meetings

10.1 Confidential Information - Requirement to exclude public

The public must be excluded from meetings whenever it is likely, in view of the nature of the business to be transacted or the nature of the proceedings, that confidential information would be disclosed.

10.2 Exempt Information - Discretion to exclude public

The public may be excluded from meetings whenever it is likely, in view of the nature of the business to be transacted or the nature of the proceedings, that exempt information would be disclosed.

Where the meeting will determine any person’s civil rights or obligations, or adversely affect their possessions, Article 6 of the Human Rights Act 1998 establishes a presumption that the Meeting will be held in public unless a private hearing is necessary for one of the reasons specified in Article 6. Page 181 88

10.3 Meaning of Confidential Information

Confidential information means information given to the Council by a Government Department on terms which forbid its public disclosure, or information which cannot be publicly disclosed by Court Order.

10.4 Meaning of Exempt Information

Exempt information means information falling within the following seven categories (subject to any qualification):

Category Condition General Note In all categories information is not exempt if it relates to development for which the local planning authority may grant itself planning permission pursuant to reg 3 Town and Country Planning General Regs 1992. Subject to this, and the qualification in Category 3, Information in Categories 1 to 7 is exempt if and so long as, in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing it. 1. Information relating to any See General Note above. individual. 2. Information which is likely to See General Note above. reveal identity of an individual 3. Information relating to the Information in Category 3 is not financial or business affairs of exempt if it is required to be any particular person (including registered under the Companies the authority holding that Act 1985, the Friendly Societies information) Acts 1974 and 1992, the Industrial N.B. “Financial or business affairs” and Provident Societies Acts 1965 includes contemplated, as well as to 1978, the building Societies Act past or current, activities. 1986, or the Charities Act 1993. Also see General Note above. 4. Information relating to any “Labour relations matters” are as consultations or negotiations, or specified in paragraphs (a) to (g) of contemplated consultations or section 218(1) of the Trade Union negotiations, in connection with and Labour Relations any labour relations matter (Consolidation) Act 1992, i.e. arising between the authority or matters which may be the subject of a Minister of the Crown and a trade dispute. Also see General employees of, or office holders Note above. under, the authority.

Page 182 89 Category Condition 5. Information in respect of which a See General Note above. claim to legal professional privilege could be maintained in legal proceedings. 6. Information which reveals that See General Note above. the authority proposes – (a) to give under any enactment a notice under or by virtue of which requirements are imposed on a person; or (b) to make an order or direction under any enactment. 7. Information relating to any action See General Note above. taken or to be taken in connection with the prevention, investigation or prosecution of crime. The following categories of Exempt Information apply to the Standards Committee or a Sub-Committee of the Standards Committee when it is convened to consider a matter referred to under Part 3 of the Local Government Act 2000. 7A. Information which is subject to any obligation of confidentiality. 7B. Information which relates in any way to matters concerning national security. 7C. The deliberations of a Standards Committee or Sub-Committee in reaching any Finding on a matter referred to it under sections 60(2) or (3), 64(2), 70(4) or (5), or 71(2) of the Local Government Act 2000.

11. Exclusion of Access by the Public to Reports

If the Strategic Manager (Resources) thinks fit, the Council may exclude access by the public to reports which, in his or her opinion, relate to items during which, in accordance with Rule 10, the Meeting is likely not to be open to the public. Such reports will be marked “Not for publication”, together with the category of information likely to be disclosed.

12. Application of Rules to the Executive

Rules 13 – 23 apply to the Executive and its Committees, when they make Executive decisions. If the Executive or its Committees, meet to take a key decision, then they must also comply with Rules 1 – 11, unless Rule 15 (General Exception) or Rule 16 (Special Urgency) apply. A key decision is an Executive decision which is:

Page 183 90 (i) Any decision in relation to an Executive function which results in the authority incurring expenditure, or the making of savings which are in excess of £50,000 or significant (e.g. 60% larger than budget heading) having regard to the local authority’s budget for the service or function to which this decision relates.

(ii) The second test for a key decision focuses on those decisions which are not likely to involve significant expenditure or savings but which nevertheless are likely to be significant in terms of their effects on one or more communities. Where a decision is likely to have a significant impact on a community, the decision maker must ensure that those affected, the Executive member and the local ward councillor are informed of the forthcoming decision in sufficient time for them to exercise their rights to see the relevant papers and make an input into the decision making process.

If the Executive or its Committees, meet to discuss a key decision to be taken collectively, with an Officer present within 28 days of the date according to the Forward Plan by which it is to be decided, then it must also comply with Rules 1 – 11, unless Rule 15 (General Exception) or Rule 16 (Special Urgency) apply. This requirement does not include meetings whose sole purpose is for officers to brief Members.

13. Procedure Before Taking Key Decisions

Subject to Rule 15 (General Exception) and Rule 16 (Special Urgency), a key decision may not be taken unless: (a) a notice (called here a Forward Plan) has been published in connection with the matter in question;

(b) at least 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 Executive or its Committees, notice of the meeting has been given in accordance with Rule 4 (Notice of meetings).

14. Forward Plan

14.1 Period of Forward Plan

Forward Plans will be prepared by the Leader to cover a period of 4 months, beginning with the first day of any month. They will be prepared on a monthly basis, and subsequent plans will cover a period beginning with the first day of the second month covered in the preceding Plan.

14.2 Contents of Forward Plan

The Forward Plan will contain matters which the Leader has reason to believe will be subject of a key decision to be taken by the Executive, a Committee of the Executive, individual Members of the Executive, Officers, or under joint arrangements in the course of the discharge of an Executive function during the period covered by the Plan. It will describe the following particulars insofar as the information is available or might reasonably be obtained:

(a) the matter in respect of which a decision is to be made;

Page 184 91 (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;

(d) the identity of the principal groups whom the decision taker proposes to consult before taking the decision;

(e) the means by which any such consultation is proposed to be undertaken;

(f) the steps any person might take who wishes to make representations to the Executive or decision taker about the matter in respect of which the decision is to be made, and the date by which those steps must be taken; and

(g) a list of the documents submitted to the decision taker for consideration in relation to the matter.

The Forward Plan must be published at least 14 days before the start of the period covered. The Strategic Manager (Resources) will publish, once a year, a notice in at least one newspaper circulating in the area, stating:

(i) that key decisions are to be taken on behalf of the Council;

(ii) that a Forward Plan containing particulars of the matters on which decisions are to be taken will be prepared on a monthly basis;

(iii) that the Plan will contain details of the key decisions to be made for the 4 month period following its publication;

(iv) that each Plan will be available for inspection, at reasonable hours, free of charge, at the Council’s Offices;

(v) that each Plan will contain a list of the documents submitted to the decision takers for consideration in relation to the key decisions on the Plan;

(vi) 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;

(vii) that other documents may be submitted to decision takers;

(viii) the procedure for requesting details of documents (if any) as they become available; and

(ix) the dates on each month in the following year on which each Forward Plan will be published and available to the public at the Council’s offices.

Exempt information need not be included in a Forward Plan, and confidential information cannot be included.

15 General Exception

If a matter which is likely to be a key decision has not been included in the forward plan, then subject to rule 16 (special urgency), the decision may still be taken if:

(a) the decision must be taken by such a date that it is impracticable to defer the decision until it has been included in the next forward plan and until the start of the first month to which the next forward plan relates; Page 185 92

(b) the Strategic Manager (Resources) has informed the Chairs of the Scrutiny Board, or if there is no such person, each member of that committee in writing, by notice, of the matter to which the decision which is to be made relates;

(c) the Strategic Manager (Resources) has made copies of that notice available to the public at the offices of the Council; and

(d) at least five clear days have elapsed since the Strategic Manager (Resources) complied with (a) and (b).

Where such a decision is taken collectively, it must be taken in public, unless the provisions relating to exempt or confidential information apply.

16 Special Urgency

If, by virtue of the date by which a decision must be taken, Rule 15 (General Exception) cannot be followed, then the decision can only be taken if the decision taker (if an individual), or the Chair of the body making the decision, obtains the agreement of the Chairs of the Scrutiny Board that the taking of the decision cannot be reasonably deferred. If there is no Chair of the Scrutiny Board, or if the Chair(s) of the Scrutiny Board is unable to act, then the agreement of the Mayor of the Council, or, in his/her absence, the Deputy Mayor, will suffice.

17 Report to Council

17.1 When Scrutiny can require a report

If a Scrutiny Committee thinks that a key decision has been taken which was not:

(a) Included in the Forward Plan (b) The subject of the general exception procedure; or (c) The subject of an agreement with the Scrutiny Board chair(s), or Mayor/Deputy Mayor of the Council under rule 16

The Committee may require the Executive to submit a report to the Council within such reasonable time as the committee specifics. The power to require a report rests with the committee, but is also delegated to the proper officer, who shall require such a report on behalf of the committee when so requested by resolution passed at a meeting of the Scrutiny Committee.

17.2 Executive’s report to Council

The Executive will prepare a report for submission to the next available meeting of the Council. However, if the next meeting of the Council is within 7 days of receipt of the written notice, or the resolution of the Committee, then the report may be submitted to the meeting after that. The report to Council will set out particulars of the decision, the individual or body making the decision and if the leader is of the opinion that it was not a key decision the reasons for that opinion.

Page 186 93 17.3 Regular reports on special urgency decisions

In the event the leader will submit quarterly reports to the Council on the Executive decisions taken in the circumstances set out in rule 16 (Special Urgency) in the preceding two months. The report will include the number of decisions so taken and a summary of the matters in respect of which those decisions were taken.

18. Record of Decisions

After any meeting of the Executive or any of its Committees, whether held in public or private, the Strategic Manager (Resources) or, where no officer was present, the person presiding at the meeting will produce a record of every decision taken at that meeting as soon as practicable. The record will include a statement of the reasons for each decision and any alternative options considered and rejected at that meeting.

19. Executive meetings relating to matters which are not Key Decisions

The Executive will decide whether meetings relating to matters which are not key decisions will be held in public or private.

20. Notice of private meetings of the Executive

Members of the Executive or its Committees will be entitled to receive five clear working days’ notice of a Meeting to which they are summoned, unless the Meeting is convened at shorter notice as a matter of urgency.

21. Attendance at Private Meetings of the Executive

21.1 All Members of the Executive will be served notice of all private Meetings of Committees of the Executive, whether or not they are Members of that Committee.

21.2 All Members of the Executive are entitled to attend a private Meeting of any Committee of the Executive.

21.3 Members other than Executive Members will not be entitled to attend private Meetings of the Executive and its Committees.

21.4 The Head of Paid Service, the Chief Finance Officer, and the Monitoring Officer and their nominees, are entitled to attend any meeting of the Executive and its Committees. The Executive may not meet unless the Strategic Manager (Resources) has been given reasonable notice that a meeting is to take place.

21.5 A private Executive meeting may only take place in the presence of the Strategic Manager (Resources) or his/her nominee with responsibility for recording and publicising the decisions.

22. Overview and Scrutiny Committees’ Access to Documents

22.1 Rights

Subject to Rule 22.2 below, an Overview and Scrutiny Committee will be entitled to copies of any document which is in the possession or control of the Executive or its Committees and which contains material relating to: (a) any business transacted at a public or private Meeting of the Executive or its Committees; or

Page 187 94 22.2 Limit on Rights

An Overview and Scrutiny Committee will not be entitled to: (a) any document that is in draft form; or

(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.

23. Additional Rights of Access for Members

23.1 Material relating to Previous Business

All Members will be entitled to inspect any document which is in the possession or under the control of the Executive or its Committees, and contains material relating to any business previously transacted at a private meeting, unless (a) below applies:

(a) it contains exempt information falling within paragraphs 1, 2, 3 to the extent that the information relates to any terms proposed or to be proposed by or to the authority in the course of negotiations for a contract, 4, 5 and 7 of the categories of exempt information.

23.2 Material relating to Key Decisions

All Members of the Council will be entitled to inspect any document (except those available only in draft form) in the possession or under the control of the Executive or its Committees which relates to any key decision, unless paragraph (a) above applies.

23.3 Questions to the Executive

A member may submit a written question to the Executive at any time, and the Executive shall reply to the member within ten working days. Copies of the question and answer shall be deposited with the Governance Manager.

23.4 Nature of Rights

These rights of a Member are additional to any other right he/she may have.

24. Questions by the Public

24.1 General

Members of the public may ask questions of the leader and the specific executive member [one per council meeting]

24.2 Order of Questions

Questions will be asked in the order notice of them was received, except that the chairman may group together similar questions.

24.3 Notice of Questions

(a) Any elector of the borough may ask a question on any matter on which the council has powers

Page 188 95 (b) A question may only be asked if notice has been given by delivering it in writing or by electronic mail to the Chief Executive no later than two working days before the day of the meeting.

(d) The Chief Executive will circulate not less than two days prior to the meeting of the council all questions which have been submitted and will be available to all members of the public present at the meeting.

24.4 Number of Questions

At any one meeting no person or organisation may submit a question on more than one issue.

24.5 Scope of questions

The Chief Executive may reject a question if it: (a) is not about a matter for which the local authority has a responsibility or which affects the borough;

(b) is defamatory, frivolous or offensive;

(d) requires the disclosure of confidential or exempt information

24.6 Record of questions

(a) The Chief Executive will enter each question in a book open to public inspection and immediately send a copy of the question to the councillor to whom it is to be put.

(b) Rejected questions will include reasons for rejection.

24.7 Asking the question at the meeting

(a) The Mayor will invite the questioner to put the question to the councillor named in the notice. If a questioner who has submitted a written question is unable to be present, they may ask the Mayor to put the question on their behalf. The Mayor may ask the question on the questioner’s behalf, indicate that a written reply will be given or decide, in the absence of the questioner, that the question will not be dealt with.

(b) All questions will be put and may be debated.

Page 189 96 (d) Public question time will be limited so that no further questions may be put after thirty minutes from the start of the first question.

24.8 Written answers Any question which cannot be dealt with during public question time, either because of lack of time or because of the non-attendance of the councillor to whom it was to be put or because it requires a technical answer will be dealt with by a written answer.

24.9 Reference of question to the executive or a committee

Unless the Mayor decides otherwise, no discussion will take place on any question, but any councillor may move that a matter raised by a question be referred to [the executive or] the appropriate committee. Once seconded, such a motion will be voted on without discussion.

25. Councillor Calls for Action

25.1 Members have the right to call for debate and discussion at the Scrutiny Board on a topic of neighbourhood concern. This power is known as the Councillor Call for Action (CCfA) and is limited to issues affecting single council divisions.

25.2 Members have a right to refer a local government matter not just to the scrutiny committee of their authority, but in the case of a two-tier area like Cumbria, to the committees of the relevant district/borough or County scrutiny committee, irrespective of whether they are a member of that authority.

25.3 CCfA is designed to sit alongside existing member channels for resolving local issues. However, before an issue of concern can be submitted to a scrutiny board certain criteria have to be met which ensures that existing channels for resolution have been fully tested. These criteria are set out in a Joint County/District Protocol for Cumbria.

26. Complaints 26.1 Members of the public can use the following methods. (a) Internet: http://www.allerdale.gov.uk/council-and-democracy/complaints-and- suggestions.aspx (b) Email Address: [email protected] (c) Telephone: 01900 702702

27. Presentation of Petitions and Hearing of Deputations

(a) Any councillor or any elector of the borough may present a petition to a meeting of the council if it relates to something which affects the functions, inhabitants, or area, of the authority and is signed by people who are not councillors.

(b) A councillor or any elector of the borough must notify the Chief Executive of his intention to present a petition at least two working days before the meeting at which it will be presented. Page 190 97

(c) Each petitioner or deputation will be allowed to speak for up to five minutes. The presentation will be limited to reading out, or summarising the purpose of the petition, stating the number and description of the signatories, and making any relevant supporting remarks as the person presenting it thinks fit.

(d) Petitions will be presented in the order in which they are received by the Chief Executive.

28. Allerdale Borough Council Petition Scheme

The petitions process allows members of the public to have direct influence on the political process and to raise concerns that are important to them.

Members of the public can submit petitions on the following

• Issues relating to the Council's responsibilities • Issues which affect the county or communities in Cumbria, as long as the Council is a position to exercise some degree of influence. • Anything relating to an improvement in the economic, social or environmental well-being of the area to which any of the Council's partners could contribute

The Council will respond to all the petitions it receives. We will be as flexible as we can when handling your petition so that it is considered quickly and in the most appropriate way.

Essentially there are three types of petitions:

•”Ordinary” petitions

These must be signed by at least 10 people but the Council will use its discretion where there are fewer than 10 signatories in cases where there I is clear local support for action (e.g. where all 8 residents of an isolated community have petitioned for traffic calming measures)

• Petitions requiring debate

Petitions which contain 1000 signatures or more will be debated by the full council.

• Petitions to hold council employees to account

Petitions which call for evidence from a senior council employee and have at least 500 signatures will trigger that response.

How do I Submit a Petition?

Petitions can be either paper or electronic. All petitions sent or presented to the council will receive an acknowledgement from the council within 14 days of receipt. This acknowledgement will set out what we plan to do with the petition.

A petition is defined as a communication in writing or using an electronic facility which is signed by the appropriate number of qualifying persons.

Page 191 98

Paper petitions can be sent to:

Democratic Services Manager Allerdale Borough Council Allerdale House Workington Cumbria CA14 3YJ

Or you can submit an e-petition on-line by following this link.

Petitions submitted to the council must include a clear and concise statement covering the subject of the petition. It should state

• What action the petitioners wish the council to take • The name and address and signature of any person supporting the petition (the address can be an address where a signatory lives, works or studies)

Petitions should be accompanied by contact details, including an address, for the petition organiser. This is the person we will contact to explain how we will respond to the petition. The contact details of the petition organiser will not be placed on the website. If the petition does not identify a petition organiser, we will contact signatories to the petition to agree who should act as the petition organiser.

Paper petitions must include a signature and the signatory’s name and address. This can be an address where the signatory lives, works or studies.

If the petition is in electronic form it must be made using the Council’s e-petitions facility.

Before submitting a petition you should first check with your local councillor or with the Council so see if the Council is already acting on your concerns and that the Council is the most appropriate body to receive your petition as sometimes your petition may be more appropriate for another public body such as the county council.

Who can submit a petition? Anyone who lives, works or studies in Allerdale, including under 18s, can sign or organise a petition. However, the minimum age of a person who can sign the petition is 10.

What will the council do when it receives my petition?

We will acknowledge the petition within 14 days of receiving it and let the petition organiser know what we plan to do with the petition and when they can expect to hear from us again. It will also be published on our website.

If the petition needs more investigation, we will tell you the steps we plan to take.

In the vast majority of cases your petition will be submitted to one of the Council’s formal member meetings where elected councillors will decide how to respond to the petition. These meetings will be held in public and petitioners are welcome to attend to meeting to observe the proceedings. The petition organiser will be entitled to briefly address the meeting.

Page 192 99 Depending on the subject matter your petition will be submitted to either the Council, the Executive or one of the Council’s Overview and Scrutiny Committees. There are two exceptions to this

• If your petition contains more than 1000 signatures then it must be debated by the Council. • If your petition is asking for a senior council employee to give evidence at a public meeting then it will be considered by one of the Council’s Overview and Scrutiny Committees provided it contains at least 500 signatures.

Full council debates

If a petition contains more than 1,000 signatures it will be debated by the full council unless it is a petition asking for a senior council employee to give evidence at a public meeting. This means that the issue raised in the petition will be discussed at a meeting which all councillors can attend. The petition organiser will be given five minutes to present the petition at the meeting and the petition will then be discussed by councillors for a maximum of 15 minutes. The council will decide how to respond to the petition at this meeting. They may decide to take the action the petition requests, not to take the action requested for reasons put forward in the debate, refer the issue to the Executive or to commission further investigation into the matter, for example by a relevant committee. The petition organiser will receive written confirmation of this decision which will also be published on our website

Evidence from senior council employees

Your petition may ask for a senior council employee to give evidence at a public meeting about something for which they are responsible as part of their job. For example, your petition may ask a senior council employee to explain progress on an issue, or to explain the advice given to elected members to enable them to make a particular decision. The petition must relate to the employee's job, it cannot relate to their personal circumstances or character. If your petition contains at least 500 signatures, the relevant employee will give evidence at a public meeting of one of the council’s overview and scrutiny committee. This will happen within 30 days of the petition being accepted.

Only the following senior employees of the Council can be called to give evidence

• Chief Executive • Deputy Chief Executive • Strategic Manager Business • Strategic Manager Places • Strategic Manager People • Strategic Manager Resources

The Overview and Scrutiny Committee may decide that it would be more appropriate for another member of staff to give evidence instead of any person named in the petition – for instance if the person has changed jobs. Committee members will ask the questions at this meeting, but you will be able to suggest questions to the chair of the committee by contacting the Democratic Services Manager up to three working days before the meeting.

After the meeting the Committee will submit a report to the Executive this report will be considered at the next meeting of the Executive. The petition organiser will Page 193 100 receive a copy of this report.

Are there any petitions which the Council cannot accept?

We believe that the vast majority of petitions we receive will be accepted but in certain circumstances petitions may not be accepted, including:-

• If the petition applies to a planning application, is a statutory petition (for example requesting a referendum on having an elected mayor), or on a matter where there is already an existing right of appeal or a separate complaints process • Any petition which we consider to be vexatious, abusive or otherwise inappropriate. We will explain the reasons for this in our acknowledgement of the petition. • Where a person or organisation (or someone on their behalf) has submitted a petition which is the same or substantially the same as one submitted within the previous 12 months

If we decide that a petition is not acceptable then we will let the petition organiser know our reasons.

If a petition relates to the responsibilities of one of our partners then the petition will be forwarded to that authority for them to deal with within seven working days of its receipt, unless the petition relates to an improvement in the economic, social or environmental well-being of the county. In those cases the petitions will be considered under the Council’s scheme.

How will the council respond to petitions?

Our response to a petition will depend on what a petition asks for and how many people have signed it, but may include one or more of the following:

• taking the action requested in the petition • considering the petition at a council meeting • holding an inquiry into the matter • undertaking research into the matter • holding a public meeting • carrying out consultation • holding a meeting with the petitioners • referring the petition for consideration by the council’s overview and scrutiny committee* • writing to the petition organiser setting out our views about the request in the petition

*Overview and scrutiny committees are committees of councillors who are responsible for scrutinising the work of the council – in other words, the overview and scrutiny committee has the power to hold the council’s decision makers to account.

To ensure that people know what we are doing in response to the petitions we receive the details of all the petitions submitted to us will be published on our website. Whenever possible we will also publish all correspondence relating to the petition (all personal details will be removed). In addition to these steps, the council will consider all the specific actions it can potentially take on the issues highlighted in a petition. Page 194 101

E-petitions [to be introduced as soon as possible] The council welcomes e-petitions which are created and submitted through our website [link]. E-petitions must follow the same guidelines as paper petitions. The petition organiser will need to provide us with their name, postal address and email address. You will also need to decide how long you would like your petition to be open for signatures. Most petitions run for six months, but you can choose a shorter or longer time frame, up to a maximum of 12 months. When you create an e-petition, it may take five working days before it is published on-line. This is because we have to check that the content of your petition is suitable before it is made available for signature. If we feel we cannot publish your petition for some reason, we will contact you within this time to explain. You will be able to change and resubmit your petition if you wish. If you do not do this within 14 days, a summary of the petition and the reason why it has not been accepted will be published under the ‘rejected petitions’ section of the website.

When an e-petition has closed for signature you will receive an acknowledgement within seven days. Your petition will then be dealt with by the Council in the same way as paper petitions. A petition acknowledgement and response will be emailed to everyone who has signed the e-petition and elected to receive this information. The acknowledgement and response will also be published on this website.

How do I ‘sign’ an e-petition? When you sign an e-petition you will be asked to provide your name, your postcode and a valid email address. When you have submitted this information you will be sent an email to the email address you have provided. This email will include a link which you must click on in order to confirm the email address is valid. Once this step is complete your ‘signature’ will be added to the petition. People visiting the epetition will be able to see your name in the list of those who have signed it but your contact details will not be visible.

What can I do if I feel my petition has not been dealt with properly? If you feel that we have not dealt with your petition properly, the petition organiser has the right to request that the Scrutiny Board (one of the council’s overview and scrutiny committees) review the steps that the council has taken in response to your petition.

The Scrutiny Board will consider your request within 30 days of receiving it. Should members feel the Council has not dealt with your petition adequately, it may use any of its powers to deal with the matter. These powers include instigating an investigation, making recommendations to the executive or arranging for the matter to be considered at a meeting of the full council.

Once the appeal has been considered the petition organiser will be informed of the results within seven days. The results of the review will also be published on our website.

Is there anything else I can do to have my say? The council recognises that petitions are just one way in which people can let us know about their concerns. There are a number of other ways in which you can have your say including asking questions at Council meetings, through the Council’s complaints system or contributing to discussion forums on the Council's web site.

Page 195 102

B. Officer Employment Procedure Rules

1. Recruitment and Appointment

1.1 Declarations

(a) All candidates will be required to state in writing if they have any familiar relationship with any member of the officers or with a councillor or partner of such a person.

(b) Candidates must also declare if they have a close social relationship or belong to the same political party or other organisation as any councillor or manager who is involved in the selection or interview process.

No candidate so related to a councillor or officers member will be appointed without the authority of the relevant Chief Officer or an officer nominated by him/her.

1.2 Seeking support for appointment

(a) The Council will disqualify any applicant who directly or indirectly seeks the support of any councillor for any appointment with the Council. The content of this paragraph will be included in any recruitment information.

(b) No councillor will seek support for any person for any appointment with the Council.

2. Recruitment of Head of Paid Service and Chief Officers

Where the Council proposes to appoint a Chief Officer and it is not proposed that the appointment be made exclusively from among their existing officers, the Council will:

(a) draw up a job profile 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

3. Appointment of Head of Paid Service

3.1 The Council will approve the appointment of the Head of Paid Service following the recommendation of such an appointment by the Chief Officer’s Panel. That Panel must include at least one Member of the Executive.

3.2 The Council may only make or approve the appointment of the Head of Paid Service where no well founded objection has been made by any Member of the Executive.

Page 196 103 4. Appointments of Chief Officers, Deputy Chief Officers and Statutory Officers

4.1 The Chief Officer’s Panel will appoint Chief Officers, Deputy Chief Officers and Statutory Officers. That Panel must include at least one Member of the Executive.

4.2 An offer of employment as a Chief Officer or Deputy Chief Officer shall only be made where no well-founded objection from any Member of the Executive has been received.

5. Other Appointments

5.1 Officers below Deputy Chief Officer: Appointment of Officers below Deputy Chief Officer is the responsibility of the Head of Paid Service or his/her nominee, and may not be made by Councillors.

6. Disciplinary Action

6.1 Independent Person: No disciplinary action may be taken in respect of any of the Head of Paid Service, Monitoring Officer and Chief Finance Officer except in accordance with a recommendation in a report made by a designated independent person which shall be submitted to and considered by the Chief Officer’s Panel.

Dismissal

Councillors will not be involved in the dismissal of any officer below Deputy Chief Officer except where such involvement is necessary for any investigation or inquiry into alleged misconduct, though the Council’s disciplinary, capability and related procedures, as adopted from time to time, or where such procedures may allow a right of appeal to councillors in respect of dismissals.

Page 197 104 C. Members Code of Conduct

PART 1

General Provisions

Introduction and Interpretation

1. (1) This Code applies to you as a member of an authority.

(2) You should read this Code together with the general principles prescribed by the Secretary of State.

(3) It is your responsibility to comply with the provisions of this Code.

(4) In this Code –

"meeting" means any meeting of –

(a) the authority;

(b) the Executive of the authority;

(c) any of the authority's or its Executive's committees, sub-committees, joint committees, joint sub-committees, or area committees;

"member" includes a co-opted member and an appointed member.

Scope

2. (1) Subject to sub-paragraphs (2) to (5), you must comply with this Code whenever you –

(a) conduct the business of your authority (which, in this Code, includes the business of the office to which you are elected or appointed); or

(b) act, claim to act or give the impression you are acting as a representative of your authority,

and references to your official capacity are construed accordingly.

(2) Subject to sub-paragraphs (3) and (4), this Code does not have effect in relation to your conduct other than where it is in your official capacity.

(3) In addition to having effect in relation to conduct in your official capacity, paragraphs 3(2)(c), 5 and 6(a) also have effect, at any other time, where that conduct constitutes a criminal offence for which you have been convicted.

(4) Conduct to which this Code applies (whether that is conduct in your official capacity or conduct mentioned in sub-paragraph (3)) includes a criminal offence for which you are convicted (including an offence you committed before the date you took office, but for which you are convicted after that date).

Page 198 105 (5) Where you act as a representative of your authority –

(a) on another relevant authority, you must, when acting for that other authority, comply with that other authority's code of conduct; or

(b) on any other body, you must, when acting for that other body, comply with your authority's code of conduct, except and insofar as it conflicts with any other lawful obligations to which that other body may be subject.

General Obligations

3. (1) You must treat others with respect.

(2) You must not –

(a) do anything which may cause your authority to breach any of the equality enactments (as defined in section 33 of the Equality Act 2006);

(b) bully any person;

(i) a complainant,

(ii) a witness, or

(iii) involved in the administration of any investigation or proceedings, in relation to an allegation that a member (including yourself) has failed to comply with his or her authority's code of conduct; or

(d) do anything which compromises or is likely to compromise the impartiality of those who work for, or on behalf of, your authority.

4. You must not –

(a) disclose information given to you in confidence by anyone, or information acquired by you which you believe, or ought reasonably to be aware, is of a confidential nature, except where –

(i) you have the consent of a person authorised to give it; (ii) you are required by law to do so; (iii) the disclosure is made to a third party for the purpose of obtaining professional advice provided that the third party agrees not to disclose the information to any other person; or

(iv) the disclosure is –

(aa) reasonable and in the public interest; and

(bb) made in good faith and in compliance with the reasonable requirements of the authority; or

Page 199 106 (b) prevent another person from gaining access to information to which that person is entitled by law.

5. You must not conduct yourself in a manner which could reasonably be regarded as bringing your office or authority into disrepute.

6. You –

(a) must not use or attempt to use your position as a member improperly to confer on or secure for yourself or any other person, an advantage or disadvantage; and

(b) must, when using or authorising the use by others of the resources of your authority –

(i) act in accordance with your authority's reasonable requirements;

(ii) ensure that such resources are not used improperly for political purposes (including party political purposes); and

7. (1) When reaching decisions on any matter you must have regard to any relevant advice provided to you by –

(a) your authority's Chief Finance Officer; or

(b) your authority's Monitoring Officer,

where that officer is acting pursuant to his or her statutory duties.

(2) You must give reasons for all decisions in accordance with any statutory requirements and any reasonable additional requirements imposed by your authority.

Page 200 107 PART 2

INTERESTS

Personal Interests

8. (1) You have a personal interest in any business of your authority where either –

(a) it relates to or is likely to affect –

(i) any body of which you are a member or in a position of general control or management and to which you are appointed or nominated by your authority;

(ii) any body –

(aa) exercising functions of a public nature;

(bb) directed to charitable purposes; or

(cc) one of whose principal purposes includes the influence of public opinion or policy (including any political party or trade union)

of which you are a member or in a position of general control or management;

(iii) any employment or business carried on by you;

(iv) any person or body who employs or has appointed you;

(v) any person or body, other than a relevant authority, who has made a payment to you in respect of your election or any expenses incurred by you in carrying out your duties;

(vi) any person or body who has a place of business or land in your authority's area, and in whom you have a beneficial interest in a class of securities of that person or body that exceeds the nominal value of £25,000 or one hundredth of the total issued share capital (whichever is the lower);

(vii) any contract for goods, services or works made between your authority and you or a firm in which you are a partner, a company of which you are a remunerated director, or a person or body of the description specified in paragraph (vi);

(viii) the interests of any person from whom you have received a gift or hospitality with an estimated value of at least £25;

(ix) any land in your authority's area in which you have a beneficial interest;

Page 201 108 (x) any land where the landlord is your authority and you are, or a firm in which you are a partner, a company of which you are a remunerated director, or a person or body of the description specified in paragraph (vi) is, the tenant;

(xi) any land in the authority's area for which you have a licence (alone or jointly with others) to occupy for 28 days or longer; or

(b) a decision in relation to that business might reasonably be regarded as affecting your well-being or financial position or the well-being or financial position of a relevant person to a greater extent than the majority of other council tax payers, ratepayers or inhabitants of the electoral division or ward, as the case may be, affected by the decision.

(2) In sub-paragraph (1)(b), a relevant person is –

(a) a member of your family or any person with whom you have a close association; or

(b) any person or body who employs or has appointed such persons, any firm in which they are a partner, or any company of which they are directors;

(c) any person or body in whom such persons have a beneficial interest in a class of securities exceeding the nominal value of £25,000; or

(d) any body of a type described in sub-paragraph (1)(a)(i) or (ii).

Disclosure of Personal Interests

9. (1) subject to sub-paragraphs (2) to (7), where you have a personal interest in any business of your authority and you attend a meeting of you authority at which the business is considered, you must disclose to that meeting the existence and nature of that interest at the commencement of that consideration, or when the interest becomes apparent.

(2) where you have a personal interest in any business of your authority which relates to or is likely to affect a person described in paragraph 8(1)(a)(i) or 8(1)(a)(ii)(aa), you need only disclose to the meeting the existence and nature of that interest when you address the meeting on that business.

(3) where you have a personal interest in any business of the authority of the type mentioned in paragraph 8(1)(a)(viii), you need not disclose the nature or existence of that interest to the meeting if the interest was registered more than three years before the date of the meeting.

(4) Sub-paragraph (1) only applies where you are aware or ought reasonably to be aware of the existence of the personal interest.

Page 202 109 (5) Where you have a personal interest but, by virtue of paragraph 14, sensitive information relating to it is not registered in your authority's register of members' interests, you must indicate to the meeting that you have a personal interest, but need not disclose the sensitive information to the meeting.

(6) Subject to paragraph 12(1)(b), where you have a personal interest in any business of your authority and you have made an Executive decision in relation to that business, you must ensure that any written statement of that decision records the existence and nature of that interest.

(7) In this paragraph, "Executive decision" is to be construed in accordance with any regulations made by the Secretary of State under section 22 of the Local Government Act 2000.

Prejudicial Interest Generally

10. (1) Subject to sub-paragraph (2), where you have a personal interest in any business of your authority you also have a prejudicial interest in that business where the interest is one which a member of the public with knowledge of the relevant facts would reasonably regard as so significant that it is likely to prejudice your judgement of the public interest.

(2) You do not have a prejudicial interest in any business of the authority where that business –

(a) does not affect your financial position or the financial position of a person or body described in paragraph 8;

(b) does not relate to the determining of any approval, consent, licence, permission or registration in relation to you or any person or body described in paragraph 8; or

(i) housing, where you are a tenant of your authority provided that those functions do not relate particularly to your tenancy or lease;

(ii) school meals or school transport and travelling expenses, where you are a parent or guardian of a child in full time education, or are a parent governor of a school, unless it relates particularly to the school which the child attends;

(iii) statutory sick pay under Part XI of the Social Security Contributions and Benefits Act 1992, where you are in receipt of, or are entitled to the receipt of, such pay;

(iv) an allowance, payment or indemnity given to members;

(v) any ceremonial honour given to members; and

(vi) setting council tax or a precept under the Local Government Finance Act 1992.

Page 203 110 Prejudicial Interests Arising in Relation to Overview and Scrutiny Committees

11. You also have a prejudicial interest in any business before an overview and scrutiny committee of your authority (or of a sub-committee of such a committee) where –

(a) that business relates to a decision made (whether implemented or not) or action taken by your authority's Executive or another of your authority's committees, sub-committees, joint committees or joint sub-committees; and

(b) at the time the decision was made or action was taken, you were a member of the Executive, committee, sub-committee, joint committee or joint subcommittee mentioned in paragraph (a) and you were present when that decision was made or action was taken.

Effect of Prejudicial Interests on Participation

12. (1) Subject to sub-paragraph (2), where you have a prejudicial interest in any business of your authority –

(a) you must withdraw from the room or chamber where a meeting considering the business is being held –

(i) in a case where sub-paragraph (2) applies, immediately after making representations, answering questions or giving evidence;

(ii) in any other case, whenever it becomes apparent that the business is being considered at that meeting;

unless you have obtained a dispensation from your authority's standards committee;

(b) you must not exercise Executive functions in relation to that business; and

(2) Where you have a prejudicial interest in any business of your authority, you may attend a meeting (including a meeting of the overview and scrutiny committee of your authority or of a sub-committee of such a committee) but only for the purpose of making representations, answering questions or giving evidence relating to the business, provided that the public are also allowed to attend the meeting for the same purpose, whether under a statutory right or otherwise.

Page 204 111 PART 3

THE REGISTER OF MEMBERS’ INTERESTS

Registration of Members’ Interests

13. (1) Subject to paragraph 14, you must, within 28 days of –

(a) this Code being adopted by or applied to your authority; or

(b) your election or appointment to office (where that is later), register in your authority's register of members' interests (maintained under section 81(1) of the Local Government Act 2000) details of your personal interests where they fall within a category mentioned in paragraph 8(1)(a), by providing written notification to your authority's Monitoring Officer.

(2) Subject to paragraph 14, you must, within 28 days of becoming aware of any new personal interest or change to any personal interest registered under paragraph (1), register details of that new personal interest or change by providing written notification to your authority's Monitoring Officer.

Sensitive Information

14. (1) Where you consider that the information relating to any of your personal interests is sensitive information, and your authority's Monitoring Officer agrees, you need not include that information when registering that interest, or, as the case may be, a change to that interest under paragraph 13.

(2) You must, within 28 days of becoming aware of any change of circumstances which means that information excluded under paragraph (1) is no longer sensitive information, notify your authority's Monitoring Officer asking that the information be included in your authority's register of members' interests.

(3) In this Code, "sensitive information" means information whose availability for inspection by the public creates, or is likely to create, a serious risk that you or a person who lives with you may be subjected to violence or intimidation.

Page 205 112 D. Protocol on Member/Officer Relations

1 Introduction

1.1 The purpose of this protocol is to guide Members and officers of the Council in their relations with one another. 1.2 Given the variety and complexity of such relations, this protocol does not seek to be either prescriptive or comprehensive. It seeks simply to offer guidance on some of the issues that most commonly arise. It is hoped, however that the approach that it adopts to these issues will serve as a guide to dealing with other issues.

1.3 This protocol is to a large extent no more than a written statment of current practice and convention. In some respects, however, it seeks to promote greater clarity and certainty.

1.4 This protocol also seeks to reflect the principles set out for or underlying the respective codes of conduct, which apply to Members and officers. The shared objective of these codes is to enhance and maintain the integrity (real and perceived) of local government and they, therefore demand very high standards of personal conduct.

1.5 This relationship has to function without compromising the ultimate responsibilities of officers to the Council as a whole, and with due regard to such technical, financial, professional and legal advice that officers can legitimately provide to Members. The protocol seeks to assist the working relationships between Members and officers.

2 Respect and Courtesy

2.1 For the effective conduct of Council business there must be mutual respect, trust and courtesy in all meetings and contacts, both formal and informal, between Members and officers. This too plays a very important part in the Council's reputation and how it is seen in public. It is very important that both Members and officers remember their respective obligations to enhance the Council's reputation and to do what they can to avoid criticism of other Members, or other officers in public places.

Undue Pressure

2.2 It is important that, in any dealings between Members and officers, neither should seek to take unfair advantage of their position.

2.3 In their dealings with officers (especially junior officers), Members need to be aware that it is easy for officers to be overawed and feel at a disadvantage. Such feelings can be intensified where Members hold official and/or political office.

2.4 A Member should not apply undue pressure on officers either to do anything that he or she is not empowered to do, or to undertake work outside normal duties or outside normal hours. Particular care needs to be taken in connection with the use of Council property and services.

2.5 Similarly, officers must neither seek to use undue influence on an individual Member to make a decision in his or her favour, nor raise personal matters to do with their job, nor make claims or allegations about other officers. The Council has formal procedures for consultation, grievance, and discipline; the one exception to this rule

Page 206 113 is the right of officers to report possible wrongdoing under the Council’s "Whistleblowing" procedure.

Familiarity

2.6 Close personal familiarity between individual Members and officers can damage the principle of mutual respect. It could also, intentionally or accidentally, lead to the passing of confidential information or information which should not properly be passed between them, such as personal details.

2.7 Such familiarity could also cause embarrassment to other Members and/or other employees and even give rise to suspicions of favouritism.

2.8 For the above reasons close personal familiarity must be avoided.

Redress

2.9 If a Member considers that he or she has not been treated with proper respect or courtesy, he or she may raise it with the relevant line manager or Strategic Manager without delay if it is not possible to resolve it through direct discussion. If the issue still remains unresolved appropriate disciplinary action may be taken against officers in accordance with the Council’s normal procedures.

2.10 If an officer feels the same way about a Member, and a direct discussion is impractical or fails to resolve the matter, he or she should raise the matter with their line manager or Strategic Manager without delay. In such circumstances, the Strategic Manager will take such action as is appropriate either by approaching the individual Councillor and/or Party Group Leader. The Strategic Manager will inform the Chief Executive if the Party Group Leader becomes involved, or in any other case where that is appropriate. Feedback should be given to the officer on the outcome.

3 Provision of Information/Advice

3.1 Members will have rights of access to such documents and information as are necessary for the proper discharge of their functions and in accordance with the law. Approaches for information on this basis should normally be directed to the Strategic Manager or another senior officer of the department concerned.

3.2 Special care needs to be taken when a Member has a significant personal or business relationship with a constituent about whom he or she is seeking information. An appropriate option may be that another Member could act for the constituent.

3.3 Further and more detailed advice regarding the inspection of documents is contained within the Council’s constitution.

3.4 If a Member is not receiving or is having difficulty obtaining information which he or she considers he or she is entitled to in order to carry out his or her duties, that Councillor should contact the Monitoring Officer.

3.5 Confidential information must not be made available to the public. It is important to the integrity of the Council that confidentiality is respected.

Page 207 114 4 Political Activity

4.1 Some posts are politically restricted and postholders cannot be Local Authority Councillors or Members of Parliament, nor can they "speak or publish written work for the public at large or to a section of the public with the apparent intention of affecting public support for a political party".

4.2 Officers are employed by the Borough Council as a whole, they serve the Council and are responsible to the Chief Executive and their respective Strategic Managers, and not to individual Members whatever office they may hold.

4.3 It is obviously important, though, for there to be regular contact between the Chief Executive, Strategic Managers, senior officers and the Leaders of Political Groups on matters affecting the Council: and between Strategic Managers, other senior officers, Executive members and Committee Chairs on matters affecting their respective Committees.

Officers Advice to Party Groups

4.4 It is common practice for the Executive and Party Groups to give preliminary consideration to matters of Council business in advance of such matters being considered by the relevant Council decision making body.

4.5 It is possible that a senior officer may be asked to attend an Executive or a Party Group Meeting (whether of the controlling Party Group or of a minority Party Group).

4.6 The procedure to be followed for attendance at Political Groups is that any such request must be made to the Chief Executive. The request should state (a) the reason(s) why a officer is being invited to address the Group Meeting; (b) the name of the officer(s) concerned, if known; and (c) the topic(s) to be covered or on which information or a report is sought.

4.7 The Chief Executive, after consultation with the relevant Strategic Manager and individual officer(s) concerned, will decide whether permission can be given, in whole or in part, to the officer(s) concerned for them to attend the Meeting if they are willing to do so. This decision will be notified to the relevant Group Leader, together with the Leaders of the other Groups, and will indicate that similar arrangements will be made for them if they so wish.

4.8 Since legally officers (including the Chief Executive and other Strategic Managers) serve the whole Council and not individual Political Groups, their attendance at Political Group Meetings is voluntary.

4.9 It follows from everything that has been said that officers are entitled to have their political neutrality respected should they agree to attend the Group Meeting and to be treated in a fair and proper way. Officers must not be placed in a position where they feel at a disadvantage or their political impartiality or integrity are put at risk. Normally officers should leave the Meeting having given information on the issue in question and before the Group decide what view to take on it as a Political Group.

4.10 To safeguard both officers and Members, officers must not be asked to provide information and advice other than in direct relation to matters of Council business. Officers should not be expected to be present at meetings, or parts of meetings, when matters of Party business are to be discussed. Officers must be reminded on each occasion that they should leave a meeting if there is any suggestion that they Page 208 115 are to be asked to comment on matters beyond the brief agreed in advance, or if they feel vulnerable or that their integrity was being put in question.

4.11 Any breach of these arrangements by either Members or officers will be viewed seriously and appropriate action taken by Group Leaders or the Chief Executive respectively.

4.12 Special care needs to be exercised whenever officers are involved in providing information and advice to a Party Group Meeting that includes persons who are not Members. Such persons may be bound by the rules of the Group, but will not be bound by the National Code of Local Government Conduct (in particular, the provisions concerning the declaration of interests and confidentiality). For this and other reasons officers may not be able to provide the same level of information and advice as they would to a "Members-only" Meeting. 4.13 Officers must respect the confidentiality of any Party Group discussions at which they are present, in the sense that they should not relay the content of any such discussion to another Party Group.

4.14 Any particular cases of difficulty or uncertainty in this area of officers advice to Party Groups should be raised with the Chief Executive who will discuss it with the relevant Group Leader(s).

Relationships between officers and Executive members

4.15 It is clearly important that there should be a close working relationship between Executive members and members of Corporate Management Team and other senior officers of any Department. However, such relationships should never be allowed to become so close, or appear to be so close, as to bring into question the member of officerss’ ability to deal impartially with other Members and other party groups.

4.16 Finally, it must be remembered that officers within a Department are accountable to their Strategic Manager and that whilst officers should always seek to assist a Executive members/Chairman (or indeed any Member), they must not, in doing so, go beyond the bounds of whatever authority they have been given by their Strategic Manager.

Support Services to Members and Party Groups

4.17 The only basis on which the Council can lawfully provide support services (e.g. stationery, typing, printing, photocopying, transport, etc) to Members is to assist them in discharging their role as Members. 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.

5 Media Liaison Service

Members will be entitled to use the Authority’s Media Liaison Service to assist them discharging their role as Members. Such services should only be used for Council business and never in connection with party political or campaigning activity or for private purposes.

6 Correspondence

Official letters on behalf of the Council should be sent out over the name of the appropriate officer, rather than over the name of a Member. It may be appropriate in certain circumstances for a letter to appear over the name of a Member, for example in response

Page 209 116 to a query or complaint sent direct to the Member but this should be the exception rather than the norm.

7 Conclusion

It is hoped that, by following good practice and securing sensible and practical working relationships between Members and officers the delivery of high value quality services to the people of Allerdale can be enhanced.

Page 210 117

E. Financial Regulations

Page

1. Introduction

2. Status of Financial Regulations

3. Financial Regulations A: Financial Management B: Financial Planning C: Risk Management and Control of Resources D: Systems and Procedures E: Procurement and Contracts F: External Arrangements

Appendices: Financial Procedures

Appendix A: Financial Management Financial Management Standards Accounting Policies Accounting Records and Returns The Annual Statement of Accounts Authorisation/Certifying Officers Purchasing of Financial Systems Retention of Records and Documents Scheme of Virement Supplementary Estimates Trust Funds

Appendix B: Financial Planning Performance Plans Budgeting Maintenance of Reserves

Appendix C: Risk Management and Control of Resources Risk Management Internal Controls Audit Requirements Preventing Fraud and Corruption Assets Confidentiality, Security and Protection of Information Page 211 118 Banking and Treasury Management Staffing

Appendix D: Financial Systems and Procedures General Income and Expenditure Taxation

Appendix E: Procurement and Contracts Procurement and Contracts

Appendix F: External Arrangements Partnerships External Funding Work for Third Parties

Page 212 119

1 INTRODUCTION

Financial Regulations

1.1 The Council’s governance structure is laid down in its constitution which sets out how the Council operates, how decisions are made and the procedures that are followed. To conduct its business efficiently a local authority needs to ensure that it has sound financial management policies in place and that they are strictly adhered to. Part of this process is the establishment of Financial Regulations which set out the financial policies of the authority. A modern Council should also be committed to innovation within the regulatory framework, providing that the necessary risk assessment and approval safeguards are in place.

1.2 These Financial Regulations replace the previous version approved by Allerdale Borough Council in April 2000.

1.3 The Financial Regulations provide clarity about the financial accountabilities of individuals - Executive Members, the Chief Executive, the Monitoring Officer, the Section 151 Officer and other Chief Officers. Each of the Financial Regulations sets out the over-arching financial responsibilities.

1.4 Financial Regulations are part of the overall financial framework of the Council which also includes the other internal regulatory documents forming part of the Council’s constitution.

1.5 Nothing in these Financial Regulations shall be construed as requiring any person or body to do anything which is unlawful or to forbear from doing anything which they are required by law to do.

Definitions 1.6 In the context of Financial Regulations and Procedures the term ‘Chief Officers’ means the Council’s Chief Executive, Deputy Chief Executive and all those senior staff designated as Strategic Managers. ‘Section 151 Officer’ means the officer designated as such by Council. ‘Monitoring Officer’ means the officer designated as such by Council. ‘Head of Paid Service’ means the Chief Executive. ‘Internal Audit’ means Allerdale’s Internal Audit Service. ‘Executive’ means the Cabinet.

Financial Procedures

1.7 In accordance with the national guidance, following formal approval and adoption of the Financial Regulations, the Council will implement the requirements assisted by Financial Procedures summarising the responsibilities of the Section 151 Officer and Chief Officers and providing an explanation of the key controls for each main aspect covered by the Regulations. The Strategic Manager (Resources) has delegated authority to produce, update, interpret and advise upon such procedures.

1.8 The Financial Procedures attached at Appendices A to F indicate how the Financial Regulations are to be interpreted and applied.

Page 213 120

2 STATUS OF FINANCIAL REGULATIONS

2.1 Financial Regulations provide the framework for managing the authority’s financial affairs. They apply to every Member and officer of the authority and anyone acting on its behalf.

2.2 The regulations identify the financial responsibilities of the Council, Executive and Scrutiny members, the Head of Paid Service, the Monitoring Officer, the Section 151 Officer and other Chief Officers. Chief Officers should maintain a written record where decision making has been delegated to members of their staff, including seconded staff. Where decisions have been delegated or devolved to other responsible staff (for instance, Service Managers and/or Budget Holders) references to the Chief Officer in the Regulations should be read as referring to them. The record must clearly specify the extent of and limits upon the powers delegated to each individual and the circumstances in which matters still must be referred to higher management for decision. Each Chief Officer is ultimately responsible to the Council for ensuring that Financial Regulations and Council Procedure Rules are applied and observed by his/her staff. The system of delegation will be reviewed by each Chief Officer at least annually and as necessary if control weaknesses indicate the need for revising procedures involved.

2.3 All Members and staff have a general responsibility for taking reasonable action to provide for the security and use of the resources and assets under their control, and for ensuring that the use of such resources and assets is legal, is consistent with the Council’s policies, is properly authorised, provides value for money and achieves best value.

2.4 The Section 151 Officer, in consultation with the Strategic Manager (Resources), is responsible for maintaining a continuous review of the Financial Regulations and submitting any additions or changes necessary to the Council for approval. The Section 151 Officer, in consultation with the Strategic Manager (Resources), is also responsible for reporting, where appropriate, breaches of the Financial Regulations to the Council and/or to the Executive members. Chief Officers are responsible for ensuring compliance with Financial Regulations and for reporting to the Section 151 Officer any known or suspected breaches.

2.5 Chief Officers are responsible for ensuring that all staff in their departments are aware of and understand the existence and content of the authority’s Financial Regulations and other internal regulatory documents and related guidelines and procedures and that they comply with them. Each Chief Officer must also ensure that all members of staff are aware that the Financial Regulations are available on the Council’s Intranet.

2.6 The Section 151 Officer is responsible for issuing advice and guidance to underpin the Financial Regulations which Councillors, officers and others acting on behalf of the authority are required to follow. He/she will be given access to any information which in his/her opinion is necessary to comply with his/her statutory duties and the requirements and instructions of the Council.

2.7 Where any Chief Officer considers that complying with Financial Regulations in a particular situation might conflict with the achievement of value for money or the Page 214 121 principles of Best Value or the best interests of the Council, he/she shall seek advice from the Section 151 Officer following which the Chief Officer will if he/she considers necessary and appropriate seek formal approval from the Council for a specific waiver of the Financial Regulations, or an amendment thereto.

Emergencies 2.8 Where, but for this Order, complying with Financial Regulations would, in the opinion of the Chief Officer responsible for the relevant function, give rise to or materially increase or prolong an unacceptable risk to life, health or safety or to the Council’s assets or finances, the Chief Officer shall consult with the Section 151 Officer and the Chief Executive (where practicable) and shall take such action as is necessary to avert, reduce or curtail the risk, whilst complying with all Orders as far as is practicable in the circumstances. The Chief Officer shall report in writing to the next meeting of the Executive the precise circumstances, action taken and respects in which Financial Regulations were not complied with.

Page 215 122 3 FINANCIAL REGULATIONS:

FINANCIAL REGULATION A – FINANCIAL MANAGEMENT

Why is this important? Good financial management secures value for money, controls spending, ensures due probity of transactions and achieves objectives on time, but decisions are informed by accurate accounting information.

Introduction

A.1 Financial management covers all financial accountabilities in relation to the running of the authority including the policy framework and budget.

The Full Council

A.2 In law, the Council has a ‘fiduciary duty’ towards its council tax payers with regard to financial decisions and their consequences. The Full Council is responsible for adopting the authority’s constitution, including the codes of conduct applicable to staff and Councillors, and for approving the policy framework and budget within which the Executive operates. It is also responsible for approving and monitoring compliance with the authority’s overall framework of accountability and control. The framework is set out in its constitution. The Full Council is also responsible for monitoring compliance with the agreed policy and related Executive decisions.

A.3 The Full Council is responsible for approving procedures for recording and reporting decisions taken. This includes those ‘key decisions’ delegated by and decisions taken by the Council and its committees. These delegations and details of who has responsibility for which decisions are set out in the constitution.

The Executive (the Cabinet)

A.4 The Executive is responsible for proposing the policy framework and budget to Full Council, and for discharging Executive functions in accordance with the policy framework and budget.

A.5 Executive decisions can be delegated to a committee of the Executive, an individual Executive Member, an officer or a joint committee.

A.6 The Executive is responsible for establishing protocols to ensure that individual Executive Members consult with relevant staff before taking a decision within his/her delegated authority. In doing so the individual Member must take account of legal and financial liabilities and risk management issues which may arise from the decision.

Other Committees

Scrutiny Committees

A.7 The Scrutiny committees are responsible for scrutinising Executive decisions before or after they have been implemented and for holding the Executive to account. The Scrutiny committees are also responsible for making recommendations on future policy options and for reviewing the general policy and service delivery of the authority. Page 216 123 Audit Committee

A.8 The Audit committee is an advisory body and reports to the Full Council. It has right of access to all the information it considers necessary and can consult directly with internal and external auditors. The committee is responsible for reviewing the external auditor’s reports and the annual audit letter, internal audit’s reports, the progress of the Internal Audit Section against the annual audit plan, the Council’s final accounts, the Corporate Governance Statement and considering the arrangements for the review of the management of risk within the Council.

Standards Committee

A.9 The Standards committee is established by the Full Council and is responsible for promoting and maintaining high standards of conduct amongst councillors. In particular, it is responsible for advising the council on the adoption and revision of the Councillors’ code of conduct, and for monitoring the operation of the code.

Other Regulatory Committees

A.10 Development Panel and Licensing committees are not Executive functions but are exercised through their appropriate bodies under powers delegated by the Full Council. The development panel and licensing committees report to the Full Council.

The Statutory Officers

Head of Paid Service

A.11 The Head of Paid Service is responsible for the corporate and overall strategic management of the authority as a whole. He or she must report to and provide information for the Executive, the Full Council, the Scrutiny committees and other committees. He or she is responsible for establishing a framework for management direction, style and standards and for monitoring the performance of the organisation. The Head of Paid Service is also responsible, together with the Monitoring Officer, for the system of record keeping in relation to all the Full Council’s decisions (see below).

Monitoring Officer

A.12 The Monitoring Officer is responsible for promoting and maintaining high standards of financial conduct and therefore provides support to the standards committee. The Monitoring Officer is also responsible for reporting any actual or potential breaches of the law or maladministration to the Full Council and/or to the Executive, and for ensuring that procedures for recording and reporting key decisions are operating effectively.

A.13 The Monitoring Officer must ensure that executive decisions and the reasons for them are made public. He or she must also ensure that council members are aware of decisions made by the Executive and of those made by staff who have delegated executive responsibility.

A.14 The Monitoring Officer is responsible for advising all Councillors and staff about who has authority to take a particular decision.

Page 217 124 A.15 The Monitoring Officer is responsible for advising the Executive or Full Council about whether a decision is likely to be considered contrary or not wholly in accordance with the policy framework.

A.16 The Monitoring Officer (together with the Section 151 Officer) is responsible for advising the Executive or Council about whether a decision is likely to be considered contrary to, or not wholly in accordance with, the budget. Actions that may be ‘contrary to the budget’ include: • initiating a new policy • committing expenditure in future years to above the budget level • incurring transfers between Departments (above Virement limits) • causing the total expenditure financed from council tax, grants and corporately held reserves to increase, or to increase by more than a specified amount.

A.17 The monitoring officer is responsible for maintaining an up-to-date constitution.

Section 151 Officer

A.18 The Section 151 Officer has statutory duties in relation to the financial administration and stewardship of the authority. This statutory responsibility cannot be overridden. The statutory duties arise from: • Section 151 of the Local Government Act 1972 • The Local Government Finance Act 1988 • The Local Government and Housing Act 1989 • The Accounts and Audit Regulations 2006.

A.19 The Section 151 Officer is responsible for: • the proper administration of the authority’s financial affairs • setting and monitoring compliance with financial management standards • advising on the corporate financial position and on the key financial controls necessary to secure sound financial management • providing financial information • preparing the revenue budget and capital programme • treasury management.

A.20 Section 114 of the Local Government Finance Act 1988 requires the Section 151 Officer to report to the Full Council, Executive and external auditor if the authority or one of its staff: • has made, or is about to make, a decision which involves incurring unlawful expenditure • has taken, or is about to take, an unlawful action which has resulted or would result in a loss or deficiency to the authority • is about to make an unlawful entry in the authority’s accounts Page 218 125

Section 114 of the 1988 Act also requires: • the Section 151 Officer to nominate a properly qualified member of staff to deputise should he or she be unable to perform the duties under section 114 personally • the authority to provide the Section 151 Officer with sufficient staff, accommodation and other resources – including legal advice where this is necessary – to carry out the duties under section 114.

Chief Officers

A.21 The Chief Executive, Deputy Chief Executive and Strategic Managers are each accountable to the Council for the financial management and administration of those functions and activities allocated to them in accordance with Council policy, including effective ongoing budgetary control.

In addition, they are responsible for: • ensuring that adequate and effective systems of internal control are operated to ensure the accuracy, legitimacy and proper processing of transactions and the management of activities. • ensuring that adequate resources exist in terms of competent staff, relevant training, reliable equipment and, in the case of computerised systems, tried and tested software – to allow financial systems under his/her control to be operated, maintained and monitored efficiently and effectively whenever required. • ensuring that Executive members are advised of the financial implications of all proposals and that the financial implications have been agreed by the Section 151 Officer. • signing contracts on behalf of the authority. • consulting with the Section 151 Officer seeking approval regarding any matters which may affect the authority’s finances materially, before any commitments are incurred. If raising any issue having corporate financial implications a Chief Officer should also inform and consult other Chief Officers affected before submitting policy options or recommendations to Councillors.

A.22 With regard to any report or information for Councillors or the public which relates to budget planning and monitoring or upon which decisions or consultation are to be based, each Chief Officer is responsible for ensuring that the Section 151 Officer is consulted about any information to be included about the finances of the Council, its services and activities. The Section 151 Officer must be given adequate time to comment in advance of the agenda/deadline date, as per the Council’s agenda report consultation policy. If the Chief Officer does not want to amend the report having regard to the Section 151 Officer’s views, the Section 151 Officer may require inclusion of his comments within the report before it is finalised by the Chief Officer. A report will be submitted jointly by the Chief Officer and Section 151 Officer only if the Section 151 Officer has validated and agreed the financial aspects of the report. The onus is upon the Chief Officer to obtain this agreement.

Page 219 126 Other Financial Accountabilities in Relation to:

Accounting Policies

A.23 The Section 151 Officer is responsible for selecting accounting policies, having regard to national guidelines, and for ensuring that they are applied consistently.

Accounting Records and Returns

A.24 The Section 151 Officer is responsible for determining the accounting procedures and records for the authority.

The Annual Statement of Accounts

A.25 The Section 151 Officer is responsible for ensuring that the annual statement of accounts is prepared in accordance with the Code of Practice on Local Authority Accounting in the United Kingdom: A Statement of Recommended Practice (CIPFA/LASAAC). The Full Council, or the appropriate delegated body, is responsible for approving the annual statement of accounts.

Authorising/Certifying Officers

A.26 For those individuals who are authorised to sign on behalf of a Chief Officer (for instance representing a legal and/or financial commitment such as ordering and certifying) the Chief Officer will communicate such authorisation in writing to the individuals concerned, and will maintain a register of posts, names, specimen signatures and the extent of the responsibility involved. This record will also include details relating to any situations where individuals are designated as responsible for providing an electronic authorisation. The content of such register, and selected extracts from it, will be provided to the Section 151 Officer by 1st April in each financial year. Changes to the register, throughout each financial year, must be notified to the Section 151 Officer at the time such changes take place.

A.27 For the purpose of these Financial Regulations the certification of documents shall be by authentic manuscript signature and shall, in the absence of a written statement to the contrary, signify that the certifying person: (a) believes that the information contained in the document is complete and correct, (b) has good reasons for so believing, and (c) accepts responsibility for the correctness of information in the document.

Purchasing of Financial Services

A.28 The purchasing and providing of financial services will be in accordance with the Council’s policies and such arrangements as these may determine. The Section 151 Officer will specify minimum financial standards which must be maintained regardless of whether the service provider is internal or external to the Council’s organisation. Such minimum standards must be reflected in service specifications, service level agreements and contracts, and those staff responsible for managing, delivering and monitoring such arrangements must ensure that minimum standards for financial services are maintained correctly and satisfactorily. The Section 151 Officer will advise on, interpret and determine the requirements of the Council’s minimum financial standards. Where services are provided by external contractors, the staff of the Council will ensure that specified standards of service also reflect the minimum financial standards prescribed by the Section 151 Officer. Page 220 127

Retention of Records and Documents

A.29 Financial records, vouchers and documents must be preserved to comply with any minimum retention periods and requirements as to accessibility prescribed by statute or regulation. On disposing of items, appropriate arrangements shall be made for confidential waste. Advice on retention can be obtained from Allerdale’s Internal Audit Service and/or the Information and Records Officer.

Virement

A.30 Virement is the transfer of resources between budget headings (lines), involving a formal process of approval. It is affected by increasing/decreasing the relevant budget provisions, not by posting income or expenditure to an inappropriate account so as to give the appearance of adhering to the original budget provision. The Full Council is responsible for agreeing procedures for virement of expenditure between budget headings.

A.31 In any instance where a Chief Officer judges that a budget increase is necessary or desirable, he/she shall attempt to identify other budget items where equivalent underspending or surplus income can reasonably be anticipated or achieved, consulting as necessary with other Chief Officers and respective Executive Members. Where this is the case, virement of the requisite sums between the relevant budget provisions shall be made subject to and in accordance with the conditions detailed in Appendix A to these Regulations and the detailed Scheme of Virement.

Supplementary Estimates

A.32 In any instance where the Budget Holder judges that expenditure will unavoidably exceed income or will unavoidably fall short of the revenue budget provision and is unable to identify other budget items where equivalent underspending or surplus income can reasonably be anticipated or achieved, the relevant Strategic Manager shall prepare a report for the next meeting of the Executive setting out :

(a) the circumstances giving rise to excess expenditure or a shortfall in income,

(b) efforts made to resolve the situation by virement,

(c) the consequences, in terms of statutory obligations, contractual commitments, service level and Council policy, of adhering to the approved budget.

(d) the additional resources required in order to avoid those consequences.

The Executive shall consider the report and shall: either

(a) recommend that expenditure be contained within the approved budget by way of virement within the limits approved by Full Council. or (b) submit a request to Full Council for a supplementary estimate.

Page 221 128 The Full Council shall consider the request and shall:

either (a) approve a supplementary estimate from such contingency provision as may have been made for that purpose in the Council’s budget. or (b) refuse the request if it does not agree or if the amount remaining in the contingency provision is insufficient to meet the expenditure.

Trust Funds

A.33 Trust Funds must be managed and administered in accordance with any statutory requirements (for instance, the Charities Act 1992) and at least to the same standards as those applicable to the Council generally, to demonstrate good stewardship and proper and effective use of resources.

Page 222 129 FINANCIAL REGULATION B – FINANCIAL PLANNING

Why is this important? The allocation of resources to particular purposes enables the conversion of funding into service provision. Budgetary monitoring and control is a continuous process which exerts accountability over budget holders and involves the reviewing and adjusting of spending and financial targets during each year. The Corporate Strategy, Service Performance Plans and the Corporate Improvement Plan provide a clear guide to the strategy of the authority and underlying values, objectives, targets and performance criteria against which actual performance can be measured and reported.

Introduction

B.1 The Full Council is responsible for agreeing the authority’s policy framework and budget, (in accordance with the ‘Code of Practice on a Prudential Approach to Local Authority Commitments’), which will be proposed by the Executive. In terms of financial planning, the key elements are:

a) the corporate strategy b) the budget c) the capital programme

Policy Framework

B.2 The Full Council is responsible for approving the policy framework and budget. The policy framework comprises various plans and strategies, as defined in the Council’s constitution.

B.3 The Full Council is also responsible for approving procedures for agreeing variations to approved budgets, plans and strategies forming the policy framework and for determining the circumstances in which a decision will be deemed to be contrary to the policy framework or budget. Such circumstances should be referred to the Full Council by the Monitoring Officer.

B.4 The Full Council is responsible for setting the level at which the Executive may reallocate budget funds from one service to another. The Executive is responsible for taking in-year decisions on resources and priorities in order to deliver the policy framework and budget within the financial limits set by the Council. The Full Council or the delegated officer is responsible for agreeing procedures for carrying forward under and overspendings on budget headings at each financial year-end.

Preparation of Corporate Strategy

B.5 The Chief Executive is responsible for proposing the corporate strategy to the Executive for consideration before its submission to Full Council for approval.

Preparation of the Corporate Improvement Plan

B.6 The Chief Executive is responsible for producing or revising the Corporate Improvement Plan each year and will liaise with the Section 151 Officer as to its financial content before it is proposed to the Executive for consideration before its submission to Full Council for approval.

Page 223 130

B.7 Department/Group Plans and/or Service Plans, if appropriate, must be aligned with the overall values, objectives and priorities of the Council and be consistent with and based upon the budget allocated by the Council to the services and activities involved and comply with any statutory requirements.

Budgeting

Budget Format

B.8 The general format of the budget will be approved by the Full Council and proposed by the Executive on the advice, written and unwritten, of the Section 151 Officer.

Budget Preparation - Revenue

B.9 The Section 151 Officer is responsible for ensuring that a draft revenue budget is prepared on an annual basis and a general revenue plan on a three-year basis for consideration by the Executive, before submission to the Full Council. Each year, the Section 151 Officer will report to the Executive and to the Full Council upon the general financial situation of the authority and upon any significant matters or events that will need to be considered in determining the coming year’s budget or that may affect the financial position of the authority in the longer term.

B.10 Each Chief Officer shall each year, in advance of considering draft estimates, review the potential for generating income from services for which they are responsible. For this purpose relevant Chief Officers shall consult with the Section 151 Officer who will prepare reports setting out existing pricing policy for each service and identifying any scope, for generating additional income, whether from new or existing sources.

Budget Preparation - Capital Programme

B.11 The Section 151 Officer is responsible for ensuring that a draft capital programme is prepared on an annual basis for consideration by the Executive, before submission to the Full Council.

B.12 The Council will determine the policy guidelines within which a draft forward capital programme will be prepared each year. The definition of ‘capital’ is prescribed in Part IV of Local Government and Housing Act 1989 and will be applied by the Section 151 Officer having regard to government regulations and accounting requirements.

B.13 The Section 151 Officer will prepare annually a draft proposed forward capital programme in consultation with Chief Officers, for consideration by the Executive and for approval subsequently by Full Council. This programme will have regard to the Council’s priorities, government controls and the availability of resources as determined by the Council.

B.14 The draft capital programme will be prepared in accordance with the criteria, format, timetable and targets determined by the Section 151 Officer, Executive and Full Council.

B.15 The draft capital programme shall distinguish between committed expenditure from schemes already authorised, underway or pending final settlement; and bids for new projects.

Page 224 131

General

B.16 It is the responsibility of the Section 151 Officer to advise the Executive and Full Council on prudent levels of reserves for the authority.

B.17 In proposing revenue and capital budgets, Chief Officers shall have regard to the need to maintain the capital value of buildings through regular repair and maintenance and periodic refurbishment.

B.18 The Full Council may amend the draft revenue/capital budgets previously considered by the Executive or ask the Executive to reconsider them prior to approval.

Budget Monitoring and Control

B.19 Chief Officers will control and manage capital and revenue spending to ensure that each is contained within their approved budget spending limit or cash limit in accordance with any guidelines issued by the Council, and will seek further approval from the Council for any proposal that involves a new policy or a change to an existing policy where this would have a financial effect on the Council’s forward planning of resources and before taking any action which might significantly limit the discretion of the Council in the future allocation of its resources.

B.20 The Section 151 Officer is responsible for providing Chief Officers and their staff with appropriate access to financial information via the corporate accounting and budgeting systems to enable budgets to be monitored effectively. He or she must monitor and control overall expenditure against budget allocations, assisted by all other Chief Officers who will monitor and control at service and more detailed levels and will report to the Executive on the overall position on a regular basis.

B.21 It is the responsibility of Chief Officers to control income and expenditure within their area and to monitor performance taking account of financial information derived from corporate accounting and budgeting systems maintained by the Section 151 Officer and also derived from financial management/control systems which they maintain for their service areas. They will provide the Section 151 Officer with any information required to enable effective corporate monitoring and control of expenditure and income against approved budgets and to meet corporate deadlines, and will report on variances within their own service areas. They will take any action necessary to ensure that expenditure is contained within or income attains the relevant budget provision and will alert the Section 151 Officer to any problems as soon as these are identified.

B.22 The Section 151 Officer shall report regularly, (at least quarterly), to Executive to show the latest position against budget.

B.23 Where significant savings or increased income were not included in the budget, but arise fortuitously because of external factors outside the control of the Department involved, these new resources shall be reported to the Executive and Full Council, or delegated officer, before any decision is taken about their utilisation.

B.24 The Section 151 Officer shall establish within the accounting system such control, holding and suspense accounts as are properly required for the efficient and effective administration of the Council’s financial affairs and shall ensure that all transactions posted to such accounts are regularly monitored, reconciled, investigated and re-allocated as appropriate. Page 225 132

Page 226 133 FINANCIAL REGULATION C – RISK MANAGEMENT AND CONTROL OF RESOURCES

Why is this important? Risk management is the planned and systematic approach to the identification, evaluation and control of the chance or possibility of loss, damage, injury or failure to achieve objectives because of an unwanted or uncertain action or event. The effectiveness of the Council’s risk management strategy is wholly dependent on ownership and accountability for risks. Responsibility for managing risks rests with all levels throughout the Council. It is essential to secure the Council’s assets and to ensure continued financial and organisational well-being. Effective control of resources is necessary to ensure they are used to best effect in accordance with the Council’s policies and priorities and to achieve targets and objectives. It makes sound business sense to manage risk effectively and to embed internal control and risk awareness into the Council’s systems and processes and its staff behaviour. Impartial monitoring and inspection is essential to a healthy organisation. All financial matters are subject to audit reviews and investigations which assist the Section 151 Officer to meet statutory responsibilities but also provide service managers and Councillors with an objective view of the standard of financial management, administration and general performance.

Introduction

C.1 It is essential that a risk management strategy is developed and maintained for identifying and evaluating all significant operational risks to the authority on an integrated basis. This should include the proactive participation of all those associated with planning and delivering services.

Risk Management C.2 The Executive is responsible for creating a positive culture for the proactive practice of managing risk, for approving the authority’s risk management policy statement and strategy and for reviewing the effectiveness of risk management.

C.3 The Strategic Management Team is responsible for ensuring that the Council manages risk effectively through the development of an integrated risk management strategy. The Deputy Chief Executive is responsible for preparing the authority’s risk management strategy and in association with other Chief Officers, for promoting it throughout the authority and overseeing its implementation across the authority and for advising the Executive on proper insurance cover where appropriate.

C.4 Chief Officers should ensure that risk management is embedded in the Council’s decision making process, so that financial, legal, human resource, environmental and Corporate policy implications of strategic and operational decisions are considered.

C.5 Risk Management and the active development of the risk management strategy are the responsibility of every Chief Officer having regard to advice from the Deputy Chief Executive and other specialists, (e.g. health and safety, crime prevention and fire prevention). In general, costs and losses not insured externally and not covered by the internal insurance account(s) will fall as a charge upon the relevant budget(s).

Page 227 134 Also, claims for insured risks could result in increased levels of future premiums, and this emphasises the need for effective preventive measures against all risks.

C.6 It is the responsibility of each Chief Officer to assess all risks, including those risks not covered by external or internal insurance account(s) operated by the Deputy Chief Executive, and to propose an appropriate approach to Risk Management for consideration by the Executive.

C.7 Each Chief Officer shall give prompt notification to the Deputy Chief Executive of all new risks, properties, vehicles and other assets or potential liabilities for which insurance may be required; and of any changes affecting existing risks or insurance cover required.

C.8 The Deputy Chief Executive shall effect all those insurances falling within the framework of insurable risks agreed by the Council and shall deal with all claims, in consultation with other Chief Officers where necessary. The Council, or delegated officer, will determine which risks must be covered by external insurance or internal insurance provision.

C.9 For some risks not covered by external insurance policies, and as determined by the Council, the Deputy Chief Executive will operate an internal insurance account(s).

C.10 Chief Officers shall notify the Deputy Chief Executive in writing without delay of any loss, liability or damage or any event likely to lead to a claim, and shall provide such information and explanations required by the Section 151 Officer or the Council's insurers.

C.11 Chief Officers shall consult the Deputy Chief Executive concerning the terms of any indemnity which they are requested to give on behalf of the Council.

C.12 Before entering into any arrangement involving a legal relationship, the Chief Officer involved must ensure that the Council has adequate legal powers and where appropriate that there is adequate professional indemnity insurance to cover and minimise any risk to the Council and to those individuals involved, (advice should be obtained from the Council's Insurance Officer and/or the Deputy Chief Executive where necessary before proceeding).

C.13 The Deputy Chief Executive shall review all insurances at each annual renewal date and as part of the re-entering process at the end of the overall insurances contract period.

Internal Control

C.14 Internal control refers to the systems of control devised by management to help ensure the authority’s objectives are achieved in a manner which promotes economical, efficient and effective use of resources and ensures that all income due to the Council is collected and that the authority’s assets and interests are safeguarded, whilst securing probity and legitimacy of transactions and preventing and detecting fraud, misuse or irregularity.

C.15 The Section 151 Officer and Internal Audit are responsible for advising on effective systems of internal control. These arrangements must ensure compliance with all applicable statutes and regulations, and other relevant statements of best practice. They should ensure that public funds are properly safeguarded and used economically, efficiently, and in accordance with the statutory and other authorities that govern their use. Page 228 135

C.16 It is the responsibility of Chief Officers to ensure compliance with Financial Regulations and Financial Procedures and to establish and keep under review sound arrangements for planning, appraising, authorising and controlling their operations in order to achieve continuous improvement, economy, efficiency and effectiveness and for achieving their financial performance targets.

C.17 Each Chief Officer is responsible for ensuring that an adequate and effective system of internal controls is operated, having regard to advice from the Section 151 Officer and Internal Audit. This includes ensuring adequate and up-to-date written descriptions of financial systems and procedures and training of staff in their use. A basic requirement is that all financial transactions shall be traceable from the original documentation or data source, to the accounting records and vice versa. Each Chief Officer will ensure that financial control is maintained in the absence of key staff, (and especially when using casual or bureau staff). Care will be taken when deploying staff, to ensure that sensitive or valuable data or property is not vulnerable. Immediately it appears likely that account reconciliations, review of budgets and expenditure, arrangements to set up charges for income collection, or other financial control routines may not be undertaken to agreed timetables the Chief Officer will advise the Section 151 Officer of the situation.

Audit Requirements

External Audit and Inspection

C.18 The Audit Commission is responsible for appointing external auditors to each local authority, (the Audit Commission’s Audit Manager performs the external audit of the Council). The basic duties of the external auditor are governed by section 15 of the Local Government Finance Act 1982, as amended by section 5 of the Audit Commission Act 1998.

C.19 The authority may, from time to time, be subject to audit, inspection or investigation by external bodies such as HM Revenues & Customs, who have statutory rights of access.

Internal Audit

C.20 The Accounts and Audit regulations 2006 issued by the Secretary of State for the Environment require every local authority to maintain an adequate and effective internal audit of the Council’s accounting records and control systems. The Deputy Chief Executive holds delegated responsibility from the Council for the internal audit function, which is exercised by his/her Internal Audit Service. The terms of reference of the Internal Audit Service are considered and formally approved by the Audit Committee and are consistent with national auditing guidelines.

C.21 The Internal Audit Service will report quarterly to the Audit Committee in order that the Committee can review the performance of the section against the annual Internal Audit Plan and update Councillors on the activities of the section and the key findings of audit reviews undertaken.

Page 229 136 C.22 The Deputy Chief Executive will ensure that the level and type of audit cover has regard to the characteristics and relative risks of the activities involved, and will maintain an ongoing liaison with each Chief Officer about the audit strategy and the audit cover which he/she considers to be appropriate. In doing this the Deputy Chief Executive will have regard to the statutory requirement to operate an adequate and effective internal audit of the financial affairs of the Council (at all levels), but also the need to seek best value, effective use of resources, improved performance and cost effective controls.

Management Responsibilities

C.23 Before proceeding, Chief Officers are required to consult the Section 151 Officer about any proposed changes or developments to financial procedures, records, systems and accounts, and such changes are subject to the Section 151 Officer’s agreement. Advice should be sought from Internal Audit:-

(a) during discussion of the initial draft specification, and consideration of the internal controls, to enable the audit view to be taken into account before the specification is finalised; (b) during the design of the tests which are to be applied to the new or modified system to verify its reliability, accuracy and fitness for purpose before implementation; (c) during evaluation of the system test results, and discussion of pre- implementation action required.

Preventing Fraud and Corruption

C.24 The Deputy Chief Executive is responsible for the development and maintenance of anti-fraud strategy policies.

Assets

C.25 The assets of the Council include land, buildings, vehicles, furniture and equipment, computer systems, stocks and materials, money and investments; also less obvious things such as data and information. Each Chief Officer is responsible for ensuring that assets are recorded, properly maintained and securely held, and that use is properly authorised and controlled, (including adequate and effective security measures to prevent loss, and procedures to minimise damage and vulnerability of Council assets). They should also ensure that contingency plans for the security of assets and continuity of service in the event of disaster or system failure are in place and are regularly tested.

C.26 Every arrangement for acquisition or disposal by the Council of assets shall comply with these Financial Regulations.

C.27 Every arrangement within the scope of these Financial Regulations shall, unless made in accordance with express delegated authority, be made only in accordance with a resolution of the Full Council.

C.28 No acquisition of an interest in any asset shall be made for a consideration greater than its open market value and no disposal of an interest in any asset shall be made for a consideration less than its open market value except where one or more of the following applies:

Page 230 137 • acquisition or disposal is pursuant to a statutory obligation specifying a different value • the consideration received by the Council is in accordance with the Council’s approved scale of fees and charges • the Council has expressly resolved to give or receive a consideration other than open market value and has, if required, obtained the approval of the Secretary of State.

C.29 The Head of Paid Services shall ensure that a complete and up to date record is maintained of all the Council’s assets, including the purpose for which they are held, their location, extent, acquisition details and all interests therein, and shall be responsible for the safe custody of all deeds and other legal documents appertaining to all assets owned by or mortgaged to the Council.

C.30 The Head of Paid Services shall ensure that assets are maintained in accordance with the Council’s asset management plan. Chief Officers are responsible for the sound management of the assets used in the provision of services in accordance with the requirements of that plan.

C.31 Assets which are no longer required and are unlikely in the foreseeable future to be required in the discharge of the Council’s functions shall be disposed of expeditiously in such appropriate manner as secures value for money through fair and open competition.

C.32 Where assets are disposed of in response to an approach by a prospective purchaser, the asset may be disposed of to that prospective purchaser provided that the terms of disposal are in accordance with these Financial Regulations and that the Council is satisfied that there is no reasonable prospect of other potential purchasers being willing to purchase on similar terms or better. In all other circumstances, assets shall be disposed of on the basis of the most economically advantageous offer received, following adequate public notice of disposal, from a willing purchaser judged to have the necessary financial standing to complete the purchase.

Confidentiality, Security & Protection of Information

C.33 All employees of the Council have a personal responsibility with regard to the protection and confidentiality of information, whether held in manual or computerised records. Information may be sensitive, or privileged, or may possess some intrinsic value, and its disclosure or loss could result in a cost to the Council in some way.

C.34 The Council has adopted a Computer Security Code of Practice and an e- mail/internet and telephone use policy. Chief Officers shall ensure that all employees are familiar with these documents, and that adequate and effective controls and security routines are operated to protect data against the hazards described therein, (e.g. computer viruses; unauthorised access; loss of data; abuse of internet facilities).

C.35 It is the responsibility of each Chief Officer to ensure that all computerised and manual systems and records within his/her responsibility are operated in accordance with the requirements of Data Protection and other legislation, including any necessary registration of such information, security, and properly administering any rights of access. Failure to comply with such requirements may result in some infringement of the legal rights of the individuals to which such records relate, with possible costs falling upon the Council.

Page 231 138

Banking and Treasury Management

C.36 The authority has adopted CIPFA’s Code of Practice for Treasury Management in Public Services.

C.37 The Executive is responsible for implementing and monitoring the Treasury Management policy and practices. The Section 151 Officer has delegated responsibility for executing and administering treasury management decisions, in accordance with the Council's policy statement and treasury management practices.

C.38 All money in the hands of the authority is controlled by the officer designated for the purposes of Section 151 of the Local Government Act 1972, referred to in the Code as the Finance Director.

C.39 The Section 151 Officer s responsible for reporting to the Executive a proposed treasury management strategy for the coming financial year at or before the start of each financial year.

C.40 The Section 151 Officer is responsible for reporting to the Executive not less than four times in each financial year on the activities of the treasury management operation and on the exercise of his/her delegated treasury management powers. One such report will comprise an annual report on treasury management for presentation by 30 September of the succeeding financial year.

Staffing

C.41 The Full Council, or the delegated officer, is responsible for determining how officer support for executive and non-executive roles within the authority will be organised.

C.42 The Head of Paid Services is responsible for providing overall management to staff. He or she is also responsible for ensuring that there is proper use of the evaluation or other agreed systems for determining the remuneration of a job.

C.43 The Section 151 Officer is responsible for advising the Executive on the budget necessary in any given year to cover estimated staffing levels.

C.44 Chief Officers are responsible in consultation with Human Resources for: (a) adjusting the staffing numbers to that which can be funded within approved budget provision, varying the provision as necessary within that constraint in order to meet changing operational needs (b) the proper use of appointment procedures.

Page 232 139 FINANCIAL REGULATION D – SYSTEMS AND PROCEDURES

Why is this important? Sound financial systems and procedures are essential to process transactions and information securely and reliably and to substantiate use of public money and assets. Sound internal control and accountability for financial matters can only be achieved by clear arrangements for delegation of powers and responsibilities and the separation of duties, with an effective system of monitoring, feedback and reporting. Spending the Council’s resources represents a significant responsibility, and the arrangements must clearly demonstrate probity, adherence to the Council’s policies, good value for money, and due objectivity and impartiality. Assets represent a significant value which must be safeguarded. Income can be vulnerable unless effectively controlled.

Introduction

D.1 Sound systems and procedures are essential to an effective framework of accountability and control. Each system shall, whenever practicable, be designed and operated in such a way that the person responsible for originating, performing or authorising every action can be unambiguously identified at each stage of the operation.

General

D.2 Each financial system shall be documented in sufficient detail to allow a competent person with basic knowledge of the purpose of the system to operate, maintain or monitor the system. Each Chief Officer shall ensure that such documentation exists for every financial system under his/her control and is updated as and when required.

D.3 The Section 151 Officer is responsible for the operation of the authority’s corporate accounting systems, the form of accounts and the supporting financial records. Any changes proposed by Chief Officers to the existing financial systems or the establishment of new systems must first be approved by the Section 151 officer. However, Chief Officers are responsible for the proper operation of financial processes in their own Departments.

D.4 Each Chief Officer shall, in respect of every financial system operating within his/her Department, designate one officer as System Administrator with responsibility for ensuring the correct operation of the system in accordance with these Financial Regulations.

D.5 Any changes proposed to agreed procedures by Chief Officers to meet their own specific service needs should be agreed first with the Section 151 Officer.

D.6 Chief Officers should ensure that their staff receive relevant financial training and that their staff are competent to use local and central financial systems as necessary to perform their role effectively.

D.7 All data to be submitted for processing and information to be provided to the Section 151 Officer by staff within the Council’s organisation, shall conform to any timetables defined by/agreed with the Section 151 Officer. The Section 151 Officer will issue appropriate advice and guidance about the systems and controls required to secure satisfactory standards of probity and regularity and to monitor that these are achieved. Page 233 140

D.8 The Section 151 Officer will determine the timetable and process for achieving closure of the Council’s accounts for each financial year, and each Chief Officer will ensure that any information which may be required by the Section 151 Officer is supplied to him/her accurately in accordance with accounting conventions and any deadlines which he/she may prescribe.

D.9 Chief Officers must ensure that, where appropriate, computer and other systems are registered in accordance with Data Protection legislation. Chief Officers must ensure that staff are aware of their responsibilities under the Data Protection and freedom of information legislation.

Accounting Systems

D.10 Expenditure and income are part of the overall accounts of the Council, and all accounting procedures, systems, records and accounts will be determined by, or be subject to approval by, the Section 151 Officer, in liaison with those Chief Officers directly affected in each case. The Section 151 Officer is responsible for interpreting accounting standards and regulations and for providing advice and guidance about accounting systems in relation to requirements of Chief Officers and the corporate accounting process.

D.11 The Section 151 Officer will ensure that the financial data held within the Council’s computerised accounting and budgetary control system is maintained accurately and reliably and updated in accordance with agreed timescales and deadlines; and that Chief Officers and their staff are provided with appropriate access to this information or with such computerised reports as may be agreed.

D.12 Each Chief Officer is responsible for ensuring that any financial systems to be operated by him/her are first agreed by the Section 151 Officer and that they interface reliably and satisfactorily as required with any central systems operated by the Section 151 Officer and in the way he/she prescribes. Proposed system changes will be notified to the Section 151 Officer as part of the systems development planning process.

D.13 Each Chief Officer will ensure that regular reconciliations are made between the central accountancy system and any subsidiary systems operated by him/her. The financial systems operated by the Section 151 Officer are the Council’s primary accounting records and in the event of any discrepancy between these corporate financial records and any subsidiary system the corporate financial records will be used for reporting purposes, subject only to any amendments identified but not yet implemented on the corporate system.

Income and Expenditure

D.14 It is the responsibility of each Chief Officer to ensure that a proper scheme of delegation has been established and documented for all those aspects which fall within his/her area of responsibility and that it is operating effectively. The scheme of delegation should identify staff authorised to act on the Chief Officer’s behalf, or on behalf of the Executive, and the limits of their authority for instance in respect of payments, income collection and for placing and recording receipt of orders. The Executive is responsible for approving procedures for writing off debts as part of the overall control framework of accountability and control.

Page 234 141 Income D.15 No person acting on behalf of the Council shall take any action which results in another person or body becoming indebted to the Council, unless one or more of the following conditions is fulfilled: • the other person or body becomes so indebted as a result of a statutory right or Court Order • there is a statutory obligation for the Council to act in a manner which unavoidably results in such indebtedness • indebtedness results from provision by the Council of goods, works or services of a type and value which the Full Council has resolved to provide in the course of business on credit terms • the other person or body has entered into a binding agreement to pay the debt and the person acting on behalf of the Council has good reason for believing that the other person or body will honour that agreement.

D.16 All sums due to the Council will be recorded, collected, held securely, banked promptly and credited to the proper head of account in the proper accounting period in accordance with the requirements of the Section 151 Officer. All income must be banked intact, and payments shall not be made from receipts. The encashment of cheques on behalf of employees or clients is not permitted.

D.17 Cheques received in payment shall be made payable to Allerdale Borough Council and not to an individual, Department or Section, and Chief Officers will ensure that this requirement is communicated to payers at the time the amount is requested, and is understood by employees involved in collecting income.

D.18 All receipt forms, tickets, and all other prime documents required for accounting for income, shall be ordered and controlled by the Section 151 Officer or under arrangements commissioned or approved by the Section 151 Officer . No officer shall give a receipt for money received on behalf of the Council on any form other than an official receipt form.

D.19 Scales of charges for services and other income shall be reviewed at regular intervals (minimum annually) by the appropriate Chief Officer in consultation with the Section 151 Officer and in accordance with any general strategy or directives from the Council. Chief Officers shall ensure there is appropriate statutory provision and Council policy for the levying of any charge or fee for service, seeking advice where necessary from the Monitoring Officer and/or Section 151 Officer.

D.20 Chief Officers are responsible for ensuring that all amounts due to the Council are factually correct, accurately recorded, collected promptly and in the most efficient way, as agreed with the Section 151 Officer. As a general principle, income shall be collected at the time of the transaction whenever possible, to optimise cash flow and to minimise administrative costs.

D.21 Where income cannot be collected immediately, the Chief Officer shall ensure that a debtor's account is raised in accordance with procedures defined by the Section 151 Officer.

D.22 The Section 151 Officer may agree such arrangements as he may deem to be appropriate for the devolving of debt recording and collection to Chief Officers and their staff, subject to assurance of adequate and effective information and control. Page 235 142

D.23 Chief Officers have a responsibility to assist with the collection of debts which they have originated, by providing any further information requested by the debtor, and in pursuing the matter on the Council's behalf as requested by the Section 151 Officer. The Section 151 Officer may meanwhile charge back the amount of any disputed debt, against the budget to which it relates.

D.24 Those Chief Officers to whom the task of debt collection has been devolved, together with the Monitoring Officer and/or Section 151 Officer will take all necessary steps to obtain recovery of the debts

D.25 Once raised, no debt may be cancelled except by full payment, or by its formal writing off by the Section 151 Officer, or by resolution of the Executive, which will receive regular reports of amounts written off using delegated powers, and those requiring specific approval. A credit note to reduce a debt can only be issued to correct a factual inaccuracy or administrative error in the calculation and/or billing of the original debt.

D.26 The Section 151 Officer will, submit regular reports to the Executive about the overall position on collection of the Council's debts. Chief Officers and other managers will provide the Section 151 Officer, with any information required for this.

Expenditure

Creditors Payments

D.27 Chief Officers are responsible for ensuring that no financial liability shall knowingly be incurred by or on behalf of the Council by any person unless it is incurred by way of one or more of the following: • a statutory obligation or Court Order • a formally documented contract entered into in accordance with Financial Regulation, Section E • an agreement to purchase goods, works or services for cash disbursed from an imprest established for the purpose in accordance with Financial Regulation, Section D • a treasury management operation in accordance with Financial Regulation, Section C • a loan or grant of financial assistance in accordance with Financial Regulation, Section F • a Minute of the Council agreeing the amount of the liability and the identity of the person to whom the Council is liable • an official order issued on behalf of the Council in accordance with this Financial Regulation.

D.28 Expenditure may be incurred on the Council’s behalf where, but only where, each of the following conditions is satisfied: • it is reasonably incurred in furtherance of a statutory obligation or agreed policy of the Council • it is charged to the proper head of account in the proper accounting period

Page 236 143 • it is in accordance with the approved revenue budget or capital programme for the relevant accounting period or is chargeable to a head of account which is properly recoverable from other sources or which is properly rechargeable to other heads of account within the approved revenue budget or capital programme • any condition imposed by the Council when approving the relevant budget or programme has been fulfilled • it is authorised by the relevant Budget Holder or another officer acting with his/her authority • any external approval required to incur or finance such expenditure has been obtained in writing • it complies in all respects with these Financial Regulations.

D.29 Chief Officers should ensure that every payment of monies by or on behalf of the Council shall be made, in accordance with arrangements approved by the Section 151 Officer, by a person who is duly authorised in writing to make such a payment. The method of payment shall be the first of those listed below whichever is the practicable method of payment in each instance. • electronic transfer from the Council’s account to the payee’s account • non-negotiable cheque drawn on the Council’s account and payable to the payee only • cheque drawn on the Council’s account and payable to cash • cash disbursement from a designated cash imprest.

In each instance payment shall be made only where there is adequate evidence that the amount is due from the Council to the payee and, in each instance where payment is made by cash, only in exchange for adequate evidence that the payee has acknowledged receipt of payment.

Payments to Employees and Councillors

D.30 The Section 151 Officer is responsible for payments of salaries and wages to all staff, including payments for overtime, and for payments of allowances to Councillors.

D.31 The Section 151 Officer may assume the validity for payment of any payroll claim or form which bears the certification of an officer authorised by the Chief Officer involved; or any electronic file of payroll data authorised for payment by the Chief Officer or his nominee(s) in accordance with procedures agreed by the Section 151 Officer.

D.32 With regard to staff claims for travel and subsistence (which must be paid through the payroll system for taxation and national insurance requirements), the Chief Officer has responsibility for ensuring compliance of claims with Council policy, and for ensuring that the most cost effective use of travel arrangements is achieved.

D.33 Chief Officers and their staff are responsible for ensuring that all items subject to taxation or national insurance are submitted to the Section 151 Officer for payment via the payroll system. Any failure to comply with this requirement may subsequently give rise to a financial penalty or charge by the government agency involved, and this cost may be charged to the budget of the Department concerned. Page 237 144

D.34 Each Chief Officer is responsible for ensuring that all taxable benefits enjoyed by individual employees are notified to the Section 151 Officer, so that all such benefits can be included on the annual statement issued to each employee by the Section 151 Officer for inclusion in their self assessment personal tax returns.

D.35 The Section 151 Officer has the over-riding responsibility to pay employees securely and accurately, to maintain appropriate records and to ensure that a proper allocation of those costs, deductions and related employer's contributions and payments is provided for updating the Council's financial information system records.

D.36 Chief Officers should ensure that no Member or employee of the Council shall seek or accept any form of remuneration or other benefit, either from the Council or from any other person or body, in connection with the performance of their official duties or by virtue of their position with the Council, except for: • their proper remuneration as provided for by Financial Regulation D • other remuneration or benefits necessarily incidental to the performance of Council duties • gifts and hospitality received in the course of their official duties, provided that such gifts and hospitality are:

(a) of a nature and value such that they could not reasonably be perceived as an inducement of any kind, and (b) are fully and promptly declared in a record held for the purpose by the relevant Chief Officer.

Taxation

D.37 The Section 151 Officer is responsible for ensuring that appropriate advice is available to Chief Officers on all taxation issues that affect the authority, having regard to guidance issued by appropriate bodies and relevant/applicable legislation.

D.38 The Section 151 Officer is responsible for ensuring that the authority’s tax records are maintained and that all tax payments are made, tax credits received, and tax returns submitted by their due date as appropriate.

Page 238 145 FINANCIAL REGULATION E – PROCUREMENT AND CONTRACTS

Why is it important? All public procurement of goods and/or services should be based on value for money which is crucial to the wider objective of using resources effectively in the delivery of public services. It is essential therefore that purchasers develop clear strategies for continuing improvement in the acquisition of goods and service and minimise risk through the use of contracts. Sound practice for the pursuit of value for money will contribute to the competitiveness of suppliers, contractors and services providers.

Sections Reference

Compliance with the rules E.2 Estimating the value of the procurement E.9 Tenders above EU Consolidated Procurement Directives 2 threshold values Exemption from competition E.15 Waiver of a Financial Regulation E.18 Invitation to Tender E.19 Use of pre-tendered Framework Contracts E.23 Advertisement of tenders E.24 Receipt, Custody and Opening of tenders E.25 Errors or Defects E.29 Evaluation of tenders and quotations E.31 Debriefing suppliers E.37 Retention of records E.38 Contracts to be in writing E.41 Engaging consultants E.61 Health and Safety E.62 Post contract monitoring and evaluation E.66 Procurement procedure table E.68

PROCUREMENT

Compliance with the Rules

E.1 These guidelines provide an overview of the minimum requirements within which all public procurement are to be conducted. They are intended to be fully consistent with the UK’s EU and internal obligations. Financial Regulations promote good practice and public accountability and deter corruption. Following the rules is the best defence against allegations that a purchase has been made incorrectly or fraudulently.

E.2 Every arrangement entered into by or on behalf of the Council for the supply to the Council of goods, works or services shall comply with this Financial Regulation and with all relevant Government regulations and EU directives.

E.3 Every officer authorising or recommending a procurement arrangement shall first be satisfied that all arrangements shall, as far as is reasonably practicable, both secure and demonstrate good value for money for the Council through fair and open competition. All procurement must be undertaken in a professional ethical manner ensuring the highest standards of openness, integrity, transparency, probity and accountability.

Page 239 146 E.4 All procurements shall be placed by official order in accordance with E.68 or in another form approved by the Section 151 Officer. Official orders must not be raised for any personal or private purchases, nor must personal or private use be made of the authority’s contracts.

E.5 Every officer and Member has a responsibility to declare any links or personal interests which they may have with suppliers and/or contractors if they are engaged in contractual or purchasing decisions on behalf of the Council. It is important for everyone involved in spending public money to demonstrate that they do not benefit personally from decisions that they make, (or to which they contribute), and to avoid any situation which might be regarded as compromising.

E.6 All procurements with a total value in excess of £30,000 will be placed on the Contracts Register which will be held by the Corporate Procurement Officer and made public.

E.7 In the event of any question arising as to whether the requirements of this Financial Regulation are being observed the question shall, if not otherwise disposed of, be referred to an arbitrator chosen by the Council's Strategic Manager (Resources).

E.8 No procurement shall be entered into unless there is adequate budgetary provision to meet payments falling to be met in any period for which a budget has been set and any longer term commitments are fully provided for in the Council’s strategic financial plan.

Estimating the Value of the Procurement

E.9 For the purposes of these Financial Regulations, and for no other purpose, every procurement shall be assigned to one of the following categories according its estimated value:

(a) Minor procurement – not exceeding £15,000 in value. (b) Intermediate procurement – exceeding £15,000 but not exceeding £30,000 in value. (c) Intermediate procurement – exceeding £30,000 but not exceeding £75,000 in value. (d) Major procurement – exceeding £75,000 but not exceeding £125,000. (e) Major procurement – exceeding £125,000.

E.10 The value of the procurement shall be estimated by a competent person. It shall be calculated with reference either to a particular clearly defined project taking into account whole life costs or, in all other circumstances, to all procurement of a similar nature. In estimating the value of the procurement it is expressly prohibited to sub- divide or split the procurement into smaller units or orders to avoid the regulations or to divide the work between two or more suppliers or contractors to avoid the regulations.

E.11 If at any time during the procurement process it becomes apparent that it has been assigned to the wrong value category, such parts of the procurement process as have already been completed shall not be invalidated, but all subsequent parts of the process shall be conducted in accordance with the corrected value category, unless the value exceeds the EU Consolidated Procurement Directives Thresholds in which case the procurement must be re-entered in accordance with the EU Consolidated Procurement Directives. Page 240 147

Tenders above EU Consolidated Procurement Directives Threshold Values

E.12 All supplies, services or works having an estimated value exceeding the values stipulated in the EU Consolidated Procurement Directives shall be undertaken strictly in accordance with the requirements of the legislation. Official Journal of the European Union (OJEU) limits are regularly reviewed and officers should refer to current guidance to ensure compliance. Thresholds as at 1 January 2010 are as follows: • Goods £156,442 • Services £156,442 • Works £3,927,260

E.13 All public notices for such procurements must be in the prescribed form and appear in the OJEU. Placement of additional local and or national notices advertising the contract must only be made after the date of despatch to OJEU and must contain no more information than the notice placed in OJEU.

E.14 Notification of the intention to place an OJEU notice must be given to the Corporate Procurement Officer and advice sought prior to the despatch of the notice. These rules take precedence over all Council regulations and UK national regulations and carry potentially heavy penalties for non compliance.

Exemption from Competition

E.15 Except as provided for in this Financial Regulation, no procurement shall be entered into unless it is entered into as a result of a competitive process appropriate its value. The exemptions, which are set out in the list below, must recorded on Allerdale Borough Council’s official Exemption Form (available on the Intranet) and retained by the Corporate Procurement Officer (Exemption Form is not required for [f] and [g]):

(a) procurement from an in-house supplier provided it demonstrated value for money (b) procurement is of such a specialised nature that the goods, services or works can only be obtained from one particular supplier (c) purchases at auction provided the person bidding is satisfied that the cost of the purchase is reasonable compared to other alternative methods of purchase (d) emergencies where there has been an unavoidable administrative delay or in cases of genuine emergencies, such as unforeseen events, where applying the rules are likely to cause danger to life or property. (e) The goods, services or works constitutes an extension of an existing contract in accordance with Financial Regulation E.47 (f) procurement from a framework contract in accordance Financial Regulation E23 (g) Procurement having a value of less than £5,000, subject to the officer authorising such procurement being satisfied that it represents reasonable value for money

Page 241 148 (h) Services in respect of temporary agency or seconded staff, where the appropriate recruitment or selection process applicable at the time of engagement has been followed to justify the selection and the appropriate authorisation obtained.

E.16 No exemptions can be used if EU Consolidated Procurement Directives apply, except in accordance with Financial Regulation E.23 where the contract has been awarded in accordance with the EU Directives. E.17 Where an exemption is sought and approved the award of the procurement shall proceed, on such terms as are determined as representing reasonable value for money, as set out in Financial Regulation E.68.

Waiver of a Financial Regulation

E.18 Where complying with Financial Regulations in a particular situation might conflict with the achievement of value for money or the principles of Best Value or the best interests of the Council, advice shall be sought from the Section 151 Officer following which the Chief Executive, Deputy Chief Executive or Strategic Manager will, if he or she considers necessary and appropriate, seek formal approval from the Council for a specific waiver of the Financial Regulations, or an amendment thereto.

Invitation to Tender

E.19 The competitive process shall, as far as practicable, demonstrably ensure that the procurement represents the best value for money available from willing suppliers with the necessary financial standing, technical capacity and ability to fulfil the arrangement.

E.20 Whenever tenders are invited, all prospective suppliers shall be supplied with all information necessary to enable them to submit an informed, competitive, complete and valid tender in sufficient time. Identical information shall be supplied at the same time to every prospective supplier. Any query raised by suppliers during the competitive process must be made anonymous and copied along with the appropriate response to all potential suppliers.

Invitations to tender and quotations shall be conducted in accordance with Regulation E68. The Councils ‘Tender Conditions’ must be included in every tender document issued. The Councils official tender envelope must also be included (available from Democratic Services) in which suppliers must return their tenders. The envelope must be marked with the name of the issuing department, the title of the tender and the return date and time.

E.21 Where not precluded by European Directives or competition regulations, approved lists may be maintained of suppliers who have expressed a general willingness to enter into and demonstrate a general competence to fulfil procurement arrangements of a specified nature and value.

E.22 The procuring officer or body shall ensure that the number of comparative prices obtained or, as the case may be, the number and identity of willing and suitable suppliers invited to submit tenders are such as to give a reasonable expectation of a competitive response. The number of tenders anticipated to be received shall be not less than four including, where applicable, the in-house proposal. If the number of willing and suitable suppliers is less than four all willing and suitable suppliers shall be invited to submit tenders. Page 242 149

Use of Pre-Tendered Framework Contracts

E.23 Where the Council identifies a suitable Framework Contract(s) that has been competitively tendered and awarded by central or local government or other public sector agencies, the Council may benefit from using such contract without entering into a separate procurement, provided:

• the framework is compliant with the EU Consolidated Procurement Directives

• the framework provides best value for money

• the framework was awarded to include the Council for use of that framework contract

• where more than one supplier is identified by the buying organisation a competitive exercise is conducted between the suitable suppliers

Examples of such framework contracts include those awarded by; another local authority, the Office of Government Commerce (OGC) Buying Solutions or Cumbria County Councils ‘Cumbria Supplies’. Any such arrangement must be approved for use by the Corporate Procurement Officer.

Advertisement of Tenders

E.24 Other than for minor procurement and where approved lists are maintained, the procurement shall, if appropriate, be advertised. Notice of the procurement must be in appropriate media to ensure equality of opportunity for potential suppliers to compete if they choose. Notices must; describe the nature of the procurement, date to respond to the advert, return address and contact details of the appropriate officer. The Corporate Procurement Officer must be notified with the details of the advertisement prior to it being placed.

Receipt, Custody and Opening of Tenders

E.25 Officers shall arrange for tenders to be returned and held in accordance with Financial Regulation E.68. Prior to the tender documents being issued to suppliers Democratic Services Section must be notified of; subject of the tender, return date, estimated value and expected tenders.

E.26 Tenders received must only be opened after expiry of the closing date as notified to bidders. All tenders must be opened together and recorded in the presence of a witness or witnesses. Any opening prior to the return deadline will render the tender invalid. Any electronic copies of the tenders must only be received after the return deadline has elapsed or included within the hard copy tenders received from suppliers.

E.27 Officers involved in the opening, recording and witnessing of the tenders must play no part in the preparation of the specification or selection of prospective bidders and will not play any part in evaluating tenders or selecting the successful supplier.

Page 243 150 E.28 Receipt, custody and opening of the tenders shall be conducted strictly in accordance with Regulation E.68. Errors or Defects

E.29 All tenders received shall be scrutinised to ensure that each has been properly completed and submitted wholly in accordance with the instructions issued to potential suppliers. Where any error or defect is found, the scrutinising officer or body shall determine whether correction of the error or making good the defect would give or could reasonably be perceived as giving an unfair advantage to the party responsible for the error or defect or would in any other way compromise the integrity of the competitive process.

E.30 Where it is considered that the integrity of the competitive process would not be and could not reasonably be perceived as being thereby compromised, the relevant party shall be offered the opportunity of correcting the error or making good the defect. In any other circumstances the relevant party shall be informed of the error or defect and shall be offered the option of withdrawing the tender or standing by it. A tender which, following any permitted correction of errors or making good of defects, does not comply in some material respect with the instructions issued to potential suppliers shall be deemed invalid and not considered further.

Evaluation of tenders and quotations

E.31 All valid tenders received or all potential sources of supply shall be evaluated on a common basis which clearly demonstrates the relative merits of each in terms of both cost and effectiveness in meeting the Council’s specified requirements. The method of evaluation shall have been determined in advance and shall have been notified to potential suppliers. The basis for acceptance and award of the tenders must be made clear in the tender documentation issued to suppliers.

E.32 The award shall primarily be made on the basis of best value for money that includes a robust assessment of cost and quality. Other relevant award criteria may be included such as; compliance with the specification, previous experience, delivery, relevant environmental considerations, relevant health and safety issues, how the supplier contributes to the community plan, approach to risk management and any other relevant criteria. Award criteria must not include; non-commercial considerations, matters which are anti-competitive, and where applicable must be compliant with the European Procurement Directives. For procurements having an estimated value above EU threshold values, the award criteria shall be the ‘most economically advantageous tender’. A list will identify factors in decreasing order of importance and the relative weightings applicable to each.

E.33 The Council is not obliged to accept the lowest, or any tender, but will generally seek the award on the basis of best value for money. Care should be taken to evaluate the whole life cost of goods, services or works rather than unit price.

E.34 The successful supplier must have the necessary financial standing, technical capacity and ability to fulfil all the requirements of the arrangement.

E.35 The award of the procurement will be conducted in accordance with Regulation E.68.

Page 244 151 E.36 Any procurement previously advertised in OJEU will, prior to any award being made upon the evaluation of the bids, have a 10-day standstill period during which unsuccessful suppliers shall be debriefed on the intended outcome and appraised of the evaluation results (whilst retaining the confidentiality of competitors). If formal objections to the intended award are raised in this 10-day period the Corporate Procurement Officer must be consulted and procedures in line with current EU legislation followed.

Debriefing suppliers

E.37 Unsuccessful suppliers will be offered the opportunity to be debriefed on their submission. Feedback to suppliers shall be conducted in accordance with the requirements of the Freedom of Information Act.

Retention of records

E.38 Records must be retained in line with the Councils Corporate Document Retention Schedule.

E.39 The Council shall fulfil its obligations under the Freedom of Information Act in respect of any application for information in relation to procurement and contracts.

E.40 The Corporate Procurement Officer, or such other officer nominated by the Monitoring Officer, shall be responsible for collecting, collating and submitting the annual statistical return on procurement activity subject to EU Rules required by the Department of Community and Local Government. Strategic Managers shall upon request of the nominated officer provide the details of any information necessary to complete these returns.

Contracts

E.41 All procurements having an estimated total value of £30,000 and above as determined in accordance with Financial Regulation E10, and any other case where a Strategic Manager, Deputy Chief Executive or Chief Executive so decides, shall be subject to a contract in writing. Every such contract to be entered into on behalf of the Council shall seek the formal advice and approval of the Strategic Manager (Resources), or his or her nominated representative. All contracts and procurements with a total value in excess of £30,000 will be placed on the Contracts Register which will be held by the Corporate Procurement Officer and made public. Contract documents must be retained by Legal Services Section.

E.42 Every contract in writing entered into on behalf of the Council shall be signed by the appropriate Strategic Manager, the Deputy Chief Executive or Chief Executive or his or her nominated representative. The officer responsible for securing signature of the contract must ensure that the person signing for the other contracting party has authority to bind it. Contracts shall be made under seal where the Strategic Manager (Resources) considers it is necessary to do so.

E.43 The precise form of contract shall be such as the officer entering into the agreement on the Council’s behalf deems appropriate, having sought such legal and other specialist advice as may be desirable in any particular instance or for any particular class of contract.

Page 245 152 E.44 All contract terms and conditions must be finalised before the supply, service or works begins, except in exceptional circumstances, and then only with the written consent of the appropriate Strategic Manager, Deputy Chief Executive or Chief Executive.

E.45 Every contract shall, having proper regard to its nature and value, adequately define the rights and obligations of all parties to the agreement and protect the Council against any undue cost, loss or other risk arising from the agreement.

E.46 Every such contract, where applicable and appropriate, shall detail;

a) The supplies, services or works, including appropriate technical specification(s); b) The price to be paid in Great British Pounds with a statement of any discounts or other deductions; c) Payment terms including; if the price is a fixed price or method of indexation in relation to annual price fluctuation. d) The time(s) within which the contract is to be performed/undertaken; e) Minimum appropriate insurance(s) to be held by the contractor at the commencement of the contract and on each subsequent anniversary; f) Clauses(s) for the way in which any arbitration is to proceed under the contract; g) A clause prohibiting the contractor from transferring, assigning (directly or indirectly) to any person whatsoever, any portion of the contract without the prior written permission of the Council, or from subletting any portion of the contract without such permission other than may be customary in the trade concerned; h) Provision for liquidated damages; i) A clause stating the level of retention and the period for which the amount shall be held. j) That all goods, materials and workmanship must be at least to the standard specified having regard to the relevant European, British or equivalent body, and must otherwise be fit for purpose; k) A clause empowering the Council to cancel the contract and to recover from the contractor the amount of any loss resulting from such cancellation, if the contractor shall have offered or given or agreed to give any person any gift, consideration or any kind of inducement or reward for doing or forbearing to do or to have done any action in relation to obtaining or execution of the contract with the Council; l) A clause empowering the Council to cancel the contract and recover from the contractor the amount of any loss resulting from such cancellation if the contractor or any person employed by him/her or acting on his behalf shall have committed any offence under the Prevention of Corruption Acts 1889 to 1916, or shall have given any fee or reward, the receipt of which is an offence under Section 117(2) of the Local Government Act 1972. m) A clause that the contractor will comply with the provisions of: - The Sex Discrimination Act 1975, the Race Relations Act 1976 and Race Relations (Amendment) Act 2000, the Disability Discrimination Act 1995 and any amendments or re-enactment of those Acts and any Codes of Practice issued under those Acts; All obligations of the Council under the Human Rights legislations; All restrictions and requirements of the Council under Data Protection legislations;

Page 246 153 All restrictions and requirements under the Freedom of Information Act; and The Health and Safety at Work etc Act 1974 and any other legislation made there under or relevant to the health and safety of employees. The Construction Design and Management Regulations 1995 and any amendments to it. Of all obligations of the council in relation to the Proceeds of Crime Law 2008, incorporating the Money Laundering Regulations 2009 (revision).

E.47 A contract for supplies, services or works shall only be extended where the contract terms and conditions expressly provide for an option for extension, unless otherwise approved by the Monitoring Officer. Any such extension shall only be considered where the contract has been successful in demonstrating;

Such extension does not breach Financial Regulation E.12 Such extension will deliver best value for money Performance requirements were met or exceeded A demonstration of continuous improvement or innovative service delivery

E.48 Where the contract does not stipulate a method of indexation in relation to annual price fluctuation advice should be sought from the Section 151 Officer prior to the inclusion of an indexation clause.

E.49 The Chief Officers must ensure that adequate and effective systems and procedures are operated for arranging and managing contracts having regard to the advice and guidance from the Section 151 Officer on financial aspects; and also including the proper evaluation of contractors’ financial standing, technical capacity and competence.

E.50 Except as agreed by the Council, no officer may raise money by securing any legal charge or claim upon the buildings, property or any other asset or interest of the Council. Any contract or legal agreement involving a charge upon assets or property, (of the Council or a contractor), must be forwarded to the Strategic Manager (Resources) for approval and signature on behalf of the Council.

E.51 Except for the Section 151 Officer, (or unless specifically authorised by him/her), no officer shall enter into any agreement or contract involving the borrowing of funds or credit, (including leasing arrangements), or the investment of Council monies; or the authorising of any direct debit to be charged against the Council’s bank accounts. (It should be noted that leasing contracts are potentially treated as borrowing and so require clearance from the Section 151 Officer).

E.52 The Section 151 Officer shall be notified of all contracts for building works for new premises, alterations or extensions to existing premises, lease or tenancy agreements, so that insurance cover and suitable VAT arrangements may, if appropriate, be implemented.

E.53 Purchasers cannot enter into contracts with other parts of the same legal entity, such as in-house service providers, (through arrangements such as Service Level Agreements which may have all the hallmarks of contracts other than the normal provisions for the enforcement of a contract).

E.54 Interim payments to contractors must state the period between the payments and invoices must be validated prior to payment.

Page 247 154 Routine purchasing of goods and services

E.55 Where an order is placed on behalf of another department to which any part of the cost is to be charged, the officer placing such an order must advise the relevant Budget Holder of the cost involved and obtain confirmation that budgetary provision is available (and that the charge will be accepted) before placing the order.

E.56 Official Allerdale Borough Council orders shall be issued through the e-marketplace paperless ordering system involving the preparation, authorisation and transmission of electronic data as approved by the Section 151 Officer, operated using adequate and effective controls and including a unique identifying reference number in respect of each separate order. Only where this is not possible orders may be issued on stationery approved by the Section 151 Officer and shall be on pre-numbered official stationery to provide an identifying reference (unique within the Council’s organisation) as agreed or as otherwise authorised by the Section 151 Officer. Electronic tendering systems involving the preparation, authorisation and transmission of electronic data, may be implemented if adequate and effective controls are operated, but only after prior approval of the Section 151 Officer, and such systems shall always, include an audit trail and secure electronic folder for the receipt of bids.

E.57 If an employee of the Council shall have a reasonable ground for believing that the requirements of the Financial Regulations are not being observed he or she shall refer to the Councils Whistleblowing Policy for instruction.

E.58 Use of the Internet to place orders electronically shall be in accordance with any overall policy of the Council and will comply with procedures and guidance issued by the Section 151 Officer. All those internal controls applicable to existing ordering processes should also be applied to Internet orders, including restriction to authorised signatory officers, retention of documentary evidence (including screen prints), the quoting of official order numbers and using only reputable suppliers, as well as dealing only with firms which guarantee their website as secure with encryption.

E.59 The use of personal credit cards to make purchases on behalf of the Council (with subsequent reimbursement to the individual) is not regarded as desirable although it is permissible where such use is authorised by the responsible Chief Officer. Such use is entirely at the risk of the individual involved although credit card firms may provide cover against loss in specific circumstances which they define.

E.60 The use of purchasing cards and corporate credit cards requested on behalf of and issued to Allerdale Borough Council is permissible in specific instances agreed by the Section 151 Officer and subject to financial procedures and guidance which he/she will provide, and subject to any overall policy of the Council on this aspect.

Engaging consultants

E.61 The appointment of consultants to manage a contract or to carry out any other work on the Council’s behalf shall comply with these Financial Regulations as regards both procurement procedures and contracting arrangements. Copies of these Financial Regulations shall be made available to consultants and they shall be required, as a condition of their engagement, to comply with the Regulations as if they were employees of the Council in relation to all matters for which they are responsible. The appointment of consultants does not relieve the responsibility for delivering the service in question. Consultants shall be required to provide evidence Page 248 155 of and maintain indemnity policies to the satisfaction of the relevant Strategic Manager, Deputy Chief Executive or the Chief Executive for the periods specified in the respective agreement. Guidance on procurement of consultants is available on the intranet in the document store. Health and Safety

E.62 Every contract for works shall include terms to the effect that the contractor or supplier and any sub-contractor shall in carrying out the contract comply with all relevant health and safety legislation.

E.63 Contractors shall be responsible for the observance of Financial Regulation E.62 by sub-contractors employed in the carrying out of any works contract for the Council and shall if required notify the Council of the names and addresses of all such sub- contractors.

E.64 Before contracts are entered into arrangements to monitor health and safety legislation compliance should be determined. These arrangements should be consistently monitored and reviewed throughout the life of the contract. The Council shall be entitled to require proof of compliance with any relevant health and safety legislation.

E.65 Officers must refer to the Councils Health and Safety policy and procedures prior to entering into any agreement with a supplier or contractor.

Post contract monitoring and evaluation

E.66 Every contract must have a nominated responsible officer for that contract whom, during the life of the contract, must regularly monitor the contract in respect of:

(a) performance (b) compliance with specification and contract (c) cost and financial forecast (d) user satisfaction and risk management (e) any health and safety legislation compliance

E.67 At the conclusion of every contract for a major procurement arrangement over £75,000, the Chief Officer responsible shall report within two months of the completion of the contract, to the Executive on the outcome of the contract, including an overall opinion on the cost-effectiveness of the arrangement and explanation of any material variations to the original specification or price.

An interim report shall be submitted at once if, at any time from the agreement to the guide price to the end of the contract, it appears that the total amount paid by the Council will exceed, or the total amount to be received by the Council will fall short of, the initial contract sum by more than 10% or £20,000 whichever is the lesser.

Page 249 156 E.68 Estimated value Invitation method Return to Who may award Method of award Minor procurement No minimum number of quotations Quotations/Tenders shall be returned to Budget Holder or by another Purchase order £0 - £5000 required. Must represent value for and held in the custody of the relevant officer acting with the Budget money. Budget Holder. These can be in a hard Holder’s express authority. copy or electronic format. Minor procurement Minimum of four comparative prices Quotations/Tenders shall be returned to Service Manager Purchase order £5000 - £15,000 obtained from suppliers’ published and held in the custody of relevant information or verbal quotations. Service Manager. These can be in a Details must be recorded and hard copy or electronic format. retained. Intermediate Formal sealed written tenders shall Hard copy tenders shall be returned to Service Manager in Purchase order Procurement be obtained (minimum of four) and held in the custody of Democratic consultation with Strategic £15,000 - £30,000 Services Section. Manager.

Opening witnessing and recording of tenders by an officer who has not and will not be involved in the procurement. Intermediate Formal sealed written tenders shall Hard copy tenders shall be returned to Strategic Manager or his/her Purchase order and ProcurementPage 250 be obtained (minimum of four) and held in the custody of Democratic nominated representative Contract in accordance £30,000 - £75,000 Services Section. with Financial Regulations E41 - E67 Opening witnessing and recording of tenders by an officer who has not and will not be involved in the procurement. Please remember that your procurement will require involving Scrutiny if the total value exceeds £75,000.00. If in doubt contact Scrutiny for advice. Major Procurement Formal sealed written tenders shall Hard copy tenders shall be returned to Chief Executive or Deputy Purchase order and £75,000 - £125,000 be obtained (minimum of four) and held in the custody of Democratic Chief Executive or Strategic Contract in accordance Services Section. Managers in consultation with Financial Regulations with relevant Executive E41 – E67 Opening witnessing and recording of Members. tenders by an officer, who has not and will not be involved in the procurement, Notification given to the and the relevant Executive Member (or Corporate Procurement another nominated Member Officer representative). Major Procurement Formal sealed written tenders shall Hard copy tenders shall be returned to The award should be made Purchase order and Exceeding £125,000 be obtained (minimum of four) and held in the custody of Democratic by the Executive after Contract in accordance Services Section. consideration of a report with Financial Regulations explaining the evaluation of E41 - E67 Opening witnessing and recording of bids. tenders by an officer, who has not and will not be involved in the procurement, Notification given to the and the Chief Executive or Director. Councils Procurement Board 157 FINANCIAL REGULATION F – EXTERNAL ARRANGEMENTS

Why is this important? Increasingly, local authorities will be measured by what they achieve in partnership with other bodies, by mobilising investment, bidding for funds, championing the needs of their areas and harnessing the energies of local people and community organisations. External funding is potentially an important source of income but funding conditions must be carefully considered to ensure they are compatible with the aims and objectives of the authority. Work for third parties can involve some risks which should be minimised and such work must be intra vires.

Introduction

F.1 The Council provides a distinctive leadership role for the community and brings together the contributions of the various stakeholders. It must also act to achieve the promotion or improvement of the economic or social or environmental well-being of its area.

Partnerships

F.2 The Executive is responsible for approving delegations, including frameworks for partnerships. The Executive is the focus for forming partnerships with other local public, private, voluntary and community sector organisations to address local needs.

F.3 The Executive can delegate functions, including those relating to partnerships, to staff as set out in the authority’s constitution. Where functions are delegated, the Executive remains accountable for them to the Full Council.

F.4 Councillors and staff will represent the authority on partnership and external bodies in accordance with the scheme of delegation.

F.5 The Monitoring Officer is responsible for promoting and maintaining the same high standards of conduct with regard to financial administration in partnerships that apply throughout the authority.

F.6 The Section 151 Officer must ensure that the accounting arrangements to be adopted relating to partnerships and joint ventures are satisfactory, and he/she will provide such guidance to Chief Officers and Councillors as may be required on this aspect. The Chief Executive and other Chief Officers must also consider the overall corporate governance arrangements and legal issues, (having regard to advice from the Deputy Chief Executive and/or the Strategic Manager (Resources), when arranging contracts with external bodies, and in liaison with the Strategic Manager (Resources) they must ensure that the risks have been fully appraised before agreements are entered into with external bodies.

F.7 Chief Officers are responsible for ensuring that appropriate approvals are obtained from the Council or the Executive, (as applicable in any particular case), before any negotiations are concluded in relation to work with external bodies.

Page 251 External funding

F.8 The Section 151 Officer is responsible for ensuring that all funding notified by external bodies is received and properly recorded in the authority’s accounts, and Chief Officers are responsible for providing him/her with all necessary information to enable this to be achieved.

F.9 The Council may be involved in attracting inward investment into the Borough in two main ways: a) other organisations seeking support from the Council for bids which they wish to submit to sources of external funding, b) the Council itself may be able to access external funding by submitting bids for financial assistance towards projects it wishes to pursue.

F.10 With regard to bids by other organisations, it is essential to ensure that the Council’s resources are not committed to pursue the priorities of another body, (which may not coincide with the Council’s aims and priorities), unless the matter has first been properly evaluated, considered and approved.

F.11 For any project which it is proposed the Council itself should pursue, an agreed strategy and proper evaluation will be prepared for approval, to ensure that it is integrated with the Council’s aims and priorities and revenue and capital budgets.

Work for third parties

F.12 The Executive is responsible for approving the contractual arrangements for any work for third parties or external bodies.

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Appendix A Financial Management

Financial Management Standards

Why is this important?

1.01 All staff and Councillors have a duty to abide by the highest standards of probity in dealing with financial issues. This is facilitated by ensuring everyone is clear about the standards to which they are working and the controls that are in place to ensure that these standards are met.

Key Controls

1.02 The key controls and control objectives for financial management standards are: (a) their promotion throughout the authority (b) a monitoring system to review compliance with financial standards, and regular comparisons of performance indicators and benchmark standards that are reported to the Executive and Full Council.

Responsibilities of the Section 151 Officer

1.03 To ensure the proper administration of the financial affairs of the authority.

1.04 To set the financial management standards and to monitor compliance with them.

1.05 To ensure proper professional practices are adhered to and to act as head of profession in relation to the standards, performance and development of finance staff throughout the authority.

1.06 To advise on the key strategic controls necessary to secure sound financial management.

1.07 To ensure that financial information is available to enable accurate and timely monitoring and reporting of comparisons of national and local financial performance indicators.

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1.08 To promote the financial management standards set by the Section 151 Officer in their departments and to monitor adherence to the standards and practices, liaising as necessary with the Section 151 Officer.

1.09 To promote sound financial practices in relation to the standards, performance and development of staff in their departments.

Accounting Policies

Why is this important?

1.10 The Section 151 Officer is responsible for the preparation of the authority’s Statement of Accounts, in accordance with proper practices as set out in the format required by the Code of Practice on Local Authority Accounting in the United Kingdom: A Statement of Recommended Practice (CIPFA/LASAAC), for each financial year ending 31 March.

Key Controls

1.11 The key controls for accounting policies are: (a) systems of internal control are in place to ensure that financial transactions are lawful (b) suitable accounting policies are selected and applied consistently (c) proper accounting records are maintained (d) financial statements are prepared which fairly present the financial position of the authority and its expenditure and income.

Responsibilities of the Section 151 Officer

1.12 To select suitable accounting policies and to ensure that they are applied consistently. The accounting policies are set out in the Statement of Accounts, which is prepared at 31 March each year, and covers such items as:

(a) separate accounts for capital and revenue transactions (b) the basis on which debtors and creditors at year end are included in the accounts (c) details on substantial provisions and reserves (d) fixed assets (e) depreciation (f) work in progress (g) stocks and stores (h) deferred charges (i) accounting for value added tax (j) Government grants (k) leasing 160

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Responsibilities of Chief Officers

1.13 To adhere to the accounting policies and guidelines approved by the Section 151 Officer.

Accounting Records And Returns

Why is this important?

1.14 Maintaining proper accounting records is one of the ways in which the authority discharges its responsibility for stewardship of public resources. The authority has a statutory responsibility to prepare its annual accounts to fairly present its operations during the year. These are subject to external audit. This audit provides assurance that the accounts are prepared properly, that proper accounting practices have been followed and that quality arrangements have been made for securing economy, efficiency and effectiveness in the use of the authority’s resources.

Key Controls

1.15 The key controls for accounting records and returns are:

(a) all Executive Members, Finance staff and Budget Holders operate within the required accounting standards and timetables (b) all the authority’s transactions, material commitments and contracts and other essential accounting information are recorded completely, accurately and on a timely basis (c) procedures are in place to enable accounting records to be reconstituted in the event of systems failure (d) reconciliation procedures are carried out to ensure transactions are correctly recorded (e) prime documents are retained in accordance with legislative and other requirements.

Responsibilities of the Section 151 Officer

1.16 To determine the accounting procedures and records for the authority. Where these are maintained outside the finance department, the Section 151 Officer should be consulted by the Chief Officer concerned.

1.17 To arrange for the compilation of all accounts and accounting records under his or her direction.

1.18 To comply with, so far as considered practical, the following principles when allocating accounting duties: (a) separating the duties of providing information about sums due to or from the authority and calculating, checking and recording these sums from the duty of collecting or disbursing them

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Page 255 (b) employees with the duty of examining or checking the accounts of cash transactions must not themselves be engaged in these transactions. 1.19 To make proper arrangements for the audit of the authority’s accounts in accordance with the Accounts and Audit Regulations 2006.

1.20 To ensure that all claims for funds including grants are made by the due date.

1.21 To prepare and publish the audited accounts of the authority for each financial year, in accordance with the statutory timetable and with the requirement for the Full Council, or delegated body, to approve the statement of accounts before 30 June.

Responsibilities of Chief Officers

1.22 To consult and obtain the approval of the Section 151 Officer before making any changes to accounting records and procedures.

1.23 To comply with the principles outlined in paragraph 1.18 when allocating accounting duties.

1.24 To maintain adequate records to provide a management trail leading from the source of income/expenditure through to the accounting statements and vice versa.

The Annual Statement Of Accounts

Why is this important?

1.25 The authority has a statutory responsibility to prepare its own accounts to present fairly its operations during the year. The Full Council, or delegated body, is responsible for approving the statutory annual statement of accounts.

Key Controls

1.26 The key controls for the annual statement of accounts are:

(a) the authority is required to make arrangements for the proper administration of its financial affairs and to secure that one of its staff has the responsibility for the administration of these affairs

(b) the authority’s Statement of Accounts must be prepared in accordance with proper practices as set out in the Code of Practice on Local Authority Accounting in the United Kingdom: A Statement of Recommended Practice (the SORP) (CIPFA/LASAAC).

Responsibilities of the Section 151 Officer

1.27 To select suitable accounting policies and to apply them consistently.

1.28 To make judgments and estimates that are reasonable and prudent.

1.29 To comply with the SORP.

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1.30 To sign and date the statement of accounts, stating that it presents fairly the financial position of the authority at the accounting date and its income and expenditure for the year ended 31 March.

1.31 To draw up the timetable for final accounts preparation and to advise staff and external auditors accordingly.

Responsibilities of Chief Officers

1.32 To comply with accounting guidance provided by the Section 151 Officer and to supply the Section 151 Officer with information when required.

Authorisation / Certifying Officers

Why is this important?

1.33 For effective financial control, it is essential that certification is not a ‘rubber stamping’ exercise, either literally or figuratively, but that the officer certifying the transaction exercises judgement in deciding whether or not to certify.

Key Controls

1.34 The key controls for authorisation/certification are:

(a) all certification is carried out by an authorised Budget Holder or designated deputy

(b) the certifying officer should be sufficiently acquainted with the transaction or there is sufficient system documentation to support the degree of responsibility which certification infers

(c) where the Budget Holder and deputy are not available, certification lies with the Chief Officer who is responsible for delegating the certification to the Budget Holder or such higher authority that has been approved in the delegation statement.

Responsibilities of the Section 151 Officer

1.35 To ensure that complete statements of delegated Budget Holders and deputies are received from all Chief Officers.

1.36 To ensure that a record is maintained containing a specimen signature of all appropriate staff.

Responsibilities of Chief Officers

1.37 To furnish the Section 151 Officer with the lists of all designated Budget Holders and deputies, and provide a record of the specimen signatures of those staff.

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Page 257 1.38 To comply with the guidance issued by the Section 151 Officer in relation to the certification process.

1.39 To ensure that procedure documentation exists for every financial system under his/her control and is updated as and when required.

Purchasing Of Financial Systems

Why is this important?

1.40 Within the Modern Local Government Framework, it is possible that financial systems may be designed, operated and managed externally. Where this occurs, it is imperative that all systems incorporate appropriate routine control features as a safeguard against material error, fraud, waste or other loss.

Key Controls

1.41 The key controls for purchasing financial systems are:

(a) to ensure all financial systems are consistent with the Code of Practice on Local Authority Accounting in the United Kingdom (b) to ensure all financial systems are compatible with the authority’s main accounting system (c) procedures are in place to enable service specifications to comply with minimum standards as specified by the Section 151 Officer.

Responsibilities of the Section 151 Officer

1.42 To confirm that the service specification(s) complies with the requirements of the Code of Practice on Local Authority Accounting in the United Kingdom.

1.43 To ensure that all non-corporate financial systems are compatible to the authority’s main accounting system.

1.44 To ensure that service specifications incorporate appropriate system controls to provide adequate separation of duties, authorisation procedures, internal checks, control totals and reconciliation procedures.

Responsibilities of Chief Officers

1.45 To consult and obtain approval of the Section 151 Officer with regard to the drafting and changing of all financial system specifications.

1.46 To arrange for the operation of each system to be monitored to ensure that the controls, as detailed in the system specification, operate satisfactorily.

1.47 In such instances where it is not considered practical to operate the system controls as specified, to make arrangements for more intensive monitoring.

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Page 258 1.48 To ensure that adequate resources exist to allow financial systems to be operated as specified.

Retention Of Records And Documents

Why is this important?

1.49 Maintaining proper procedures for the retention of records and documents is essential to comply with Government statute and to safeguard the authority’s assets. In addition, records and documents need to be retained to allow access by the District Auditor, Inspectors and other appropriate bodies.

Key Controls

1.50 The key controls for retention of records and documents are: (a) appropriate minimum retention periods are documented and such documentation is available to all staff (b) there is a Council policy as to the method of preservation (c) all methods of preservation are consistent with Council policy.

Responsibilities of the Section 151 Officer and Chief Officers

1.51 To ensure the preservation and archiving of all records and documents is in accordance with Council policy.

Scheme Of Virement

Why is this important?

1.52 The scheme of virement is intended to enable the Executive, Chief Officers and their staff to manage budgets with a degree of flexibility within the overall policy framework determined by the Full Council, and therefore to optimise the use of resources.

Key Controls

1.53 The key controls for the scheme of virement are:

(a) it is administered by the Section 151 Officer within guidelines set by the Full Council. Any variation from this scheme requires the approval of the Full Council (b) the overall budget is agreed by the Executive and approved by the Full Council. Chief Officers and Budget Holders are therefore authorised to incur expenditure in accordance with the estimates that make up the budget. The rules below cover virement; that is, switching resources between approved estimates or heads of expenditure. For the purposes of this scheme, a budget head is considered to be a line in the approved estimates.

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Page 259 (c) virement does not create additional overall budget liability. Chief Officers are expected to exercise their discretion in managing their budgets responsibly and prudently. For example, they should aim to avoid supporting recurring expenditure from one-off sources of savings or additional income, or creating future commitments, including full-year effects of decisions made part way through a year, for which they have not identified future resources. Chief Officers must plan to fund such commitments from within their own budgets.

Responsibilities of the Section 151 Officer

1.54 To issue instructions and guidelines to all Budget Holders in order that the scheme of virement can operate within the policies set by Full Council.

1.55 To issue documentation, for completion by Budget Holders/Chief Officers, for the satisfactory management control of the virement process.

1.56 To prepare jointly with the Chief Officers a report to the Executive as required by the policy approved by Full Council.

1.57 To ensure that budget holders operate within the scheme instructions and guidelines in undertaking virement.

Responsibilities of Chief Officers

1.58 Chief Officers may exercise virement on budgets under their control in accordance with the limits specified within the Scheme of Virement, following notification to the Section 151 Officer in accordance with the Scheme of Virement and in consultation with the appropriate Executive Member(s) under arrangements agreed by the Full Council and subject to the conditions in paragraphs 1.59 to 1.61 below.

1.59 Virement that is likely to impact on the level of service activity of another Chief Officer should be implemented only after agreement with the relevant Chief Officer.

1.60 No virement relating to a specific financial year should be made after 31 March in that year.

1.61 Where an approved budget is a lump sum budget or contingency intended for allocation during the year, its allocation will not be treated as a virement, provided that:

(a) the amount is used in accordance with the purposes for which it has been established.

(b) the Executive has approved the basis and the terms, including financial limits, on which it will be allocated. Individual allocations in excess of the financial limits should be reported to the Executive.

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Page 260 Supplementary Estimates

Why is this important?

1.62 Supplementary estimates are a constituent element of financial management in order to meet unforeseen expenditure or income shortfall.

Key Controls

1.63 The key control for supplementary estimates is: (a) approval of all supplementary estimates is performed by Full Council.

Responsibilities of the Section 151 Officer/Chief Officers

1.64 To ensure that prior to reports being submitted to the Executive/Full Council, rigourous procedures have been enforced to establish that all alternative avenues of resources have been investigated.

Trust Funds

Why is this important?

1.65 The operation of trust funds enables the authority to manage and administer funds on behalf of third parties.

Key Controls

1.66 The key controls for trust funds are: (a) management of trust funds is performed to the same standard and integrity as all other financial systems operated within the authority (b) procedures are in place for the adequate management and administration of trust funds.

Responsibilities of the Section 151 Officer

1.67 To ensure secure and reliable accounting systems and procedures are operated.

1.68 To ensure financial transactions are subject to a regular audit.

Responsibilities of Chief Officers

1.69 To notify the Section 151 Officer of the establishment of any trust for which the authority is to act as trustee or otherwise manage.

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Page 261 Appendix B Financial Planning

Performance Plans Why is this important?

2.01 Each local authority has a statutory responsibility to publish various performance plans, including corporate improvement plans, crime reduction strategies, community care plans, etc. The purpose of performance plans is to explain overall priorities and objectives, current performance, and proposals for further improvement. The authority is required to publish annually the corporate improvement plan (CIP), which summarises its performance and position in relation to best value. The CIP is a key element in the authority’s programme of engaging with the public. External audit is required to report on whether the authority has complied with statutory requirements in respect of the preparation and publication of the CIP.

Key Controls

2.02 The key controls for performance plans are: (a) to ensure that all relevant plans are produced and that they are consistent (b) to produce plans in accordance with statutory requirements (c) to meet the timetables set (d) to ensure that all performance information is accurate, complete and up to date (e) to provide improvement targets which are meaningful, realistic and challenging.

Responsibilities of the Section 151 Officer

2.03 To advise and supply the financial information that needs to be included in performance plans in accordance with statutory requirements and agreed timetables.

2.04 To contribute to the development of corporate and service targets and objectives and performance information.

2.05 To ensure that systems are in place to measure financial activity and collect accurate information for use as performance indicators.

Responsibilities of Chief Officers

2.06 To ensure that performance information is monitored sufficiently and frequently to allow corrective action to be taken if targets are not likely to be met.

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Page 262 2.07 To contribute to the development of performance plans in line with statutory requirements. 2.08 To contribute to the development of corporate and service targets and objectives and performance information.

Budgeting

Format of the Budget

Why is this important?

2.09 The format of the budget determines the level of detail to which financial control and management will be exercised. The format shapes how the rules around virement operate, the operation of cash limits and sets the level at which funds may be reallocated within budgets.

Key Controls

2.10 The key controls for the budget format are: (a) the format complies with all legal requirements (b) the format complies with CIPFA’s Best Value Accounting – Code of Practice (c) the format reflects the accountabilities of service delivery.

Responsibilities of the Section 151 Officer

2.11 To advise the Executive on the format of the budget that is approved by the Full Council.

Responsibilities of Chief Officers

2.12 To comply with accounting guidance provided by the Section 151 Officer.

Revenue Budget Preparation, Monitoring and Control

Why is this important?

2.13 Budget management ensures that once the budget has been approved by the Full Council, resources allocated are used for their intended purposes and are properly accounted for. Budgetary control is a continuous process, enabling the authority to review and adjust its budget targets during the financial year. It also provides the mechanism that calls to account managers responsible for defined elements of the budget.

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Page 263 2.14 By continuously identifying and explaining variances against budgetary targets, the authority can identify changes in trends and resource requirements at the earliest opportunity. The authority itself operates within an annual cash limit, approved when setting the overall budget. To ensure that the authority in total does not overspend, each service is required to manage its own expenditure within the cash-limited budget allocated to it.

Key Controls

2.15 The key controls for managing and controlling the revenue budget are: (a) Budget Holders should be responsible only for income and expenditure that they can influence (b) there is a nominated Budget Holder for each cost centre heading (c) Budget Holders accept accountability for their budgets and the level of service to be delivered and understand their financial responsibilities (d) Budget Holders follow an approved certification process for all expenditure (e) income and expenditure are properly recorded and accounted for (f) performance levels/levels of service are monitored in conjunction with the budget and necessary action is taken to align service outputs and budget.

Responsibilities of the Section 151 Officer

2.16 To establish an appropriate framework of budgetary management and control that ensures that: (a) budget management is exercised within annual cash limits unless the Full Council agrees otherwise (b) each Chief Officer has available timely information on receipts and payments on each budget which is sufficiently detailed to enable managers to fulfil their budgetary responsibilities (c) expenditure is committed only against an approved budget head (d) all staff responsible for committing expenditure comply with relevant guidance, and the Financial Regulations (e) each cost centre has a single named manager, determined by the relevant Chief Officer. As a general principle, budget responsibility should be aligned as closely as possible to the decision-making processes that commits expenditure (f) significant variances from approved budgets are investigated and reported by Budget Holders regularly.

2.17 To administer the authority’s scheme of virement. (See also Appendix A; 1.52).

2.18 To prepare and submit reports to the Executive on the authority’s projected income and expenditure compared with the budget on a regular basis in consultation with Chief Officers.

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Page 264 2.19 To ensure that a monitoring process is in place to review performance levels/levels of service in conjunction with the budget and that it is operating effectively.

Responsibilities of Chief Officers

2.20 To maintain budgetary control within their department, in adherence to the principles in 2.16 and to ensure that all income and expenditure is properly recorded and accounted for.

2.21 To ensure that an accountable Budget Holder is identified for each item of income and expenditure under the control of the Chief Officer (grouped together in a series of cost centres). As a general principle, budget responsibility should be aligned as closely as possible to the decision-making that commits expenditure.

2.22 To ensure prior approval by the Full Council or Executive, (as appropriate), for new proposals, of whatever amount, that: (a) create financial commitments in future years

(b) change existing policies, initiate new policies or cease existing policies

2.23 To submit reports to the Executive and to the Full Council, in consultation with the Section 151 Officer, where a Chief Officer is unable to balance expenditure and resources within existing approved budgets under his or her control.

2.24 A report on new proposals should explain the full financial implications, following consultation with the Section 151 Officer. Unless the Full Council or Executive has agreed otherwise, Chief Officers must plan to contain the financial implications of such proposals within their cash limit.

2.25 To ensure compliance with the scheme of virement. (See also Appendix A, 1.52).

2.26 To agree with the relevant Chief Officer where it appears that a budget proposal, including a virement proposal, may impact materially on another service area or Chief Officer’s level of service activity.

Budgets and Medium-Term Planning

Why is this important?

2.27 The authority is a complex organisation responsible for delivering a wide variety of services. It needs to plan effectively and to develop systems to enable scarce resources to be allocated in accordance with carefully weighed priorities. The budget is the financial expression of the authority’s plans and policies.

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Page 265 2.28 The revenue budget must be constructed so as to ensure that resource allocation properly reflects the service plans and priorities of the Full Council. Budgets (spending plans) are needed so that the authority can plan, authorise, monitor and control the way money is allocated and spent. It is illegal for an authority to budget for a deficit.

2.29 Medium-term planning (or a three- to five-year planning system) involves a planning cycle in which managers develop their own plans. As each year passes, another future year will be added to the medium-term plan. This ensures that the authority is always preparing for events in advance.

Key Controls

2.30 The key controls for budgets and medium-term planning are: (a) specific budget approval for all expenditure (b) Budget Holders are consulted in the preparation of the budgets for which they will be held responsible and accept accountability within delegations set by the Executive for their budgets and the level of service to be delivered (c) a monitoring process is in place to review regularly the effectiveness and operation of budget preparation and to ensure that any corrective action is taken.

Responsibilities of the Section 151 Officer

2.31 To prepare and submit reports on budget prospects for the Executive, including resource constraints set by the Government. Reports should take account of medium- term prospects, where appropriate.

2.32 To determine the detailed form of revenue estimates and the methods for their preparation, consistent with the budget approved by the Full Council, and after consultation with the Executive and Chief Officers.

2.33 To prepare and submit reports to the Executive on the aggregate spending plans of the Council and on the resources available to fund them, identifying, where appropriate, the implications for the level of Council Tax to be levied.

2.34 To advise on the medium-term implications of spending decisions.

2.35 To encourage the best use of resources and value for money by working with Chief Officers to identify opportunities to improve economy, efficiency and effectiveness, and by encouraging good practice in conducting financial appraisals of development or savings options, and in developing financial aspects of service planning.

2.36 To advise the Full Council on Executive proposals in accordance with his or her responsibilities under Section 151 of the Local Government Act 1972.

2.37 To prepare estimates of income and expenditure, in consultation with the Chief Officers, to be submitted to the Executive.

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Page 266 2.38 To submit budgets that are consistent with any relevant cash limits, with the authority’s annual budget cycle and with guidelines issued by the Executive. The format should be prescribed by the Section 151 Officer in accordance with the Full Council’s general directions.

2.39 In consultation with the Chief Officers and in accordance with the laid-down guidance and timetable, to prepare detailed draft revenue budgets for consideration by the Executive.

Responsibilities of Chief Officers

2.40 To integrate financial and budget plans into service planning, so that budget plans can be supported by financial and non-financial performance measures.

2.41 To submit to the Section 151 Officer, in accordance with the laid-down guidance and timetable, detailed draft revenue budgets.

2.42 When drawing up draft budget requirements, to have regard to: (a) spending patterns and pressures revealed through the budget monitoring process (b) legal requirements (c) policy requirements as defined by the Full Council in the approved policy framework (d) initiatives already under way (e) resolve constraints as advised by the Section 151 Officer.

Resource Allocation

Why is this important?

2.43 A mismatch often exists between available resources and required resources. A common scenario is that available resources are not adequate to fulfil need/desire. It is therefore imperative that needs/desires are carefully prioritised and that resources are fairly allocated, in order to fulfil all legal responsibilities. Resources may include staff, money, equipment, goods and materials.

Key Controls

2.44 The key controls for resource allocation are: (a) resources are acquired in accordance with the law and using an approved authorisation process (b) resources are used only for the purpose intended, to achieve the approved policies and objectives, and are properly accounted for (c) resources are securely held for use when required (d) resources are used with the minimum level of waste, inefficiency or loss for other reasons. 173

Page 267

Responsibilities of the Section 151 Officer

2.45 To advise on methods available for the funding of resources, such as grants from central government and borrowing requirements.

2.46 To assist in the allocation of resources to Budget Holders.

Responsibilities of Chief Officers

2.47 To work within budget limits and to utilise resources allocated, and further allocate resources, in the most efficient, effective and economic way.

2.48 To identify opportunities to minimise or eliminate resource requirements or consumption without having a detrimental effect on service delivery.

Capital Programmes

Why is this important?

2.49 Capital expenditure involves acquiring or enhancing fixed assets with a long-term value to the authority, such as land, buildings, and major items of plant, equipment or vehicles. Capital assets shape the way services are delivered in the long term and create financial commitments for the future in the form of financing costs and revenue running costs.

2.50 The Government places strict controls on the financing capacity of the authority. This means that capital expenditure should form part of an investment strategy and should be carefully prioritised in order to maximise the benefit of scarce resources.

Key Controls

2.51 The key controls for capital programmes are: (a) specific approval by the Full Council for the programme of capital expenditure (b) expenditure on capital schemes is subject to the approved capital programme (c) a scheme and estimate, including project plan, progress targets and associated revenue expenditure is prepared for each capital project, for approval by the Executive (d) approval by the Executive where capital schemes are to be financed from the revenue budget, up to a specified amount, and subject to the approval of the Full Council, where the expenditure exceeds this amount (e) proposals for improvements and alterations to buildings must be approved by the appropriate Chief Officer (f) schedules for individual schemes within the overall budget approved by the Full Council must be submitted to the Executive for approval (for example, minor works), or under other arrangements approved by the Full Council 174

Page 268 (g) the development and implementation of asset management plans (h) accountability for each proposal is accepted by a named manager (i) monitoring of progress in conjunction with expenditure and comparison with approved budget.

Responsibilities of the Section 151 Officer

2.52 To prepare draft capital estimates jointly with Chief Officers and the Head of Paid Service and to report them to the Executive for approval. The Executive will make recommendations on the capital estimates and on any associated financing requirements to the Full Council. Executive member approval is required where a Chief Officer proposes to bid for or exercise additional borrowing approval not anticipated in the capital programme. This is because the extra borrowing may create future commitments to financing costs.

2.53 To issue guidance concerning capital schemes and controls. The definition of ‘capital’ will be determined by the Section 151 Officer, having regard to government regulations and accounting requirements. 2.54 To prepare, in consultation with Chief Officers, quarterly reports reviewing the capital programme provisions for the services including estimated final costs of schemes in the approved capital programme for submission to the Executive.

Responsibilities of Chief Officers

2.55 To comply with guidance concerning capital schemes and controls issued by the Section 151 Officer.

2.56 To ensure that all capital proposals have undergone a project appraisal.

2.57 To ensure that adequate records are maintained for all capital contracts.

2.58 To proceed with projects only when there is adequate provision in the capital programme and with the agreement of the Section 151 Officer, where required.

2.59 To ensure that spending remains within the overall cash limit, that individual contracts are not overspent, by monitoring the contract and taking appropriate corrective action where significant variations from the approved contract are forecast. Where corrective action cannot be taken, Chief Officers should prepare and submit a report to the Executive explaining the circumstances.

2.60 To ensure that credit arrangements, such as leasing agreements, are not entered into without the prior approval of the Section 151 Officer and, if applicable, approval of the scheme through the capital programme.

2.61 To consult with the Section 151 Officer and to seek Executive approval where the Chief Officer proposes to bid for supplementary credit approvals to be issued by Government departments to support expenditure that has not been included in the current year’s capital programme.

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Page 269

Maintenance of Reserves

Why is this important?

2.62 The local authority must decide the level of general reserves it wishes to maintain before it can decide the level of council tax. Reserves are maintained as a matter of prudence. They enable the authority to provide for unexpected events and thereby protect it from overspending, should such events occur. Reserves for specific purposes may also be maintained, such as the purchase or renewal of capital items.

Key Controls

2.63 The key controls for maintenance of reserves are: (a) to maintain reserves in accordance with the Code of Practice on Local Authority Accounting in the United Kingdom: A Statement of Recommended Practice (CIPFA/LASAAC) and agreed accounting policies (b) for each reserve established, the purpose, usage and basis of transactions should be clearly identified (c) authorisation of expenditure from reserves by the appropriate Chief Officer in consultation with the Section 151 Officer.

Responsibilities of the Section 151 Officer

2.64 To advise the Executive and/or the Full Council on prudent levels of reserves for the authority, and to take account of the advice of the external auditor in this matter.

Responsibilities of Chief Officers

2.65 To ensure that resources are used only for the purposes for which they were intended.

2.66 To authorise expenditure from reserves for which they are responsible.

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Page 270 Appendix C Risk Management and Control of Resources

Risk Management

Why is this important?

3.01 All organisations, whether private or public sector, face risks to people, property and continued operations. Risk is the chance or possibility of loss, damage, injury or failure to achieve objectives caused by an unwanted or uncertain action or event. Risk management is the planned and systematic approach to the identification, evaluation and control of risk. Its objectives are to secure the assets of the organisation and to ensure the continued financial and organisational well-being of the organisation. In essence it is, therefore, an integral part of good business practice. Risk management is concerned with evaluating the measures an organisation already has in place to manage identified risks and then recommending the action the organisation needs to take to control these risks effectively. Risk management is central to coping with changes and initiatives, and given the level and pace of change of local government, it is essential that an effective risk management system is implemented. Good risk management supports the achievement of objectives and has a vital role to play in the running of the organisation.

3.02 It is the overall responsibility of the Executive to approve the authority’s risk management strategy, and to promote a culture of risk management awareness throughout the authority.

Key Controls

3.03 The key controls for risk management are: (a) procedures are in place to identify, assess, prevent or contain material known risks, and these procedures are operating effectively throughout the authority and involves all those associated with planning and delivering services (b) a monitoring process is in place to review regularly the effectiveness of risk reduction strategies and the operation of these controls. The risk management process should be conducted on a continuing basis (c) managers know that they are responsible for managing relevant risks and are provided with relevant information on risk management initiatives (d) provision is made for losses that might result from the risks that remain (e) procedures are in place to investigate claims within required timescales 177

Page 271 (f) acceptable levels of risk are determined and insured against where appropriate (f) the authority has identified business continuity plans for implementation in the event of disaster that results in significant loss or damage to its resources.

Responsibilities of the Deputy Chief Executive

3.04 To prepare and promote in association with other Chief Officers the authority’s risk management strategy and to oversee its implementation across the authority.

3.05 To develop risk management controls in conjunction with other Chief Officers.

3.06 To identify and communicate risk management issues to departments.

3.07 To assist departments in undertaking risk management activity through training/support.

3.08 To ensure effective liaison with the Health and Safety Officer.

3.09 To support departments in their liaison with external partners when identifying and managing risk.

3.10 To work with service departments to identify insurance issues.

3.11 To administer the risk management fund.

3.12 To monitor and review the effectiveness of the risk management strategy.

3.13 To effect corporate insurance cover, through external insurance and internal funding, and to negotiate all claims in consultation with other officers, where necessary.

3.14 To include all appropriate employees of the authority in a suitable fidelity guarantee insurance.

Responsibilities of Chief Officers

3.15 To take an active role in the development of the corporate risk management strategy having regard to advice from the Deputy Chief Executive and other specialist officers (e.g. Health and Safety).

3.16 To ensure that the strategy is implemented effectively across its services, and that there are regular and ongoing reviews of risk within their departments.

3.17 To ensure that specific risk issues that can be managed within existing service budgets are so, and to refer others to the Deputy Chief Executive.

3.18 To include risk management responsibilities in the annual appraisal and development process.

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Page 272 3.19 To ensure that risk management is embedded in the Council’s decision making process in order that financial, legal, human resource, environmental and corporate policy implications of strategic and operational decisions are considered.

3.20 To consult the Deputy Chief Executive on the terms of any indemnity that the authority is requested to give.

3.21 To notify the Deputy Chief Executive promptly of all new risks, properties or vehicles that require insurance and of any alterations affecting existing insurances.

3.22 To notify the Deputy Chief Executive immediately of any loss, liability or damage that may lead to a claim against the authority, together with any information or explanation required by the Deputy Chief Executive or the authority’s insurers.

3.23 To ensure that employees, or anyone covered by the authority’s insurances, do not admit liability or make any offer to pay compensation that may prejudice the assessment of liability in respect of any insurance claim.

3.24 To assist in the monitoring and review of the effectiveness of the risk management strategy.

Internal Controls

Why is this important?

3.25 The authority is complex and beyond the direct control of individuals. It therefore requires internal controls to manage and monitor progress towards strategic objectives.

3.26 The authority has statutory obligations, and, therefore, requires internal controls to identify, meet and monitor compliance with these obligations.

3.27 The authority faces a wide range of financial, administrative and commercial risks, both from internal and external factors, which threaten the achievement of its objectives. Internal controls are necessary to manage these risks.

3.28 The system of internal controls is established in order to provide measurable achievement of: (a) efficient and effective operations (b) reliable financial information and reporting (c) compliance with laws and regulations (d) risk management.

Key Controls

3.29 The key controls and control objectives for internal control systems are:

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Page 273 (a) key controls should be reviewed on a regular basis and the authority should be satisfied that the systems of internal control are operating effectively

(b) managerial control systems, including defining policies, setting objectives and plans, monitoring financial and other performance and taking appropriate anticipatory and remedial action. The key objective of these systems is to promote ownership of the control environment by defining roles and responsibilities

(c) financial and operational control systems and procedures, which include physical safeguards for assets, segregation of duties, authorisation and approval procedures and information systems

(d) an effective internal audit function that is properly resourced. It should operate in accordance with the principles contained in the Auditing Practices Board’s auditing guideline Guidance for Internal Auditors, CIPFA’s Code of Practice for Internal Audit in Local Government in the United Kingdom and with any other statutory obligations and regulations.

Responsibilities of the Section 151 Officer

3.30 To assist the authority to put in place an appropriate control environment and effective internal controls which provide reasonable assurance of effective and efficient operations, financial stewardship, probity and compliance with laws and regulations.

Responsibilities of Chief Officers

3.31 To manage processes to check that established controls are being adhered to and to evaluate their adequacy and effectiveness and to take all necessary action to secure this on an ongoing basis, in order to be confident in the proper use of resources, achievement of objectives and management of risks.

3.32 To review existing controls in the light of changes affecting the authority and to establish and implement new ones in line with guidance from the Section 151 Officer. Chief Officers should also be responsible for removing controls that are unnecessary or not cost or risk effective, for example, because of duplication.

3.33 To ensure staff have a clear understanding of the consequences of lack of control.

Audit Requirements

Internal Audit

Why is this important?

3.34 The requirement for an internal audit function for local authorities is implied by Section 151 of the Local Government Act 1972, which requires that authorities “make arrangements for the proper administration of their financial affairs”.

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Page 274 The Accounts and Audit Regulations 2006, Regulation 6, more specifically require that a “relevant body shall maintain an adequate and effective system of internal control of their accounting records and control systems”.

3.35 Accordingly, internal audit is an independent and objective appraisal function established by the authority for reviewing the system of internal control. It examines, evaluates and reports on the adequacy of internal control as a contribution to the proper, economic, efficient and effective use of resources.

Key Controls

3.36 The key controls for internal audit are: (a) that it is independent in its planning and operation (b) the head of internal audit has direct access to the Head of Paid Service, all levels of management and directly to elected Councillors (c) the internal auditors comply with the Auditing Practices Board’s guideline Guidance for Internal Auditors, as interpreted by CIPFA’s Code of Practice for Internal Audit in Local Government in the United Kingdom.

Responsibilities of the Deputy Chief Executive

3.37 To ensure that internal auditors have the authority to:

(a) access authority premises at reasonable times

(b) access all assets, records, documents, correspondence and control systems

(d) require any employee of the authority to account for cash, stores or any other authority asset under his or her control

(e) access records belonging to third parties, such as contractors, when required

(f) directly access the Chief Executive, the Executive and Audit Committee.

3.38 Prior to approval by the Audit Committee, agree the strategic and annual audit plans prepared by the head of internal audit, which take account of the characteristics and relative risks of the activities involved.

3.39 To ensure that effective procedures are in place to investigate promptly any fraud or irregularity.

Responsibilities of Chief Officers

3.40 To ensure that internal auditors are given access at all reasonable times to premises, personnel, documents and assets that the auditors consider necessary for the purposes of their work. 181

Page 275 3.41 To ensure that auditors are provided with any information and explanations that they seek in the course of their work.

3.42 To consider and respond promptly to recommendations in audit reports.

3.43 To ensure that any agreed actions arising from audit recommendations are carried out in a timely and efficient fashion.

3.44 To notify the Deputy Chief Executive immediately of any suspected fraud, theft, irregularity, improper use or misappropriation of the authority’s property or resources. Pending investigation and reporting, the Chief Officer should take all necessary steps to prevent further loss and to secure records and documentation against removal or alteration.

3.45 To ensure that new systems for maintaining financial records, or records of assets, or changes to such systems, are discussed with and agreed by the head of Internal Audit prior to implementation.

External Audit

Why is this important?

3.46 The Local Government Finance Act 1982 set up the Audit Commission, which is responsible for appointing external auditors to each local authority in England and Wales. The external auditor has rights of access to all documents and information necessary for audit purposes.

3.47 The basic duties of the external auditor are defined in the Audit Commission Act 1998 and the Local Government Act 1999. In particular, section 4 of the 1998 Act requires the Audit Commission to prepare a code of audit practice, which external auditors follow when carrying out their duties. The code of audit practice issued in March 2010 sets out the auditor’s objectives to review and report upon:

(a) the financial aspects of the audited body’s corporate governance arrangements (b) the audited body’s financial statements (c) aspects of the audited body’s arrangements to manage its performance, including the preparation and publication of specified performance information and compliance in respect of the preparation and publication of the CIP.

3.48 The authority’s accounts are scrutinised by external auditors, who must be satisfied that the statement of accounts ‘presents fairly’ the financial position of the authority and its income and expenditure for the year in question and complies with the legal requirements.

Key Controls

3.49 The key controls of external audit are:

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Page 276 (a) external auditors are appointed by the Audit Commission normally for a minimum period of five years. The Audit Commission prepares a code of audit practice, which external auditors follow when carrying out their audits.

Responsibilities of the Strategic Manager (Resources)

3.50 To ensure that external auditors are given access at all reasonable times to premises, personnel, documents and assets that the external auditors consider necessary for the purposes of their work.

3.51 To ensure there is effective liaison between external and internal audit.

3.52 To work with the external auditor and advise the Full Council, Executive and Chief Officers on their responsibilities in relation to external audit.

Responsibilities of Chief Officers

3.53 To ensure that external auditors are given access at all reasonable times to premises, personnel, documents and assets which the external auditors consider necessary for the purposes of their work.

3.54 To ensure that all records and systems are up to date and available for inspection.

Preventing Fraud And Corruption

Why is it this important?

3.55 The authority will not tolerate fraud and corruption in the administration of its responsibilities, whether from inside or outside the authority.

3.56 The authority’s expectation of propriety and accountability is that Councillors and staff at all levels will lead by example in ensuring adherence to legal requirements, rules, procedures and practices.

3.57 The authority also expects that individuals and organisations (eg suppliers, contractors, service providers) with whom it comes into contact will act towards the authority with integrity and without thought or actions involving fraud and corruption.

Key Controls

3.58 The key controls regarding the prevention of financial irregularities are that:

(a) the authority has an effective anti-fraud and anti-corruption policy and maintains a culture that will not tolerate fraud or corruption (b) all Councillors and staff act with integrity and lead by example (c) senior managers are required to deal swiftly and firmly with those who defraud or attempt to defraud the authority or who are corrupt

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Page 277 (d) high standards of conduct are promoted amongst Councillors by the standards committee (e) the maintenance of a register of interests in which any hospitality or gifts accepted must be recorded (f) whistle blowing procedures are in place and operate effectively (g) legislation including the Public Interest Disclosure Act 1998 is adhered to.

Responsibilities of the Director of Strategic Resources

3.59 To develop and maintain an anti-fraud and anti-corruption policy.

3.60 To maintain adequate and effective internal control arrangements.

3.61 To ensure that all suspected irregularities are reported in accordance with the authority’s Theft, Fraud and Corruption Response Plan.

Responsibilities of Chief Officers

3.62 To ensure that all suspected irregularities are reported in accordance with the authority’s Theft, Fraud and Corruption Response Plan.

3.63 To instigate the authority’s disciplinary procedures where the outcome of an audit investigation indicates improper behaviour.

3.64 To ensure that where financial impropriety is discovered, the Monitoring Officer is informed, and where sufficient evidence exists to believe that a criminal offence may have been committed, the police are called in to determine with the Crown Prosecution Service whether any prosecution will take place.

3.65 To maintain a departmental register of interests.

Assets

Why is this important?

3.66 Assets should be properly managed in order to ensure that the Council receives maximum benefit from them. Assets which are not effectively used may be a liability in terms of maintenance and/or depreciating value. It is therefore essential that, a full assessment is carried out annually of their potential and the financial implications of the available options in order to obtain best value.

Key Controls

3.67 The key controls for assets are: (a) assets are acquired or disposed of in accordance with law and for their open market value

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Page 278 (b) there are adequate procedures to acquire or dispose of assets other than at market value (c) records of all assets are maintained, referenced and stored in a secure location (d) there is adequate management of assets.

Responsibilities of the Section 151 Officer

3.68 To obtain the information required for accounting, costing and financial records from each Chief Officer.

3.69 To maintain adequate accounting records of all assets retained, acquired and disposed by the authority.

3.70 To ensure that depreciation is applied in accordance with CIPFA’s Code of Capital Accounting for Local Authorities.

Responsibilities of Chief Officers

3.71 To ensure that all management responsibilities under delegated arrangements are clearly defined.

3.72 To ensure that open market value is determined by the Council’s Valuer or by another professional valuer appointed for the purchase or disposal of an asset and where the value is at a variance to this the Council procedures are implemented. (see C.29)

3.73 To ensure that all deeds and other documents giving evidence of title to or interest in an asset are referenced and stored in such a manner as to be secure against all reasonably foreseeable risks yet readily available for reference as and when required.

3.74 To ensure that when the original documents are removed from their normal place of custody, a record should be made of their whereabouts and of the person responsible for their custody.

3.75 To ensure that assets are in productive use or that they are appreciating in value at little cost in terms of maintenance.

3.76 To ensure that an annual assessment is carried out of all assets in order that they are providing best value for the Council.

3.77 To ensure that the following procedures are implemented in the disposal of assets: • Adequate publicity to ensure all potential purchasers are aware. • Elimination of unsuitable interested parties – i.e. those not able to provide satisfactory evidence of ability to finance the purchase. • Invitation of offers from all suitable interested parties. • Evaluation of offers in accordance with pre-determined criteria and weighting.

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Page 279 3.78 To ensure that the precise method of inviting and receiving bids, (e.g. auction, sealed bid, negotiation), is determined in each instance on the advice of a qualified valuer so as to give the best prospects of a competitive response. Whichever method is chosen, it should be made clear to interested parties at the outset and should be conducted throughout in as even-handed and open manner as is reasonably practicable.

3.79 Where land or buildings are surplus to requirements, a recommendation for sale should be the subject of a joint report by the Chief Officer in consultation with the Section 151 Officer.

Security

Why is this important?

3.80 The authority holds assets in the form of land, property, vehicles, equipment, furniture and other items. It is important that assets are safeguarded and used efficiently in service delivery, and that there are arrangements for the security of both assets and information required for service operations. An up-to-date asset register is a prerequisite for proper fixed asset accounting and sound asset management.

Key Controls

3.81 The key controls for the security of resources such as land, buildings, fixed plant machinery, equipment and software are:

(a) resources are used only for the purposes of the authority and are properly accounted for (b) resources are available for use when required (c) an asset register is maintained for the authority, assets are recorded when they are acquired by the authority and this record is updated as changes occur with respect to the location and condition of the asset (d) title deeds are held in a secure location (e) all staff are aware of their responsibilities with regard to safeguarding the authority’s assets.

Responsibilities of the Section 151 Officer

3.82 To ensure that an asset register is maintained in accordance with good practice for all fixed assets with a value in excess of £10,000. The function of the asset register is to provide the authority with information about fixed assets so that they are:

• safeguarded • used efficiently and effectively • adequately maintained

3.83 To obtain the information required for accounting, costing and financial records from each Chief Officer.

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Page 280 3.84 To ensure that assets are valued in accordance with the Code of Practice on Local Authority Accounting in the United Kingdom: A Statement of Recommended Practice (CIPFA/LASAAC).

3.85 To ensure that depreciation is applied in accordance with CIPFA’s Code of Capital Accounting for Local Authorities.

3.86 To issue guidelines representing best practice for disposal of assets.

Responsibilities of Chief Officers

General

3.87 The appropriate Chief Officer shall maintain a database in a form approved by the Section 151 Officer for all properties, plant and machinery and moveable assets currently owned or used by the authority. Any use of property by a department or establishment other than for direct service delivery should be supported by documentation identifying terms, responsibilities and duration of use.

3.88 To ensure that lessees and other prospective occupiers of council land are not allowed to take possession or enter the land until a lease or agreement, in a form approved by the Chief Officer in consultation with the Section 151 Officer and/or Monitoring Officer, has been established as appropriate.

3.89 To ensure that all title deeds are passed to the appropriate Chief Officer who is responsible for the safe custody of title deeds, who will retain them in a secure location.

3.90 To ensure the proper security of all buildings and other assets under their control.

3.91 To ensure that no authority asset is subject to personal use by an employee without proper authority.

3.92 To ensure the safe custody of vehicles, equipment, furniture, stock, stores and other property belonging to the authority.

3.93 To ensure that assets are identified, their location recorded and that they are appropriately marked and insured.

3.94 To consult the Strategic Manager (Resources) in any case where security is thought to be defective or where it is considered that special security arrangements may be needed.

Inventories

3.95 To make sure that property is only used in the course of the authority’s business, unless the Chief Officer concerned has given permission otherwise.

3.96 To maintain inventories and record an adequate description of furniture, fittings, equipment, plant and machinery above £100 in value. 187

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3.97 To carry out an annual check of all items on the inventory in order to verify location, review condition and to take action in relation to surpluses or deficiencies, annotating the inventory accordingly. Attractive and portable items such as computers, cameras and video recorders should be identified with security markings as belonging to the authority.

Stocks and Stores

3.98 To make arrangements for the care and custody of stocks and stores in the department.

3.99 To ensure stocks are maintained at reasonable levels and are subject to a regular independent physical check. All discrepancies should be investigated and pursued to a satisfactory conclusion.

3.100 To investigate and remove from the authority’s records (ie write off) discrepancies as necessary, or to obtain Executive approval if they are in excess of a predetermined limit.

3.101 To authorize or write off disposal of redundant stocks and equipment. Procedures for disposal of such stocks and equipment should be by competitive quotations or auction, unless, following consultation with the Section 151 Officer, the Executive decides otherwise in a particular case.

3.102 To seek Executive approval to the write-off of redundant stocks and equipment in excess of a predetermined sum.

Intellectual Property

Why is this important?

3.103 Intellectual property is a generic term that includes inventions and writing. If these are created by the employee during the course of employment, then, as a general rule, they belong to the employer, not the employee. Various Acts of Parliament cover different types of intellectual property.

3.104 Certain activities undertaken within the authority may give rise to items that may be patentable, for example, software development. These items are collectively known as intellectual property.

Key Controls

3.105 The key controls of intellectual property are:

(a) in the event that the authority decides to become involved in the commercial exploitation of inventions, the matter should proceed in accordance with the authority’s approved intellectual property procedures.

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Page 282 Responsibilities of the Section 151 Officer

3.106 To develop and disseminate good practice through the authority’s intellectual property procedures.

Responsibilities of Chief Officers

3.107 To ensure that controls are in place to ensure that staff do not carry out private work in Council time and that staff are aware of an employer’s rights with regard to intellectual property.

Confidentiality, Security And Protection Of Information

Why is this important?

3.108 All employees of the Council have a personal responsibility with regard to the protection and confidentiality of information, whether held in manual or computerised records. Information may be sensitive, or privileged, or may possess some intrinsic value, and its disclosure or loss could result in a cost to the Council in some way.

Key Controls

3.109 The key controls for the confidentiality, security and protection of information are:

(a) all staff are aware of their responsibilities with regard to safeguarding the authority’s information, including the requirements of the Data Protection Act and software copyright legislation (b) all staff are aware of their responsibilities with regard to safeguarding the security of the authority’s computer systems, including maintaining restricted access to the information held on them and compliance with the authority’s computer and internet security policies.

Responsibilities of the Chief Officers

3.110 To ensure that all systems, where appropriate, are registered with the Data Protection Registrar.

3.111 To ensure that all employees receive copies of the authority’s Computer Security Code of Practice and E-mail/Internet Use Policy.

3.112 To ensure that all employees of the Council are aware of their responsibilities.

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Page 283 Banking And Treasury Management

Why is this important?

3.113 Many millions of pounds pass through the authority’s books each year. The recognition of this nationally has led to the establishment of codes of practice. These aim to provide assurances that the authority’s money is properly managed in a way that balances risk with return, but with the overriding consideration being given to the security of the authority’s capital sum.

Key Controls

3.114 The key controls of banking and treasury management are:

(a) that the authority’s borrowings and investments comply with the CIPFA Code of Practice on Treasury Management in the Public Services and with the authority’s treasury policy statement and investment strategy.

Responsibilities of Section 151 Officer

3.115 To arrange the borrowing and investments of the authority in such a manner as to comply with the CIPFA Code of Practice on Treasury Management in the Public Services and the authority’s treasury management policy statement and investment strategy.

3.116 To ensure that all investments of money are made in the name of the authority or in the name of nominees approved by the Full Council.

3.117 To effect all borrowings in the name of the authority.

3.118 To act as the authority’s registrar of stocks, bonds and mortgages and to maintain records of all borrowing of money by the authority.

3.119 To report at least four times a year on treasury management activities to the Executive.

3.120 To operate bank accounts as are considered necessary – opening or closing any bank account shall require the approval of the Section 151 Officer.

3.121 To provide employees of the authority with cash imprest accounts to meet minor expenditure on behalf of the authority up to the value of £25, unless there are sound operational reasons for doing otherwise and to prescribe rules for operating these accounts.

3.122 To determine the petty cash limit and to maintain a record of all transactions and petty cash advances made, and periodically to review the arrangements for the safe custody and control of these advances.

3.123 To reimburse imprest holders as often as necessary to restore the imprests, but normally not more than monthly 190

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Responsibilities of Chief Officers

3.124 To follow the instructions on banking issued by the Section 151 Officer.

3.125 To ensure that loans are not made to third parties and that interests are not acquired in companies, joint ventures or other enterprises without the approval of the Full Council, following consultation with the Section 151 Officer.

3.126 To ensure that employees operating an imprest account:

(a) obtain and retain vouchers to support each payment from the imprest account. Where appropriate, an official receipted VAT invoice must be obtained (b) make adequate arrangements for the safe custody of the account (c) produce upon demand by the Section 151 Officer cash and all vouchers to the total value of the imprest amount (d) record transactions promptly (e) reconcile and balance the account at least monthly; reconciliation sheets to be signed and retained by the imprest holder (f) provide the Section 151 Officer with a certificate of the value of the account held at 31 March each year (g) the float is never used to cash personal cheques or to make personal loans and that the only payments into the account are the reimbursement of the float and change relating to purchases where an advance has been made (h) cash payments are only made when justified and that imprests are properly managed (i) on leaving the authority’s employment or otherwise ceasing to be entitled to hold an imprest advance, an employee shall account to the Section 151 Officer for the amount advanced to him or her.

Staffing

Why is this important?

3.127 In order to provide the highest level of service, it is crucial that the authority recruits and retains high calibre, knowledgeable staff, qualified to an appropriate level.

Key Controls

3.128 The key controls for staffing are:

(a) an appropriate staffing strategy and policy exists, in which staffing requirements and budget allocation are matched (b) procedures are in place for forecasting staffing requirements and cost (c) controls are implemented that ensure that staff time is used efficiently and to the benefit of the authority 191

Page 285 (d) checks are undertaken prior to employing new staff to ensure that they are appropriately qualified, experienced and trustworthy.

Responsibilities of the Section 151 Officer

3.129 To ensure that budget provision exists for all existing and new employees.

3.130 To act as an advisor to Chief Officers on areas such as National Insurance and pension contributions, as appropriate.

Responsibilities of Chief Officers

3.131 To produce an annual staffing budget in consultation with the Section 151 Officer and Human Resources.

3.132 To ensure that the staffing budget is an accurate forecast of staffing levels and is equated to an appropriate revenue budget provision.

3.133 To monitor staff activity to ensure adequate control over such costs as sickness, overtime, training and temporary staff.

3.134 To ensure that the staffing budget is not exceeded without due authority and that it is managed to enable the agreed level of service to be provided.

3.135 To ensure that Human Resources and the Section 151 Officer are immediately informed if the staffing budget is likely to be materially over- or underspent.

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Page 286 Appendix D Financial Systems and Procedures

General

Why is this important?

4.01 Departments have many systems and procedures relating to the control of the authority’s assets, including purchasing, costing and management systems. Departments are increasingly reliant on computers for their financial management information. The information must therefore be accurate and the systems and procedures sound and well administered. They should contain controls to ensure that transactions are properly processed and errors detected promptly.

4.02 The Section 151 Officer has a professional responsibility to ensure that the authority’s financial systems are sound and should therefore be notified of any new developments or changes.

Key Controls

4.03 The key controls for systems and procedures are: (a) basic data exists to enable the authority’s objectives, targets, budgets and plans to be formulated (b) performance is communicated to the appropriate managers on an accurate, complete and timely basis (c) early warning is provided of deviations from target, plans and budgets that require management attention (d) operating systems and procedures are secure.

Responsibilities of the Section 151 Officer

4.04 To make arrangements for the proper administration of the authority’s financial affairs, including to: (a) issue advice, guidance and procedures for officers and others acting on the authority’s behalf (b) determine the accounting systems, form of accounts and supporting financial records

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Page 287 (c) establish that arrangements are in place for audit of the authority’s financial affairs (d) approve any new financial systems to be introduced (e) approve any changes to be made to existing financial systems.

Responsibilities of Chief Officers

4.05 To ensure that accounting records are properly maintained and held securely.

4.06 To ensure that vouchers and documents with financial implications are not destroyed, except in accordance with arrangements approved by the Section 151 Officer.

4.07 To ensure that a complete management trail, allowing financial transactions to be traced from the accounting records to the original document, and vice versa, is maintained.

4.08 To incorporate appropriate controls to ensure that, where relevant:

(a) all input is genuine, complete, accurate, timely and not previously processed

(b) all processing is carried out in an accurate, complete and timely manner

4.09 To ensure that the organisational structure provides an appropriate segregation of duties to provide adequate internal controls and to minimise the risk of fraud or other malpractice.

4.10 To ensure there is a documented and tested disaster recovery plan to allow information system processing to resume quickly in the event of an interruption.

4.11 To ensure that systems are documented and staff trained in operations.

4.12 To consult with the Section 151 Officer before changing any existing system or introducing new systems.

4.13 To establish a scheme of delegation identifying staff authorised to act upon the Chief Officer’s behalf in respect of payments, income collection and placing orders, including variations, and showing the limits of their authority.

4.14 To supply lists of authorised staff, with specimen signatures and delegated limits, to the Section 151 Officer, together with any subsequent variations.

4.15 To ensure that effective contingency arrangements, including back-up procedures, exist for computer systems. Wherever possible, back-up information should be securely retained in a fireproof location, preferably off site or at an alternative location within the building.

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Page 288 Income And Expenditure

Income

Why is this important?

4.16 Income can be a vulnerable asset and effective income collection systems are necessary to ensure that all income due is identified, collected, receipted and banked properly. It is preferable to obtain income in advance of supplying goods or services as this improves the authority’s cashflow and also avoids the time and cost of administering debts.

Key Controls

4.17 The key controls for income are: (a) all income due to the authority is identified and charged correctly, in accordance with an approved charging policy, which is regularly reviewed (b) all income is collected from the correct person, at the right time, using the correct procedures and the appropriate stationery (c) all money received by an employee on behalf of the authority is paid without delay to the Section 151 Officer or, as he or she directs, to the authority’s bank or National Giro account, and properly recorded. The responsibility for cash collection should be separated from that: for identifying the amount due for reconciling the amount due to the amount received (d) effective action is taken to pursue non-payment within defined timescales (e) formal approval for debt write-off is obtained (f) appropriate write-off action is taken within defined timescales (g) appropriate accounting adjustments are made following write-off action (h) all appropriate income documents are retained and stored for the defined period in accordance with the document retention schedule (i) money collected and deposited is reconciled to the bank account by a person who is not involved in the collection or banking process. (j) the encashment of personal cheques on behalf of employees or clients is not permitted so not to compromise the Council’s financial position.

Responsibilities of the Section 151 Officer

4.18 To agree arrangements for the collection of all income due to the authority and to approve the procedures, systems and documentation for its collection.

4.19 To order and supply to departments all receipt forms, books or tickets and similar items and to satisfy himself or herself regarding the arrangements for their control.

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Page 289 4.20 To agree the write-off of bad debts up to an approved limit in each case and to refer larger sums to the executive.

4.21 To approve all debts to be written off in consultation with the relevant Chief Officer and to keep a record of all sums written off up to the approved limit and to adhere to the requirements of the Accounts and Audit Regulations 2006.

4.22 To obtain the approval of the Executive in consultation with the relevant Chief Officer for writing off debts in excess of the approved limit.

4.23 To ensure that appropriate accounting adjustments are made following write-off action.

4.24 To ensure monies collected and deposited must be reconciled to the bank accounts on a monthly basis.

Responsibilities of Chief Officers

4.25 To establish a charging policy for the supply of goods or services, including the appropriate charging of VAT, and to review it regularly, in line with corporate policies.

4.26 To separate the responsibility for identifying amounts due and the responsibility for collection, as far as is practicable.

4.27 To establish and initiate appropriate recovery procedures, including legal action where necessary, for debts that are not paid promptly.

4.28 To issue official receipts or to maintain other documentation for income collection.

4.29 To ensure that at least two employees are present when post is opened so that money received by post is properly identified and recorded.

4.30 To hold securely receipts, tickets and other records of income for the appropriate period.

4.31 To lock away all income to safeguard against loss or theft, and to ensure the security of cash handling.

4.32 To ensure cash holdings on premises are kept to a minimum and within specified insurance limits.

4.33 To ensure that keys to safes and similar recepticals are carried on the person of those responsible at all times; loss of any such keys should be reported to the Section 151 Officer as soon as possible.

4.34 To ensure that income is paid fully and promptly into the appropriate authority bank account in the form in which it is received. Appropriate details should be recorded on to paying-in slips to provide an audit trail.

4.35 To ensure income is not used to cash personal cheques or other payments.

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Page 290 4.36 To supply the Section 151 Officer, where appropriate, with details relating to work done, goods supplied, services rendered or other amounts due, to enable the Section 151 Officer to record correctly the sums due to the authority and to ensure accounts are sent out promptly. To do this, Chief Officers should use established performance management systems to monitor recovery of income and flag up areas of concern to the Section 151 Officer. Chief Officers have a responsibility to assist the Section 151 Officer in collecting debts that they have originated, by providing any further information requested by the debtor, and in pursuing the matter on the authority’s behalf.

4.37 To keep a record of every transfer of money between employees of the authority. The receiving officer must sign for the transfer and the transferor must retain a copy.

4.38 To recommend to the Section 151 Officer appropriate debts to be written off and to keep a record of all sums written off up to the approved limit. Once raised, no bona fide debt may be cancelled, except by full payment or by its formal writing off. A credit note to replace a debt can only be issued to correct a factual inaccuracy or administrative error in the calculation and/or billing of the original debt.

4.39 To obtain the approval of the Section 151 Officer when writing off debts in excess of the approved limit, and the approval of the executive where required.

4.40 To notify the Section 151 Officer of outstanding income relating to the previous financial year as soon as possible after 31 March in line with the timetable determined by the Section 151 Officer.

Expenditure

Creditor Payments

Why is this important?

4.41 Public money should be spent with demonstrable probity and in accordance with the authority’s policies. Authorities have a statutory duty to achieve best value in part through economy and efficiency. The authority’s procedures should help to ensure that services obtain value for money from their purchasing arrangements. These procedures should be read in conjunction with the authority’s Financial Regulation Section E on procurement and contracts.

Key Controls

4.42 The key controls for creditor payments are:

(a) all goods and services are ordered only by appropriate persons and are correctly recorded (b) all goods and services shall be ordered using an official Allerdale Borough Council order form as approved by the Section 151 Officer

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Page 291 (c) official orders must be issued for all work, goods or services to be supplied to the authority, except for periodic payments such as rates, petty cash purchases or other exceptions specified by the Section 151 Officer (d) goods and services received are checked to ensure they are in accordance with the order. (e) payments are not made unless goods have been received by the authority to the correct price, quantity and quality standards (f) all payments are made to the correct person, for the correct amount and are properly recorded, regardless of the payment method (g) all appropriate evidence of the transaction and payment documents are retained and stored for the defined period, in accordance with the document retention schedule (h) all expenditure, including VAT, is accurately recorded against the right budget and any exceptions are corrected

(i) in addition, the effect of e-business/e-commerce and electronic purchasing requires that processes are in place to maintain the security and integrity of data for transacting business electronically.

Responsibilities of the Section 151 Officer

4.43 To ensure that all the authority’s financial systems and procedures are sound and properly administered.

4.44 To approve any changes to existing financial systems and to approve any new systems before they are introduced.

4.45 To approve the form of official orders and associated terms and conditions, with each order bearing a unique reference.

4.46 To make payments from the authority’s funds on the Chief Officer’s authorisation that the expenditure has been duly incurred in accordance with these Financial Regulations.

4.47 To make payments, whether or not provision exists within the estimates, where the payment is specifically required by statute or is made under a court order.

4.48 To provide advice and encouragement on making payments by the most economical means.

Responsibilities of Chief Officers

4.49 To ensure that unique pre-numbered official orders are used for all goods and services. Such orders to be issued in the approved form, include an adequate specification of all material aspects of the order, detail the proper heads of accounts to which the liability is to be charged, a purchase price or a reasonable estimate and be authorised by or on behalf of the relevant Budget Holder.

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Page 292 4.50 To ensure that orders are only used for goods and services provided to the department. Individuals must not use official orders to obtain goods or services for their private use.

4.51 To ensure that the authoriser of the order is satisfied that the goods and services ordered are appropriate and needed, that there is adequate budgetary provision and that quotations or tenders have been obtained if necessary.

4.52 To ensure that goods and services are checked on receipt to verify that they are in accordance with the order. This check should, where possible, be carried out by a different officer from the person who authorised the order. Appropriate entries should then be made in inventories or stores records.

4.53 To ensure that payment is not made unless a proper VAT invoice has been received, checked, coded and certified for payment, confirming: (a) receipt of goods or services (b) that the invoice has not previously been paid (c) that expenditure has been properly incurred and is within budget provision (d) that prices and arithmetic are correct and accord with quotations, tenders, contracts or catalogue prices (e) correct accounting treatment of tax (f) that the invoice is correctly coded (g) that discounts have been taken where available (h) that appropriate entries are made in accounting records.

4.54 To ensure that two authorised Members of staff are involved in the ordering, receiving and payment process. If possible, a different officer from the person who signed the order, and in every case, a different officer from the person checking a written invoice, should authorise the invoice.

4.55 To ensure that the department maintains and reviews periodically a list of staff approved to authorise invoices. Names of authorising staff together with specimen signatures and details of the limits of their authority shall be forwarded to the Section 151 Officer.

4.56 To ensure that payments are not made on a photocopied or faxed invoice, statement or other document than the formal invoice.

4.57 To encourage suppliers of goods and services to receive payment by the most economical means for the authority. It is essential, however, that payments made by direct debit have the prior approval of the Section 151 Officer.

4.58 To notify the Section 151 Officer of outstanding expenditure relating to the previous financial year as soon as possible after 31 March in line with the timetable determined by the Section 151 Officer.

4.59 To notify the Section 151 Officer immediately of any expenditure to be incurred as a result of statute/court order where there is no budgetary provision. 199

Page 293 4.60 To ensure that all appropriate payment records are retained and stored for the defined period, in accordance with the document retention schedule, (as referred to in Financial Regulation, Section A).

Payments to Employees and Councilors

Why is this important?

4.61 Staff costs are the largest item of expenditure for most authority services. It is therefore important that payments are accurate, timely, made only where they are due for services to the authority and that payments accord with individuals’ conditions of employment. It is also important that all payments are accurately and completely recorded and accounted for and that Councillors’ allowances are authorised in accordance with the scheme adopted by the Full Council.

Key Controls

4.62 The key controls for payments to employees and Councillors are: (a) proper authorisation procedures are in place and that there is adherence to corporate timetables in relation to: starters leavers variations enhancements and that payments are made on the basis of timesheets or claims, where appropriate

(b) frequent reconciliation of payroll expenditure against BACS reports, approved budgets and bank accounts (c) all appropriate payroll documents are retained and stored for the defined period in accordance with the document retention schedule (d) that Inland Revenue, National Insurance and other statute regulations are complied with (e) that all other deductions are authorised by the employee or Member.

Responsibilities of the Section 151 Officer

4.63 To arrange and control secure and reliable payment of salaries, wages, compensation or other emoluments to existing and former employees, in accordance with procedures prescribed by him or her, on the due date.

4.64 To record and make arrangements for the accurate and timely payment of tax, superannuation and other deductions.

4.65 To make arrangements for payment of all travel and subsistence claims or financial loss allowance.

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Page 294 4.66 To make arrangements for paying Councillors travel or other allowances upon receiving the prescribed form, duly completed and authorised.

4.67 To provide advice and encouragement to secure payment of salaries and wages by the most economical means.

4.68 To ensure that all appropriate payroll documents are retained and stored for the defined period in accordance with the document retention schedule, (as referred to in Financial Regulation, Section A).

Responsibilities of Chief Officers

4.69 To consult with Human Resources to ensure appointments are made in accordance with the regulations of the authority and approved establishments, grades and scale of pay and that adequate budget provision is available.

4.70 To notify Human Resources of all appointments, terminations or variations which may affect the pay or pension of an employee or former employee, in the form and to the timescale required.

4.71 To ensure that adequate and effective systems and procedures are operated, so that:

Payments are only authorised to bona fide employees Payments are only made where there is a valid entitlement Conditions and contracts of employment are correctly applied Employees’ names listed on the payroll are checked at regular intervals to verify accuracy and completeness.

4.72 To send an up-to-date list of the names of staff authorised to sign records to the Section 151 Officer, together with specimen signatures. The payroll provider should have signatures of personnel staff and staff authorised to sign timesheets and claims.

4.73 To ensure that payroll transactions are processed only through the payroll system. Chief Officers should give careful consideration to the employment status of individuals employed on a self-employed consultant or subcontract basis. The Inland Revenue applies a tight definition for employee status, and in cases of doubt, advice should be sought from the Section 151 Officer.

4.74 To certify travel and subsistence claims and other allowances. Certification is taken to mean that journeys were authorised and expenses properly and necessarily incurred, and that allowances are properly payable by the authority, ensuring that cost-effective use of travel arrangements is achieved. Due consideration should be given to tax implications and that the Section 151 Officer is informed where appropriate.

4.75 To ensure that the Section 151 Officer is notified of the details of any employee benefits in kind, to enable full and complete reporting within the income tax self- assessment system.

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Page 295 4.76 To ensure that employees submit claims for travel and subsistence allowances on a monthly basis and, in any event, within one month of the year end.

Responsibilities of Councillors

4.77 To submit claims for Councillors’ travel and subsistence allowances on a monthly basis and, in any event, within one month of the year end.

Taxation

Why is this important?

4.78 Like all organisations, the authority is responsible for ensuring its tax affairs are in order. Tax issues are often very complex and the penalties for incorrectly accounting for tax are severe. It is therefore very important for all staff to be aware of their role.

Key Controls

4.79 The key controls for taxation are: (a) Budget Holders are provided with relevant information and kept up to date on tax issues (b) Budget Holders are instructed on required record keeping (c) all taxable transactions are identified, properly carried out and accounted for within stipulated timescales (d) records are maintained in accordance with instructions (e) returns are made to the appropriate authorities within the stipulated timescale.

Responsibilities of the Section 151 Officer

4.80 To ensure that adequate arrangements exist for all aspects of tax management including providing to and requiring of relevant Budget Holders such information as is necessary for the proper discharge of that responsibility.

4.81 To complete all HM Revenue and Customs returns regarding PAYE and NIC and for dealing with that agency as regards queries, dispensations or inspections.

4.82 To complete a monthly return of VAT inputs and outputs to HM Revenue and Customs, and for dealing with that agency as regards queries, dispensations or inspections.

4.83 To provide details to HM Revenue and Customs regarding the construction industry tax deduction scheme, and for dealing with that agency as regards queries, dispensations or inspections.

4.84 To seek guidance, as required, taxation matters from the authority’s tax advisers.

4.85 To maintain up-to-date guidance for authority employees on taxation issues.

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4.86 To ensure that Budget Holders are aware of their responsibilities for ensuring that information provided to or required of them by the Section 151 Officer is promptly and accurately conveyed to or obtained from relevant staff under their control.

4.87 To ensure that the correct VAT liability is attached to all income due and that all VAT recoverable on purchases complies with HM Revenue and Customs regulations.

4.88 To ensure that, where construction and maintenance works are undertaken, the contractor fulfils the necessary construction industry tax deduction requirements.

4.89 To ensure that all persons employed by the authority are notified to the Section 151 Officer for addition to the authority’s payroll, except where the individuals are bona fide self-employed or are employed by a recognised staff agency.

4.90 To follow the guidance on taxation issued by the Section 151 Officer. Any loss or penalty incurred by the Council as a result of failure to require or provide information shall be a charge against the budget of the service whose manager failed to require or provide that information, as the case may be.

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Appendix E Procurement and Contracts

Procurement And Contracts

Why is this important?

5.01 All public procurement of goods and/or services should be based on value for money which is crucial to the wider objective of using resources effectively in the delivery of public services. It is essential therefore that purchasers develop clear strategies for continuing improvement in the acquisition of goods and services and minimise the risk through the use of contracts. Sound practice for the pursuit of value for money will contribute to the competitiveness of suppliers, contractors and service providers.

Key Controls – Procurement

5.02 The key controls of procurement are:

(a) all arrangements shall demonstrate good value for money (b) all procurement arrangements shall comply with this Financial Regulation (c) the procurement process must be transparent and demonstrate fair and open competition (d) there are agreed values assigned to the various procurement categories (e) there is adequate budgetary provision in respect of all procurement (f) there are agreed and documented exceptions to the procurement process (g) there is a requirement for a minimum number of quotations to be received (h) there is a process to establish the financial standing, relevant technical capacity/suitability of all proposed suppliers (i) all prospective bidders are supplied with relevant information (j) there is a process for the return and acceptance of bids relevant for the procurement category (k) there is a process for the scrutinising of all bids.

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5.03 To ensure that the authority’s procedures and systems are sound and properly administered.

5.04 To review and report to the Executive recommending revised values to the procurement categories as necessary.

5.05 To make payments to suppliers on the certificate of the appropriate Chief Officer, which must include details of the work, and if appropriate, details of retention money, amounts previously certified and amounts now certified.

5.06 To ensure that there are appropriate accounting procedures to identify payments to suppliers and commitments in respect of monies held by way of retention.

5.07 To issue advice, guidelines and procedures for staff and others acting on the authority’s behalf.

Responsibilities of Chief Officers

5.08 To ensure that all procurement arrangements are in accordance these Financial Regulations, relevant Government Regulations and EC Directives.

5.09 To ensure that value for money is optimised, taking into account whole-life cost and quality to meet the users requirement.

5.10 To ensure that the process adopted is transparent and fully documented at all stages, so that fairness can be adequately demonstrated in the event of challenge.

5.11 To ensure that there is adequate budgetary provision to meet all procurement arrangements.

5.12 To ensure that a minimum number of quotations are requested.

5.13 To ensure that he/she receives the appropriate documentation, fully completed and certified by the procuring officer, in respect of any exception to the competitive process.

5.14 To ensure that the selection of bidders follows one of the following procedures:

• Advertisement in the European Journal as required by the estimated value of the procurement. • From standing lists maintained by the authority to the appropriate value of the procurement. • From national lists of suitable suppliers maintained by third parties and approved by Full Council, (e.g. Construction Line). • From comparative prices obtained from suppliers published information or verbal quotations. 205

Page 299 In respect of any of the above processes, the method of selection used must be fully documented to demonstrably ensure transparency and fair/open competition in the event of challenge.

5.15 To ensure that suppliers financial standing and technical capacity are sufficient to fulfill the requirements of all procurement arrangements. In particular, for major procurement, analysis of the last three years’ audited accounts supplemented by any more recent significant financial developments must be performed.

If this appraisal is performed annually as part of the compilation of select lists, then there is no requirement to reproduce this analysis when proposed bidders are selected from these lists.

5.16 To ensure that prospective bidders are supplied with the appropriate information required to assist them to formulate their quote/tender. For example:

• A comprehensive and accurate specification of the quantity and quality of the goods, work or services required.

• A comprehensive statement of the information to be provided as evidence of financial standing, technical capacity and ability, if applicable.

• Clear instructions regarding the form in which the bid is to be submitted, the address to which it is to be delivered and the deadline by which it is to be received.

• A clear statement of the basis on which bids will be evaluated, with particular reference to any variable elements or extraneous costs which are to be taken into account and to the procedures to be adopted where errors are found during evaluation.

• Where the arrangement is to be the subject of a formal contract, the conditions of contract.

• A contact for further information or clarification.

5.17 To ensure that any additional information or clarification supplied on request to a prospective bidder, is supplied promptly to all prospective bidders. This will not apply, however, where the initial information clearly states that the additional information of a particular nature is available on request; in such cases the specified additional information should be supplied only to those prospective bidders who request it.

5.18 To ensure that quotes/bids are returned, held and opened in compliance with Financial Regulations, Section E.

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5.19 To ensure the procuring officer prepares a complete list of names invited to submit bids and, if bids are to be returned to another officer, provides that officer with a copy of the list together with the deadline for return of bids. Prospective bidders should be supplied with an envelope for returning their bid. The envelope should clearly state that it contains a bid and identify the procurement arrangement to which it relates. Identical envelopes should be issued to each prospective bidder and bidders should be instructed to return their bid in such a manner as to conceal the identity of the sender, as far as practicable, until the envelope is opened (i.e. not to use company franking).

5.20 To ensure that the officer receiving bids makes proper arrangements for receiving and recording bids unopened. A bound register of bids should be maintained and the bids received should be entered in a page of the regisrer relating to the relevant procuring arrangement. Each envelope received should be endorsed with a unique reference which should be entered in the register together with the date of receipt and, if it is received on the final date for receipt of bids, the time of receipt. The sealed envelopes should then be held unopened in a locked place, to which only the responsible officer or his/her authorised representative(s) have access, until officially opened. If for any reason a bid envelope is opened in error, it should immediately be resealed inside another envelope (without any attempt being made to ascertain the source or the contents of the bid) and an explanation of the circumstances entered into the register. Entries on each page of the register should be made on successive lines and, as soon as the date and time for receipt of bids has passed, a line should be ruled immediately below the last entry.

5.21 To ensure that the officer receiving bids for a procurement arrangement has arranged for the bids to be opened at one and the same time in the presence of not less than two people, at least one of whom has had and will have no other involvement in the procurement arrangement. Those present should each endorse each bid with their signature and the date and time of signing, the amount of each bid should be entered on the appropriate line of the register and those present should each endorse the relevant page of the register with their signature as a correct record of bids opened. The bids should then be formally passed to the officer who is to evaluate them, who should be required to acknowledge receipt of them by signing the relevant page of the register.

5.22 To ensure that where scrutiny of bids reveals errors or ambiguities in the specification itself as compiled by the procuring officer, evaluation proceeds on the basis of the erroneous documents and the effect on each bid of correcting the error should also be assessed.

(a) Where correction of the error would materially affect the relative rankings of bids. For example:

• A bid received after other bids have been opened • Ambiguity between different parts of or omission of part of a bid which affects the evaluation • A bid which seeks to vary something in the specification 207

Page 301 • A bid submitted after the notified closing date

the evaluation procedure should be halted, the bids returned to their senders and new bids invited on the basis of a corrected specification.

(b) Where correction of the error would not materially affect the relative rankings of bids. For example:

• A bid despatched on time, received late but before other bids have been opened • A missing signature or date • A figure not transferred or incorrectly transferred, from one sheet to another where it is nevertheless clear which is the intended figure • A qualification to a bid which the bidder agrees to remove

the evaluation may proceed and the specification may be corrected and the price adjusted accordingly, with the supplier’s agreement, at the time of entering into an arrangement.

5.23 To ensure that all communications with bidders concerning clarification or correction of bids should be made or confirmed in writing and the relevant documents retained for future reference. A bid which, for any reason, is invalid should be referred to subsequently only to the extent of explaining its invalidity. It should not be evaluated as if it were potentially a valid bid.

5.24 To ensure that the evaluation process is performed throughout as per the information supplied to prospective bidders.

5.25 To ensure the specification is precise as to the Council’s requirements in order to preclude all unsuitable bids and reduce to the minimum the number of variable factors to be taken into account in the evaluation process. However, to the extent that the Council’s requirements are not specific, potential suppliers may be permitted and encouraged to submit bids based on their own perception of the optimum solution. Where this is the case, the evaluating officer will need to ensure that all proposed solutions can be compared on a common basis, using objective measures as far as possible, so as to clearly establish an order of ranking. Subjective measures should be included only where unavoidable and must be assigned by a competent person. The evaluation should ensure that all and only those factors relevant to the relative cost- effectiveness of the proposed solutions are taken into account and that each factor is given a weighting appropriate to its significance.

5.26 To ensure that major procurement arrangements are awarded by the Executive, or as delegated.

5.27 To ensure that, if in the opinion of the procuring officer none of the bids received is acceptable, one of the following procedures is carried out:

• No bidder considered suitable – seek further bids from other potential suppliers.

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Page 302 • Best bid considered reasonable value for money but in excess of budget – seek budget variation or invite further bids based on amended specification. • Best bid not considered reasonable value for money – invite further bids either from previous and/or additional bidders.

Negotiations regarding price, specification or other terms should not be entered into where competitive bids have been invited unless such negotiation has been expressly provided for in information provided to bidders and is conducted in such a way that it demonstrably does not compromise the fairness of the competitive process.

5.28 To ensure that all bidders are notified in writing of the outcome of the bidding process and, subject to maintaining normal commercial confidentiality of individual bids submitted by particular bidders, unsuccessful bidders should be provided with such information as they may reasonably request regarding the reason(s) for business not being awarded to them.

Key Controls – Contracts

5.29 The key controls of contracts are:

(a) every agreement should be in the form of a contract recognised at law (b) every contract in relation to intermediate and major procurement should be evidenced in writing (c) contracts shall be made under seal where this is necessary to make them legally enforceable and, in any event, where the value of the contract is £50,000 or more (d) contracts should adequately define the rights and obligations of all parties involved (e) there is a procedure for reporting to the Executive the outcome of all contracts for major procurement (f) there is a procedure for interim reporting if the total amount to be paid/or amount received will vary from the contract by more than 10% or £50,000, whichever is the lesser (g) consultants are required to comply with the authority’s Financial Regulations.

Responsibilities of the Section 151 Officer

5.30 To enter into an agreement or contract, on behalf of the authority, involving the borrowing of funds or credit, investment of Council monies or the authorising of direct debits.

5.31 To issue guidelines on the use of indexation clauses as required by Chief Officers.

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5.32 To issue guidance as to which contracts need to be made under seal to make them legally enforceable.

Responsibilities of Chief Officers

5.33 To ensure that the correct form of contract is used to clearly define the terms of the agreement in all material respects and that it does not compromise the Council’s position.

5.34 To ensure that all contracts are made under seal as per the guidelines issued by the Strategic Manager (Resources).

5.35 To ensure that every contract adequately defines the rights and obligations of all parties to the agreement.

5.36 To ensure that adequate systems and procedures are operated for managing contracts.

5.37 To ensure that reports are presented to the Executive at the conclusion of each contract or an interim report, if appropriate.

5.38 To inform the Section 151 Officer of all contracts for all building works, new premises, alterations or extensions to existing premises.

5.39 To ensure that consultants employed comply with the authority’s Financial Regulations.

Key Controls – Routine purchasing of Goods and Services

5.40 The key controls for routine purchasing of goods and services are, (see also 4.42):

(a) all purchases are by use of official orders (b) all agreements shall ensure best value for money is obtained (c) procedures are in place for placing orders on behalf of other departments (d) procedures are in place for the ordering of goods/services via the Internet.

Responsibilities of the Section 151 Officer, (see also 4.43 to 4.48)

5.41 To issue guidance for Chief Officers on the procedural standards to be adopted in relation to the placing of official orders, having regard to the changing needs arising from organisational changes.

5.42 To supply Chief Officers with unique referenced official orders on request.

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5.43 To comply with the guidance issued by the Section 151 Officer in respect of placing official order.

5.44 To ensure value for money is obtained on all purchases of goods and services in compliance with these Financial Regulations.

5.45 To ensure that authorisation is received, from the appropriate Budget Holder, before placing orders on behalf of another department/section of the authority.

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Page 305 Appendix F External Arrangements

Partnerships

Why is this important?

6.01 Partnerships are likely to play a key role in delivering community strategies and in helping to promote and improve the well-being of the area. Local authorities are working in partnership with others – public agencies, private companies, community groups and voluntary organisations. Local authorities still deliver some services, but their distinctive leadership role is to bring together the contributions of the various stakeholders. They therefore need to deliver a shared vision of services based on user wishes.

6.02 Local authorities will mobilise investment, bid for funds, champion the needs of their areas and harness the energies of local people and community organisations. Local authorities will be measured by what they achieve in partnership with others.

General

6.03 The main reasons for entering into a partnership are: (a) the desire to find new ways to share risk (b) the ability to access new resources (c) to provide new and better ways of delivering services (d) to forge new relationships.

6.04 A partner is defined as either: (a) an organisation (private or public) undertaking, part funding or participating as a beneficiary in a project or (b) a body whose nature or status give it a right or obligation to support the project.

6.05 Partners participate in projects by: (a) acting as a project deliverer or sponsor, solely or in concert with others (b) acting as a project funder or part funder (c) being the beneficiary group of the activity undertaken in a project.

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(a) to be willing to take on a role in the broader programme appropriate to the skills and resources of the partner organisation (b) to act in good faith at all times and in the best interests of the partnership’s aims and objectives (c) be open about any conflict of interests that might arise (d) to encourage joint working and promote the sharing of information, resources and skills between public, private and community sectors (e) to hold confidentially any information received as a result of partnership activities or duties that is of a confidential or commercially sensitive nature (f) to act wherever possible as ambassadors for the project.

Key Controls

6.07 The key controls for authority partners are:

(a) if appropriate, to be aware of their responsibilities under the authority’s Financial Regulations. (b) to ensure that risk management processes are in place to identify and assess all known risks (c) to ensure that project appraisal processes are in place to assess the viability of the project in terms of resources, staffing and expertise (d) to agree and accept formally the roles and responsibilities of each of the partners involved in the project before the project commences (e) to communicate regularly with other partners throughout the project so that problems can be identified and shared to achieve their successful resolution.

Responsibilities of the Section 151 Officer

6.08 To advise on effective controls that will ensure that resources are not wasted.

6.09 To advise on the key elements of funding a project. They include:

(a) a scheme appraisal for financial viability in both the current and future years (b) risk appraisal and management, in consultation with the Deputy Chief Executive and/or the Strategic Manager (Resources) (c) resourcing, including taxation issues (d) audit, security and control requirements, in consultation with the Deputy Chief Executive and/or the Strategic Manager (Resources) (e) carry-forward arrangements.

6.10 To ensure that the accounting arrangements are satisfactory.

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Responsibilities of Chief Officers

6.11 To maintain a register of all contracts entered into with external bodies in accordance with procedures specified by the Section 151 Officer.

6.12 To ensure that, before entering into agreements with external bodies, a risk management appraisal has been prepared for the Deputy Chief Executive and/or the Strategic Manager (Resources).

6.13 To ensure that such agreements and arrangements do not impact adversely upon the services provided by the authority.

6.14 To ensure that all agreements and arrangements are properly documented.

6.15 To provide appropriate information to the Section 151 Officer to enable a note to be entered into the authority’s statement of accounts concerning material items.

External Funding

Why is this important?

6.16 External funding is potentially a very important source of income, but funding conditions need to be carefully considered to ensure that they are compatible with the aims and objectives of the authority. Local authorities are increasingly encouraged to provide seamless service delivery through working closely with other agencies and private service providers. Funds from external agencies such as the National Lottery and the single regeneration budget provide additional resources to enable the authority to deliver services to the local community. However, in some instances, although the scope for external funding has increased, such funding is linked to tight specifications and may not be flexible enough to link to the authority’s overall plan.

Key Controls

6.17 The key controls for external funding are:

(a) to ensure that key conditions of funding and any statutory requirements are complied with and that the responsibilities of the accountable body are clearly understood (b) arrangements are in place to ensure that all relevant grant claims are identified, accurate and prepared on a timely basis (c) to ensure that funds are acquired only to meet the priorities approved in the policy framework by the Full Council (d) to ensure that any match-funding requirements are given due consideration prior to entering into long-term agreements and that future revenue budgets reflect these requirements.

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6.18 To ensure that all funding notified by or claimed from external bodies is received and properly recorded in the authority’s accounts.

6.19 To issue guidance and advice on the procedure/documentation governing the claiming of grants.

6.20 To ensure that the match-funding requirements are considered prior to entering into the agreements and that future revenue budgets reflect these requirements.

6.21 To ensure that granting bodies audit requirements are met.

Responsibilities of Chief Officers

6.22 To ensure that all claims for funds are made in accordance with the guidance issued by the Section 151Officer.

6.23 To ensure that progress is in accordance with the agreed project and that all expenditure is properly incurred and recorded.

Work for Third Parties

Why is this important?

6.24 Current legislation enables the authority to provide a range of services to other bodies. Such work may enable a section to maintain economies of scale and existing expertise. Arrangements should be in place to ensure that any risks associated with this work is minimised and that such work is intra vires.

Key Controls

6.25 The key controls for working with third parties are:

(a) to ensure that proposals are costed properly in accordance with guidance provided by the Section 151 Officer (b) to ensure that contracts are drawn up using guidance provided by the Section 151 Officer and that the formal approvals process is adhered to (c) to issue guidance with regard to the financial aspects of third party contracts and the maintenance of the contract register.

Responsibilities of the Section 151 Officer

6.26 To issue guidance with regard to the financial aspects of third party contracts and the maintenance of the contract register.

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Responsibilities of Chief Officers

6.27 To ensure adequate insurance cover is arranged for all contracts, in consultation with the Deputy Chief Executive.

6.28 To ensure that the approval of the Executive is obtained before any negotiations are concluded to work for third parties.

6.29 To maintain a register of all contracts entered into with third parties in accordance with procedures specified by the Section 151 Officer.

6.30 To provide appropriate information to the Deputy Chief Executive to enable adequate insurance cover to be arranged.

6.31 To ensure that the authority is not put at risk from any bad debts.

6.32 To ensure that no contract is subsidised by the authority.

6.33 To ensure that, wherever possible, payment is received in advance of the delivery of the service.

6.34 To ensure that the department/section has the appropriate expertise to undertake the contract.

6.35 To ensure that such contracts do not impact adversely upon the authority’s own services.

6.36 To ensure that all contracts are properly documented.

6.37 To provide appropriate information to the Section 151 Officer to enable a note to be entered into the statement of accounts.

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